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•• E••••••• G•••• L••
Latest filing Mar 30, 2026
First filing on the tape Nov 19, 2012 · 30 filings
SEC status approved since Dec 21, 2012
RAUM
$2.5B
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
14
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$2.5B as of Mar 30, 2026
Mar 28, 2013$1.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 28, 20130 then
Employees (5.A)14 as of Mar 30, 2026
Mar 28, 201321 then
Private funds3 as of Mar 30, 2026
Mar 28, 20132 then
RAUM +46% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $501MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +46%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- 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$2.5B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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=true 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••••••• G••••• H••••••• L••• | Private Equity Fund | $1.5B | 6 | Mar 28, 2013 |
| E••••••• S•••••••• O••••••••• F••• I• L••• | Private Equity Fund | $187M | 13 | Mar 2, 2018 |
| E••••••• S•••••••• O••••••••• F••• L••• | Private Equity Fund | $67.1M | 10 | Mar 30, 2015 |
| E••••••• U• H••••••• I• L•••no longer reported | Private Equity Fund | $8.2M | 5 | Mar 28, 2013 |
Owners and control persons
Schedule A and B, latest filing
- E••••• A••• R••• · Director And Vice Chairmancontrolsince 02/2018 · owns less than 5%
- K•••••• T•••••• S•••• · Chairman, Chairman Of The Board, Chief Executive Officer, And Directorcontrolsince 10/2011 · owns less than 5%
- S••••••• A•••••• M••• · General Counsel And Chief Compliance Officercontrolsince 01/2012 · owns less than 5%
- W•••••••• M••••••• H•••••• · Senior Managing Directorcontrolsince 03/2012 · owns less than 5%
Entity owners
- T•• S••••••• H•••••• I••• · Memberdirect · owns 75% or more
- D•••• K••••• 2••• E•••• Y••• A•••••• F••••• T•••• · Memberindirect · owns 50% to 75% of G••• H••••••• L••
- G••••••••• O• A•• D•••• · Shareholderindirect · owns 75% or more of M••••••• I••••••••• C•••••• P••• ••••
- G••• H••••••• L•• · Memberindirect · owns 75% or more of L•••••• H••••••• L••
- L•••••• H••••••• L•• · Shareholderindirect · owns 50% to 75% of T•• S••••••• H•••••• I•••
- M•••••• D••••••••• G••••• H•••••• P••• •••• · Shareholderindirect · owns 75% or more of M••••••• C•••••• L•• ••••
- M•• C•••••• L•• •••• · Shareholderindirect · owns 75% or more of E••••••••• I••••••••• C•••••• L•• ••••
- M••••••• C•••••• L•• •••• · Shareholderindirect · owns 75% or more of M•• C•••••• L•• ••••
- M••••••• I••••••••• C•••••• P••• •••• · Shareholderindirect · owns 75% or more of M•••••• D••••••••• G••••• H•••••• P••• ••••
- S•••• F•••• I••••••••• C•••••• L•• •••• · Shareholderindirect · owns 25% to 50% of T•• S••••••• H•••••• I•••
- T••••• S• K••••• 2••• T•• Y••• A•••••• F••••• T•••• · Memberindirect · owns 50% to 75% of G••• H••••••• L••
- E••••••••• I••••••••• C•••••• L•• •••• · Shareholderindirect · owns 75% or more of S•••• F•••• I••••••••• C•••••• L•• ••••
- W••••••••• T•••• C•••••• · Trusteeindirect · owns F of D•••• K••••• 2••• E•••• Y••• A•••••• F••••• T••••
- W••••••••• T•••• C•••••• · Trusteeindirect · owns F of T••••• S• K••••• 2••• T•• Y••• A•••••• F••••• T••••
Related persons
Schedule D 7.A
- E••••••• S•••••••• O••••••••• F••• G• L•••pooled vehicle sponsorn
- E••••••• S•••••••• O••••••••• F••• I• G• L•••bankpooled vehicle sponsorn
- T•• G••••• G• L•••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Denver, CO6 employees
- New York, NY1 employees
What changed
consecutive filings, newest first
- Discretionary RAUM · $1.7B to $2.5BMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.7B to $2.5BMar 31, 2025 to Mar 30, 2026
