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•••••• M•••••••••
Legal name T•••••••• C•••••• M••••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Jun 27, 2018 · 16 filings
SEC status approved since Jul 25, 2018
RAUM
$329M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$329M as of Mar 31, 2026
Mar 29, 2019$238M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20190 then
Employees (5.A)2 as of Mar 31, 2026
Mar 29, 20197 then
Private funds2 as of Mar 31, 2026
Mar 29, 20193 then
RAUM +5.2% over the last fiscal year-5.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $165MderivedRAUM 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
- +5.2%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
- $329M, 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
- 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$329M100%
- 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
- $329M for 2 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=false 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T• D•••• L•• | Private Equity Fund | $223M | 7 | Mar 28, 2013 |
| T••••••••• L••• | Private Equity Fund | $61.2M | 8 | Apr 2, 2012 |
| T••••• L•• | Private Equity Fund | $9.2M | 3 | Apr 2, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D•••••• A•••• S•••• · Managing Director, Director, Chief Compliance Officercontrolsince 06/2008 · owns less than 5%
- R•••••• J•••••••• P•••• · Directorcontrolsince 06/2008 · owns less than 5%
- D•••••• A•••• S•••• · Membercontrolsince 05/2008 · owns 75% or more of A•• I••••••••• L••
Entity owners
- A•• I••••••••• L•• · Member, Class Bdirect · owns 50% to 75%
- S•••••••• I••••••••• P•••••••• L••• · Ownerindirect · owns 75% or more of W•••• S•• G••• L•••
- S•••••••• I••••••••• P•••••••• L••• · Limited Partnerindirect · owns 75% or more of W•••• S••• L•••
- W•••• S•• G••• L••• · General Partnerindirect · owns F of W•••• S••• L•••
- W•••• S••• L••• · Member, Class Adirect · owns 10% to 25%
- W••• C•••• V•••••• F•••• L•• · Member, Class Adirect · owns 10% to 25%
Related persons
Schedule D 7.A
- T•••• G•• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 2Jul 14, 2025 to Mar 31, 2026
- Pooled vehicle clients · 3 to 2Jul 14, 2025 to Mar 31, 2026
- Assets in custody · $313M to $329MJul 14, 2025 to Mar 31, 2026
- Discretionary RAUM · $313M to $329MJul 14, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $313M to $329MJul 14, 2025 to Mar 31, 2026
- RAUM · $313M to $329MJul 14, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 27, 2025 to Jul 14, 2025
- Assets in custody · $293M to $313MMar 21, 2024 to Mar 27, 2025
- Private funds · 3 to 2Mar 21, 2024 to Mar 27, 2025
- Discretionary RAUM · $293M to $313MMar 21, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $293M to $313MMar 21, 2024 to Mar 27, 2025
- RAUM · $293M to $313MMar 21, 2024 to Mar 27, 2025
- Assets in custody · $390M to $293MDec 14, 2023 to Mar 21, 2024
- Discretionary RAUM · $390M to $293MDec 14, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $390M to $293MDec 14, 2023 to Mar 21, 2024
- RAUM · $390M to $293MDec 14, 2023 to Mar 21, 2024
- Advisory employees · 4 to 2Sep 23, 2022 to Mar 28, 2023
- Assets in custody · $356M to $390MSep 23, 2022 to Mar 28, 2023
- Employees · 6 to 2Sep 23, 2022 to Mar 28, 2023
- Discretionary RAUM · $357M to $390MSep 23, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $357M to $390MSep 23, 2022 to Mar 28, 2023
- RAUM · $357M to $390MSep 23, 2022 to Mar 28, 2023
- Advisory employees · 5 to 4Mar 30, 2021 to Mar 21, 2022
- Assets in custody · $278M to $356MMar 30, 2021 to Mar 21, 2022
- Employees · 7 to 6Mar 30, 2021 to Mar 21, 2022
- Discretionary RAUM · $278M to $357MMar 30, 2021 to Mar 21, 2022
- Pooled vehicle RAUM · $278M to $357MMar 30, 2021 to Mar 21, 2022
- RAUM · $278M to $357MMar 30, 2021 to Mar 21, 2022
- Assets in custody · $238M to $278MNov 12, 2020 to Mar 30, 2021
- Discretionary RAUM · $259M to $278MNov 12, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $259M to $278MNov 12, 2020 to Mar 30, 2021
- RAUM · $259M to $278MNov 12, 2020 to Mar 30, 2021
- Other offices · 1 to 0Nov 12, 2020 to Nov 12, 2020
- Discretionary RAUM · $238M to $259MMar 29, 2019 to Mar 24, 2020
- Pooled vehicle RAUM · $238M to $259MMar 29, 2019 to Mar 24, 2020
- RAUM · $238M to $259MMar 29, 2019 to Mar 24, 2020
- Assets in custody · $233M to $238MJun 27, 2018 to Mar 29, 2019
- Private funds · 6 to 3Jun 27, 2018 to Mar 29, 2019
- Discretionary RAUM · $233M to $238MJun 27, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $233M to $238MJun 27, 2018 to Mar 29, 2019
Signals
2 dated events
- Kenneth Mark Roche (Member) no longer on Schedule A of T•••••••• C•••••• M••••••••• (listed 2022-06-13, absent 2022-09-23)Sep 23, 2022 · Control person left · inference
- T•••••••• C•••••• M••••••••• filed its initial SEC registration (Form ADV)Jun 27, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T•••••••• C•••••• M••••••••• · Independent Sponsorsshared crd · capital_provider
- T•••••••• C•••••• M••••••••• · Private Equityshared crd · organization
- T•••••••• C•••••• M••••••••• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/T••••••••-CAPITAL-MANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
- Website
- tqdelta.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 512-609-1820reportedpublic record, Form ADV, Mar 31, 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