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•••••••• C•••••• L••
Latest filing Mar 27, 2026
First filing on the tape Mar 22, 2012 · 25 filings
SEC status approved since Mar 30, 2012
RAUM
$268M
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
11
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$268M as of Mar 27, 2026
Mar 19, 2013$248M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 19, 20130 then
Employees (5.A)11 as of Mar 27, 2026
Mar 19, 201335 then
Private funds2 as of Mar 27, 2026
Mar 19, 20133 then
RAUM -15% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $134MderivedRAUM 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
- -15%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $165M, 2 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$268M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $165M for 2 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true 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 |
|---|---|---|---|---|
| T•••••••• M••••• F••• L• | Hedge Fund | $237M | 37 | Mar 22, 2012 |
| T•••••••• G••••• E••••• M••••• F••• L•• | Hedge Fund | $104M | 6 | Mar 22, 2012 |
| K••••••• I••••••••• L••no longer reported | Hedge Fund | $0 | 0 | Apr 26, 2018 |
| T•••••••• M••••• F••• L••no longer reported | Hedge Fund | $0 | 0 | Mar 22, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• M••••••••• W•••••• · President Of T•••••••• C•••••• L••controlsince 04/2011 · owns less than 5%
- L••••••• J••• M•••••• · Officer Of T•••••••• C•••••• L••controlsince 06/2010 · owns less than 5%
- M•••••••• H•••••• J•• · Cfo Of T•••••••• C•••••• L••controlsince 09/2006 · owns less than 5%
- R••••• T••••• J••• · Cco Of T•••••••• C•••••• L••controlsince 11/2004 · owns less than 5%
- W•••••••• W•••• K••••••• · Chairman Of T•••••••• C•••••• L••controlsince 11/1996 · owns less than 5%
- W•••• S•••••• W••••• · Ceo Of T•••••••• C•••••• L••controlsince 04/2011 · owns less than 5%
- W•••••••• W•••• K••••••• · Membercontrolsince 11/1995 · owns 25% to 50% of T•••••••• H••••••• L••
- W•••• S•••••• W••••• · Membercontrolsince 11/1995 · owns 25% to 50% of T•••••••• H••••••• L••
Entity owners
- T•••••••• H••••••• L•• · Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- T•• A••••••• L••investment adviserbanknRAUM $164M
- T•••••••• S••••••••• L••broker-dealern
- T•••••••• W•••••••• L••broker-dealern
Advisers that list T•••••••• C•••••• L•• as a related person
- 286356 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 27, 2026employees (Item 5.A) moved from 20.0 to 11.0 (-45.0%) between the annual amendments of 2025-03-28 and 2026-03-27; the peer median change was 0.0% (393 comparable advisers, 4.0th percentile of changes)peers: asset managers, $100M to $500M (393) · 4.1% percentile
What changed
consecutive filings, newest first
- Advisory employees · 20 to 11Jul 1, 2025 to Mar 27, 2026
- Assets in custody · $207M to $165MJul 1, 2025 to Mar 27, 2026
- Employees · 20 to 11Jul 1, 2025 to Mar 27, 2026
- Discretionary RAUM · $315M to $268MJul 1, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $315M to $268MJul 1, 2025 to Mar 27, 2026
- RAUM · $315M to $268MJul 1, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 28, 2025 to Jul 1, 2025
- Assets in custody · $227M to $207MMar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $330M to $315MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $330M to $315MMar 28, 2024 to Mar 28, 2025
- RAUM · $330M to $315MMar 28, 2024 to Mar 28, 2025
- Accounts · 3 to 2Mar 28, 2023 to Mar 28, 2024
- Advisory employees · 30 to 20Mar 28, 2023 to Mar 28, 2024
- Advisory activities · 2 to 1Mar 28, 2023 to Mar 28, 2024
- Assets in custody · $239M to $227MMar 28, 2023 to Mar 28, 2024
- Employees · 30 to 20Mar 28, 2023 to Mar 28, 2024
- Discretionary RAUM · $376M to $330MMar 28, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $347M to $330MMar 28, 2023 to Mar 28, 2024
- RAUM · $376M to $330MMar 28, 2023 to Mar 28, 2024
- Assets in custody · $256M to $239MMay 3, 2022 to Mar 28, 2023
- Discretionary RAUM · $313M to $376MMay 3, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $284M to $347MMay 3, 2022 to Mar 28, 2023
- RAUM · $313M to $376MMay 3, 2022 to Mar 28, 2023
- Related bank · false to trueMay 3, 2022 to Mar 28, 2023
- Discretionary RAUM · $256M to $313MMar 30, 2021 to Mar 30, 2022
- Pooled vehicle RAUM · $215M to $284MMar 30, 2021 to Mar 30, 2022
- RAUM · $256M to $313MMar 30, 2021 to Mar 30, 2022
- Accounts · 4 to 3Mar 25, 2020 to Mar 30, 2021
- Assets in custody · $235M to $256MMar 25, 2020 to Mar 30, 2021
- Discretionary RAUM · $212M to $256MMar 25, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $175M to $215MMar 25, 2020 to Mar 30, 2021
- RAUM · $212M to $256MMar 25, 2020 to Mar 30, 2021
- Accounts · 3 to 4Mar 21, 2019 to Mar 25, 2020
- Assets in custody · $213M to $235MMar 21, 2019 to Mar 25, 2020
- Discretionary RAUM · $231M to $212MMar 21, 2019 to Mar 25, 2020
- Pooled vehicle RAUM · $185M to $175MMar 21, 2019 to Mar 25, 2020
- RAUM · $231M to $212MMar 21, 2019 to Mar 25, 2020
- Accounts · 5 to 3Apr 26, 2018 to Mar 21, 2019
- Advisory employees · 35 to 30Apr 26, 2018 to Mar 21, 2019
- Assets in custody · $376M to $213MApr 26, 2018 to Mar 21, 2019
Signals
1 dated events
- T•••••••• C•••••• L•• reported RAUM $262.1M, down 30% from $376.1M (2018-03-12 to 2018-04-26)Apr 26, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- T••••••••LLC.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 312-264-2000reportedpublic record, Form ADV, Mar 27, 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