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•••••• R••••• C••••••
Legal name T•••••• R••••• M••••••••• L••
Latest filing Mar 30, 2016
First filing on the tape Feb 23, 2012 · 9 filings
RAUM
$287M
reported, Item 5.F
Discretionary
35%
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
15
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$101M gross assets
History
9 filings and snapshots on the tape
RAUM$287M as of Mar 30, 2016
Mar 28, 2013$171M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 28, 20130 then
Employees (5.A)15 as of Mar 30, 2016
Mar 28, 201316 then
Private funds2 as of Mar 30, 2016
Mar 28, 20134 then
RAUM +67% over the last fiscal year+19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2016; 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
- $95.7MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 35%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
- +67%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $101M, 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
- 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)
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
- 3reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $101M 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
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••••••••• R• P••• F•••• L••no longer reported | Real Estate Fund | $35.4M | 3 | Feb 23, 2012 |
| G•• F••••••• L••no longer reported | Real Estate Fund | $10.9M | 1 | Feb 23, 2012 |
| T•••••• G•• F••••••• L••no longer reported | Real Estate Fund | $9.4M | 1 | Feb 23, 2012 |
| B••••••• I••••••••• F•••• L•• | Real Estate Fund | $56,000 | 2 | Feb 23, 2012 |
Owners and control persons
Schedule A and B, latest filing
- G•••••••• R••••••• C••• · Elected M••••••/Executive Directorcontrolsince 03/2000 · owns less than 5%
- L•••••• G•••••• D•••••• · Elected M••••••/Cfocontrolsince 08/2004 · owns less than 5%
- M••• D•••••• O••• · Elected M••••••/Executive Directorcontrolsince 03/2000 · owns less than 5%
- M•••••• T•••••• K•••••• · Elected M••••••/Chief Compliance Officercontrolsince 08/2006 · owns less than 5%
- G•••••••• R••••••• C••• · Shareholder/Executive Directorcontrolsince 03/2000 · owns 25% to 50% of T•••••• R••••• C••••••• I•••
- M••• D•••••• O••• · Shareholder/Executive Directorcontrolsince 03/2000 · owns 25% to 50% of T•••••• R••••• C••••••• I•••
Entity owners
- T•••••• R••••• C••••••• I••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- B•• M••••••••• L•• ••••••• A••••••• M•••••••••investment advisern
- T•••••• I••••••••• M••••••••• L•• ••••••• A••••••• M•••••••••investment advisern
- T•••••• N•• P•••••••• L••pooled vehicle sponsorn
- T••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $3.6M to $101MJan 25, 2016 to Mar 30, 2016
- Employees · 16 to 15Jan 25, 2016 to Mar 30, 2016
- Discretionary RAUM · $122M to $101MJan 25, 2016 to Mar 30, 2016
- Non-discretionary RAUM · $49.7M to $186MJan 25, 2016 to Mar 30, 2016
- RAUM · $172M to $287MJan 25, 2016 to Mar 30, 2016
- Accounts · 4 to 3Mar 28, 2014 to Mar 31, 2015
- Assets in custody · $6.6M to $3.6MMar 28, 2014 to Mar 31, 2015
- Employees · 14 to 16Mar 28, 2014 to Mar 31, 2015
- Private funds · 3 to 2Mar 28, 2014 to Mar 31, 2015
- Discretionary RAUM · $116M to $122MMar 28, 2014 to Mar 31, 2015
- Non-discretionary RAUM · $83.9M to $49.7MMar 28, 2014 to Mar 31, 2015
- RAUM · $200M to $172MMar 28, 2014 to Mar 31, 2015
- Accounts · 5 to 4Apr 30, 2013 to Mar 28, 2014
- Advisory activities · 1 to 2Apr 30, 2013 to Mar 28, 2014
- Assets in custody · $25.0M to $6.6MApr 30, 2013 to Mar 28, 2014
- Employees · 16 to 14Apr 30, 2013 to Mar 28, 2014
- Private funds · 4 to 3Apr 30, 2013 to Mar 28, 2014
- Discretionary RAUM · $114M to $116MApr 30, 2013 to Mar 28, 2014
- Non-discretionary RAUM · $56.7M to $83.9MApr 30, 2013 to Mar 28, 2014
- RAUM · $171M to $200MApr 30, 2013 to Mar 28, 2014
- Related adviser · false to trueApr 30, 2013 to Mar 28, 2014
- Employees · unset to 16.0Mar 26, 2012 to Mar 28, 2013
- Advisory employees · unset to 6.0Mar 26, 2012 to Mar 28, 2013
- BD registered reps · unset to 0.0Mar 26, 2012 to Mar 28, 2013
- Assets in custody · $36.0M to $25.0MMar 26, 2012 to Mar 28, 2013
- State-registered IARs · unset to 0.0Mar 26, 2012 to Mar 28, 2013
- Private funds · 5 to 4Mar 26, 2012 to Mar 28, 2013
- Discretionary RAUM · $127M to $114MMar 26, 2012 to Mar 28, 2013
- Non-discretionary RAUM · $110M to $56.7MMar 26, 2012 to Mar 28, 2013
- RAUM · $237M to $171MMar 26, 2012 to Mar 28, 2013
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
Across the graphs
T•••••• R••••• C•••••• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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