DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

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Former SEC-registered adviser

T••••• I••••••••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 161343SEC 801-74503IAPD
Latest filing Mar 25, 2014
First filing on the tape Mar 2, 2012 · 6 filings
RAUM
$100M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$100M as of Mar 25, 2014
Mar 27, 2013$100M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2014
Mar 27, 20130 then
Employees (5.A)3 as of Mar 25, 2014
Mar 27, 20137 then
Private funds: no history
RAUM +0.0% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 25, 2014; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$100MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+0.0%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••••• M•••• A••••• · Chief Investment Officer And Chief Compliance Officercontrol
        since 05/2012 · owns less than 5%
      • A•••••••• M•••• A••••• · Manager And Membercontrol
        since 05/2012 · owns 50% to 75% of T••••••••• P••••••• G• L••
      • T•••••• R•• G••••• · Trusteecontrol
        since 05/2010 · owns F of L•••• T•••• N•• 1•
      Entity owners
      • T••••• I• H•••••••• L• · Member
        direct · owns 75% or more
      • A•••• S••••• P•••••••• L••• · Member
        indirect · owns 75% or more of A•••• S••••• T•••••• L•••••
      • A•••• S••••• T•••••• L••••• · Limited Partner
        indirect · owns 50% to 75% of T••••• I• H•••••••• L•
      • H•• A•••• S••••• G•• L••••• · General Partner
        indirect · owns F of A•••• S••••• P•••••••• L•••
      • H••• C••••••••• I••• · Shareholder
        indirect · owns 75% or more of H••• R••••• I••••••••• I•••
      • H••• R••••• I••••••••• I••• · Member
        indirect · owns 75% or more of H•• A•••• S••••• G•• L•••••
      • L•••• T•••• N•• 1• · Shareholder
        indirect · owns 25% to 50% of R•• C•••••••••
      • R•• C••••••••• · Shareholder
        indirect · owns 75% or more of H••• C••••••••• I•••
      • T•••••• R••••••••• S••••• O• T•••• · Limited Partner
        indirect · owns 75% or more of A•••• S••••• P•••••••• L•••
      • T••••••••• P••••••• G• L•• · General Partner
        indirect · owns 50% to 75% of T••••• I• H•••••••• L•
      Related persons
      Schedule D 7.A
      • H•• I••••••••• M••••••••• L••
        investment advisernRAUM $929M
      • H•• A•••• S••••• G•• L•••••
        pooled vehicle sponsory
      • T••••••••• M•••••••• P••••••• G• I• L••
        pooled vehicle sponsorn
      • T••••••••• M• C•••••• M••••••••• L••
        investment advisern
      Advisers that list T••••• I••••••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 6 to 3
        Sep 30, 2013 to Mar 25, 2014
      • Employees · 6 to 3
        Sep 30, 2013 to Mar 25, 2014
      • Employees · 7 to 6
        Mar 27, 2013 to Sep 30, 2013
      • Advisory employees · 4 to 6
        Jan 18, 2013 to Mar 27, 2013
      • Employees · 5 to 7
        Jan 18, 2013 to Mar 27, 2013
      • Advisory employees · unset to 4.0
        May 10, 2012 to Jan 18, 2013
      • BD registered reps · unset to 0.0
        May 10, 2012 to Jan 18, 2013
      • Employees · unset to 5.0
        May 10, 2012 to Jan 18, 2013
      • HQ city · GREENWICH to NEW YORK
        May 10, 2012 to Jan 18, 2013
      • HQ state · CT to NY
        May 10, 2012 to Jan 18, 2013
      • State-registered IARs · unset to 0.0
        May 10, 2012 to Jan 18, 2013
      • Accounts · unset to 1.0
        Mar 2, 2012 to May 10, 2012
      • Discretionary RAUM · unset to 0.0
        Mar 2, 2012 to May 10, 2012
      • Non-discretionary RAUM · unset to 100000000.0
        Mar 2, 2012 to May 10, 2012
      • RAUM · unset to 100000000.0
        Mar 2, 2012 to May 10, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026