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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SEC-registered adviser
T•••••• M••••••••• C•••••• L•• L••
Latest filing Jul 20, 2026
First filing on the tape Feb 17, 2012 · 22 filings
SEC status approved since Mar 30, 2012
RAUM
$686M
reported, Item 5.F
Discretionary
100%
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
10
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
13
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$686M as of Jul 20, 2026
Apr 1, 2013$254M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 20, 2026
Apr 1, 20130 then
Employees (5.A)10 as of Jul 20, 2026
Apr 1, 20136 then
Private funds13 as of Jul 20, 2026
Apr 1, 20135 then
RAUM +39% over the last fiscal year+21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 20, 2026; 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
- $52.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%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
- +39%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
- Custody
- $686M, 13 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$686M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $686M for 13 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
Private funds
15 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••••• P••••••• I••• L• | Private Equity Fund | $169M | 95 | Mar 31, 2020 |
| T•••••• P•••••••• L•no longer reported | Venture Capital Fund | $120M | 96 | Feb 17, 2012 |
| T•••••• P••••••• I•• L• | Private Equity Fund | $75.7M | 73 | Mar 31, 2015 |
| T•••••• P••••••• I•• O•••••••• L• | Private Equity Fund | $63.1M | 13 | Mar 30, 2022 |
| T•••••• P••••••• I• O•••••••• L• | Private Equity Fund | $23.6M | 3 | Mar 31, 2015 |
| T•••••• A••••••••• L•••no longer reported | Venture Capital Fund | $5.6M | 79 | Feb 17, 2012 |
| T•••••• P••••••• L••• L• | Private Equity Fund | $5.2M | 79 | Feb 17, 2012 |
| T•••••• A••••••••• I•• L• | Private Equity Fund | $3.2M | 23 | Mar 31, 2015 |
| T•••••• O••••••• L••• L• | Private Equity Fund | $3.0M | 11 | Feb 17, 2012 |
| T•••••• A••••••••• I••• L• | Private Equity Fund | $2.9M | 13 | Mar 31, 2020 |
| T•••••• L•• S••• L• | Private Equity Fund | $646,615 | 27 | Mar 31, 2017 |
| T•••••• A••••••••• L••• L• | Private Equity Fund | $233,276 | 26 | Feb 17, 2012 |
| T•••••• C••••••• P••••••• I••• L• | Private Equity Fund | $0 | 47 | Mar 28, 2024 |
| T•••••• C••••••• P••••••• I•• O•••••••• L• | Private Equity Fund | $0 | 2 | Mar 28, 2024 |
| T•••••• C••••••• A••••••••• I••• L• | Private Equity Fund | $0 | 2 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- G••••••• L••• A•••• · Membercontrolsince 05/2007 · owns 25% to 50%
- P••••• J••••• S•••••• · Membercontrolsince 09/2019 · owns 10% to 25%
- R••••••• L•••• · Member And Chief Compliance Officercontrolsince 05/2007 · owns 25% to 50%
- V••••• O•••• T•••• · Membercontrolsince 09/2019 · owns 10% to 25%
Related persons
Schedule D 7.A
- T•••••• C••••••• P••••••• I•• G•• L•investment adviserpooled vehicle sponsorn
- T•••••• L•• S•• G•• L•investment adviserpooled vehicle sponsorn
- T•••••• P••••••• I• G•• L•investment adviserpooled vehicle sponsorn
- T•••••• P••••••• I•• G•• L•investment adviserpooled vehicle sponsorn
- T•••••• P••••••• L•• G•• L••investment adviserpooled vehicle sponsorn
Advisers that list T•••••• M••••••••• C•••••• L•• L•• as a related person
- 167763 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $493M to $686MMar 27, 2025 to Mar 27, 2026
- Employees · 11 to 10Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $493M to $686MMar 27, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $493M to $686MMar 27, 2025 to Mar 27, 2026
- RAUM · $493M to $686MMar 27, 2025 to Mar 27, 2026
- Assets in custody · $346M to $493MSep 23, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Sep 23, 2024 to Mar 27, 2025
- Discretionary RAUM · $457M to $493MSep 23, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $457M to $493MSep 23, 2024 to Mar 27, 2025
- RAUM · $457M to $493MSep 23, 2024 to Mar 27, 2025
- Accounts · 10 to 13Oct 17, 2023 to Mar 28, 2024
- Advisory employees · 7 to 8Oct 17, 2023 to Mar 28, 2024
- Pooled vehicle clients · 10 to 13Oct 17, 2023 to Mar 28, 2024
- Assets in custody · $285M to $346MOct 17, 2023 to Mar 28, 2024
- Employees · 9 to 11Oct 17, 2023 to Mar 28, 2024
- Private funds · 10 to 13Oct 17, 2023 to Mar 28, 2024
- Discretionary RAUM · $391M to $457MOct 17, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $391M to $457MOct 17, 2023 to Mar 28, 2024
- RAUM · $391M to $457MOct 17, 2023 to Mar 28, 2024
- Advisory employees · 6 to 7Mar 30, 2022 to Mar 31, 2023
- Assets in custody · $421M to $285MMar 30, 2022 to Mar 31, 2023
- Employees · 8 to 9Mar 30, 2022 to Mar 31, 2023
- Discretionary RAUM · $421M to $391MMar 30, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $421M to $391MMar 30, 2022 to Mar 31, 2023
- RAUM · $421M to $391MMar 30, 2022 to Mar 31, 2023
- Accounts · 9 to 10Dec 2, 2021 to Mar 30, 2022
- Advisory employees · 4 to 6Dec 2, 2021 to Mar 30, 2022
- Pooled vehicle clients · 9 to 10Dec 2, 2021 to Mar 30, 2022
- Assets in custody · $0 to $421MDec 2, 2021 to Mar 30, 2022
- Employees · 6 to 8Dec 2, 2021 to Mar 30, 2022
- Private funds · 9 to 10Dec 2, 2021 to Mar 30, 2022
- Discretionary RAUM · $366M to $421MDec 2, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $366M to $421MDec 2, 2021 to Mar 30, 2022
- RAUM · $366M to $421MDec 2, 2021 to Mar 30, 2022
- Advisory employees · 5 to 4Mar 31, 2020 to Mar 31, 2021
- Employees · 7 to 6Mar 31, 2020 to Mar 31, 2021
- Discretionary RAUM · $280M to $366MMar 31, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $280M to $366MMar 31, 2020 to Mar 31, 2021
- RAUM · $280M to $366MMar 31, 2020 to Mar 31, 2021
- Accounts · 7 to 9Mar 29, 2019 to Mar 31, 2020
Signals
4 dated events
- T•••••• M••••••••• C•••••• L•• L•• reported RAUM $685.6M, up 39% from $492.9M (2025-03-27 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- S•••••• J•••• P•••• (Member) appeared on Schedule A of T•••••• M••••••••• C•••••• L•• L••Mar 31, 2021 · Control person joined · fact
- Tapan Ojas Vahia (Member) appeared on Schedule A of T•••••• M••••••••• C•••••• L•• L••Mar 31, 2021 · Control person joined · fact
- S•••••• Lebowitz (Member) no longer on Schedule A of T•••••• M••••••••• C•••••• L•• L•• (listed 2020-03-31, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- T•••••• M••••••••• C•••••• L•• L•• · Independent Sponsorsshared crd · capital_provider
- T•••••• M••••••••• C•••••• L•• L•• · Private Equityshared crd · organization
- T•••••• M••••••••• C•••••• L•• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/topspin-partnersreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 914-834-7370reportedpublic record, Form ADV, Jul 20, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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