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•••••••• I••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 162043SEC 801-77916IAPD
Legal name T•••••••• I••••••••• L•••••
Latest filing Mar 30, 2020
First filing on the tape Apr 1, 2013 · 10 filings
RAUM
$73.5M
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
6
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$73.5M gross assets
History
10 filings and snapshots on the tape
RAUM$73.5M as of Mar 30, 2020
Mar 28, 2014$159M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 28, 20140 then
Employees (5.A)6 as of Mar 30, 2020
Mar 28, 20148 then
Private funds1 as of Mar 30, 2020
Mar 28, 20141 then
RAUM -32% over the last fiscal year-16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
$36.7MderivedRAUM 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
-32%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
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$73.5M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••••••• S••••••••• L•••••Hedge Fund$89.2M12Apr 1, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• A•••••• J••••• · Chief Executive Officer, Chief Compliance Officer And Managing Membercontrol
        since 01/1999 · owns 25% to 50%
      • S•••••• D•••••• P••••• · Chief Investment Officer And Membercontrol
        since 07/2008 · owns 10% to 25%
      • E•••••• D•••••• A••••• · Chief Operating Officer
        since 03/2008 · owns less than 5%
      Related persons
      Schedule D 7.A
      • T•••••••• A•••••••• 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 · $109M to $73.5M
        Nov 14, 2019 to Mar 30, 2020
      • Discretionary RAUM · $109M to $73.5M
        Nov 14, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $109M to $73.5M
        Nov 14, 2019 to Mar 30, 2020
      • RAUM · $109M to $73.5M
        Nov 14, 2019 to Mar 30, 2020
      • Assets in custody · $114M to $109M
        Mar 28, 2018 to Mar 27, 2019
      • Discretionary RAUM · $114M to $109M
        Mar 28, 2018 to Mar 27, 2019
      • Pooled vehicle RAUM · $114M to $109M
        Mar 28, 2018 to Mar 27, 2019
      • RAUM · $114M to $109M
        Mar 28, 2018 to Mar 27, 2019
      • BD registered reps · 6 to 0
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 1.0
        Mar 30, 2017 to Mar 28, 2018
      • Assets in custody · $124M to $114M
        Mar 30, 2017 to Mar 28, 2018
      • Custody of client assets · true to false
        Mar 30, 2017 to Mar 28, 2018
      • Employees · 8 to 6
        Mar 30, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Discretionary RAUM · $124M to $114M
        Mar 30, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 114176363.0
        Mar 30, 2017 to Mar 28, 2018
      • RAUM · $124M to $114M
        Mar 30, 2017 to Mar 28, 2018
      • Related broker-dealer · true to false
        Mar 30, 2017 to Mar 28, 2018
      • Assets in custody · $224M to $124M
        Mar 21, 2016 to Mar 30, 2017
      • Discretionary RAUM · $224M to $124M
        Mar 21, 2016 to Mar 30, 2017
      • RAUM · $224M to $124M
        Mar 21, 2016 to Mar 30, 2017
      • Assets in custody · $228M to $224M
        Mar 18, 2015 to Mar 21, 2016
      • Employees · 7 to 8
        Mar 18, 2015 to Mar 21, 2016
      • Discretionary RAUM · $228M to $224M
        Mar 18, 2015 to Mar 21, 2016
      • RAUM · $228M to $224M
        Mar 18, 2015 to Mar 21, 2016
      • Advisory employees · 7 to 6
        Mar 28, 2014 to Mar 18, 2015
      • BD registered reps · 7 to 6
        Mar 28, 2014 to Mar 18, 2015
      • Assets in custody · $159M to $228M
        Mar 28, 2014 to Mar 18, 2015
      • Employees · 8 to 7
        Mar 28, 2014 to Mar 18, 2015
      • Discretionary RAUM · $159M to $228M
        Mar 28, 2014 to Mar 18, 2015
      • RAUM · $159M to $228M
        Mar 28, 2014 to Mar 18, 2015
      • Advisory employees · 8 to 7
        Apr 5, 2013 to Mar 28, 2014
      • BD registered reps · 8 to 7
        Apr 5, 2013 to Mar 28, 2014
      • Assets in custody · $153M to $159M
        Apr 5, 2013 to Mar 28, 2014
      • Employees · 9 to 8
        Apr 5, 2013 to Mar 28, 2014
      • Discretionary RAUM · $153M to $159M
        Apr 5, 2013 to Mar 28, 2014
      • RAUM · $153M to $159M
        Apr 5, 2013 to Mar 28, 2014
      • Legal name · T•••••••• I••••••••• L•• to T•••••••• I••••••••• L•••••
        Apr 1, 2013 to Apr 5, 2013
      Signals
      1 dated events
      • T•••••••• I••••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 1, 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.
      How to reach
      public business contact points only, each with its source
      Website
      T••••••••-INVESTMENTS.COMreportedpublic record, Form ADV, Sep 19, 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
      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