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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
T•••• E•• C•••••• L••
Latest filing Jun 17, 2022
First filing on the tape Mar 14, 2013 · 21 filings
RAUM
$530M
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
7
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$481M gross assets
History
21 filings and snapshots on the tape
RAUM$530M as of Mar 30, 2022
Mar 28, 2014$1.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 28, 20140 then
Employees (5.A)7 as of Mar 30, 2022
Mar 28, 20149 then
Private funds3 as of Mar 30, 2022
Mar 28, 20141 then
RAUM -35% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 17, 2022; 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
- $75.8MderivedRAUM 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
- -35%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
- $49.1M, 1 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
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$481M91%
- Corporations and businesses$49.1M9.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 7reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $49.1M for 1 clientsreported
- 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
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••• E•• M••••• F•••• L••• | Hedge Fund | $463M | 95 | Mar 14, 2013 |
| T•••• E•• P•••••••• L•no longer reported | Hedge Fund | $44.7M | 15 | Mar 29, 2012 |
| T•••• E•• O••••••••• F••• I• L•• | Hedge Fund | $11.1M | 11 | Mar 30, 2022 |
| T•••• E•• O••••••••• F••• I• L•• | Hedge Fund | $7.6M | 6 | Mar 31, 2021 |
| T•••• E•• F•••• L•••no longer reported | Hedge Fund | $2.5M | 4 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G••••••• B•••••••• S•••• · Chief Executive Officer, Managing Membercontrolsince 03/2009 · owns 75% or more
- R••••••• J•••• S•••••••• · Chief Financial Officer & Chief Compliance Officercontrolsince 03/2009 · owns less than 5%
Related persons
Schedule D 7.A
- T•••• E•• G•••••• P•••••• L••bankpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · NEW YORK to ILLEMar 30, 2022 to Jun 17, 2022
- HQ state · NY to TNMar 30, 2022 to Jun 17, 2022
- Accounts · 6 to 7May 6, 2021 to Mar 30, 2022
- Pooled vehicle clients · 5 to 6May 6, 2021 to Mar 30, 2022
- Assets in custody · $43.6M to $49.1MMay 6, 2021 to Mar 30, 2022
- Employees · 8 to 7May 6, 2021 to Mar 30, 2022
- Private funds · 2 to 3May 6, 2021 to Mar 30, 2022
- Discretionary RAUM · $813M to $530MMay 6, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $770M to $481MMay 6, 2021 to Mar 30, 2022
- RAUM · $813M to $530MMay 6, 2021 to Mar 30, 2022
- Accounts · 5 to 6Jun 29, 2020 to Mar 31, 2021
- Pooled vehicle clients · 4 to 5Jun 29, 2020 to Mar 31, 2021
- Assets in custody · $27.1M to $43.6MJun 29, 2020 to Mar 31, 2021
- Private funds · 1 to 2Jun 29, 2020 to Mar 31, 2021
- Discretionary RAUM · $698M to $813MJun 29, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $670M to $770MJun 29, 2020 to Mar 31, 2021
- RAUM · $698M to $813MJun 29, 2020 to Mar 31, 2021
- Assets in custody · $19.4M to $27.1MMar 29, 2019 to Mar 30, 2020
- Discretionary RAUM · $786M to $698MMar 29, 2019 to Mar 30, 2020
- Pooled vehicle RAUM · $760M to $670MMar 29, 2019 to Mar 30, 2020
- RAUM · $786M to $698MMar 29, 2019 to Mar 30, 2020
- Accounts · 4 to 5Mar 29, 2018 to Mar 29, 2019
- Advisory employees · 5 to 4Mar 29, 2018 to Mar 29, 2019
- Corporate clients · unset to 1.0Mar 29, 2018 to Mar 29, 2019
- Assets in custody · unset to 19387643.0Mar 29, 2018 to Mar 29, 2019
- Custody of client assets · false to trueMar 29, 2018 to Mar 29, 2019
- Employees · 9 to 8Mar 29, 2018 to Mar 29, 2019
- Discretionary RAUM · $711M to $786MMar 29, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $711M to $760MMar 29, 2018 to Mar 29, 2019
- RAUM · $711M to $786MMar 29, 2018 to Mar 29, 2019
- Accounts · 3 to 4May 30, 2017 to Mar 29, 2018
- Advisory employees · 6 to 5May 30, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 4.0May 30, 2017 to Mar 29, 2018
- Employees · 10 to 9May 30, 2017 to Mar 29, 2018
- Other offices · unset to 0.0May 30, 2017 to Mar 29, 2018
- Discretionary RAUM · $953M to $711MMay 30, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 711070546.0May 30, 2017 to Mar 29, 2018
- RAUM · $953M to $711MMay 30, 2017 to Mar 29, 2018
- Discretionary RAUM · $923M to $953MMar 27, 2017 to May 30, 2017
- RAUM · $923M to $953MMar 27, 2017 to May 30, 2017
Signals
3 dated events
- T•••• E•• C•••••• L•• reported RAUM $530.4M, down 35% from $813.5M (2021-05-06 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- T•••• E•• C•••••• L•• reported RAUM $711.1M, down 25% from $953.3M (2017-05-30 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- T•••• E•• C•••••• L•• filed its initial SEC registration (Form ADV)Mar 14, 2013 · First SEC registration · fact
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