- RAUM · $1.7B to $2.5BMar 31, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Other offices · 2 to 1Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.7B to $1.7BMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.7B to $1.7BMar 28, 2024 to Mar 31, 2025
- RAUM · $1.7B to $1.7BMar 28, 2024 to Mar 31, 2025
- Related adviser · false to trueMar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.7B to $1.7BNov 15, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.7B to $1.7BNov 15, 2023 to Mar 28, 2024
- RAUM · $1.7B to $1.7BNov 15, 2023 to Mar 28, 2024
- Advisory employees · 10 to 9Jan 24, 2023 to Mar 17, 2023
- Employees · 15 to 14Jan 24, 2023 to Mar 17, 2023
- Discretionary RAUM · $212M to $1.7BJan 24, 2023 to Mar 17, 2023
- Pooled vehicle RAUM · $212M to $1.7BJan 24, 2023 to Mar 17, 2023
- RAUM · $212M to $1.7BJan 24, 2023 to Mar 17, 2023
- Related bank · false to trueJan 24, 2023 to Mar 17, 2023
- Other offices · 3 to 2Mar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.9B to $212MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $1.9B to $212MMar 30, 2021 to Mar 30, 2022
- RAUM · $1.9B to $212MMar 30, 2021 to Mar 30, 2022
- Discretionary RAUM · $1.7B to $1.9BMar 27, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $1.7B to $1.9BMar 27, 2020 to Mar 30, 2021
- RAUM · $1.7B to $1.9BMar 27, 2020 to Mar 30, 2021
- Discretionary RAUM · $1.1B to $1.7BMar 26, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $1.1B to $1.7BMar 26, 2019 to Mar 27, 2020
- RAUM · $1.1B to $1.7BMar 26, 2019 to Mar 27, 2020
- Pooled vehicle clients · 3 to 5Mar 2, 2018 to Mar 26, 2019
- Discretionary RAUM · $1.1B to $1.1BMar 2, 2018 to Mar 26, 2019
- Pooled vehicle RAUM · $1.1B to $1.1BMar 2, 2018 to Mar 26, 2019
- RAUM · $1.1B to $1.1BMar 2, 2018 to Mar 26, 2019
- Accounts · 4 to 5Mar 30, 2017 to Mar 2, 2018
- Pooled vehicle clients · unset to 3.0Mar 30, 2017 to Mar 2, 2018
- Other offices · unset to 3.0Mar 30, 2017 to Mar 2, 2018
- Private funds · 2 to 3Mar 30, 2017 to Mar 2, 2018
- Discretionary RAUM · $1.4B to $1.1BMar 30, 2017 to Mar 2, 2018
- Pooled vehicle RAUM · unset to 1146376594.0Mar 30, 2017 to Mar 2, 2018
- RAUM · $1.4B to $1.1BMar 30, 2017 to Mar 2, 2018
- Accounts · 3 to 4Mar 17, 2016 to Mar 30, 2017
Signals
7 dated events
- T•• E••••••• G•••• L•• reported RAUM $2.5B, up 46% from $1.7B (2025-03-31 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Aaron Joshua Fink (Director And Co-Vice-Chairman) no longer on Schedule A of T•• E••••••• G•••• L•• (listed 2023-03-17, absent 2023-11-15)Nov 15, 2023 · Control person left · inference
- T•• E••••••• G•••• L•• reported RAUM $1.7B, up 723% from $212.0M (2023-01-24 to 2023-03-17)Mar 17, 2023 · RAUM change · derived
- Nmn Igor Levental (President) no longer on Schedule A of T•• E••••••• G•••• L•• (listed 2023-01-24, absent 2023-03-17)Mar 17, 2023 · Control person left · inference
- T•• E••••••• G•••• L•• reported RAUM $212.0M, down 89% from $1.9B (2021-03-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- T•• E••••••• G•••• L•• reported RAUM $1.7B, up 60% from $1.1B (2019-03-26 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- T•• E••••••• G•••• L•• filed its initial SEC registration (Form ADV)Nov 19, 2012 · ria f•••• adv filing · fact
Across DFX
shared identifiers only, never a name match
- T•• E••••••• G•••• L•• · Independent Sponsorsshared crd · capital_provider
- T•• E••••••• G•••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- e•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 646-365-1600reportedpublic record, Form ADV, Mar 30, 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