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•••• H••••• C••••••

Former SEC-registered adviserNew York, New YorkCRD 162660SEC 801-75835IAPD
Legal name T•••• M••••••••• L•
Latest filing Sep 13, 2013
First filing on the tape Mar 30, 2012 · 9 filings
RAUM
$233M
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
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$233M gross assets
History
9 filings and snapshots on the tape
RAUM$233M as of Sep 13, 2013
Mar 30, 2012$393M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 13, 2013
Jan 31, 20130 then
Employees (5.A)6 as of Sep 13, 2013
Jan 31, 201310 then
Private funds3 as of Sep 13, 2013
Mar 30, 20124 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 13, 2013; 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
$38.9MderivedRAUM 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
unknownderivedbetween 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
$217M, 6 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)
  • 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)
  • 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
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
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$217M for 6 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
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      H••••••••• S••••Private Equity Fund$125M10Mar 30, 2012
      T•••• H••••• V••••••• L•Venture Capital Fund$65.0M34Mar 30, 2012
      T•••• H••••• V••••••• I• L•Venture Capital Fund$41.0M23Mar 30, 2012
      T•••• O••••••••• F••• L•Hedge Fund$24.5M17Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F•••• A•••••• A••• · Managing Partner Of Registrantcontrol
        since 06/2005 · owns 25% to 50%
      • R••••••• D••••• B••• · Managing Partner Of Registrantcontrol
        since 06/2005 · owns 25% to 50%
      • F•••• A•••••• A••• · Managing Membercontrol
        since 12/2004 · owns 75% or more of J•• H••••• V••••••• L••
      • R••••••• D••••• B••• · Managing Membercontrol
        since 05/2005 · owns 75% or more of A•• H••••••• L••
      • R••••••• D••••• B••• · Managing Membercontrol
        since 01/2006 · owns 75% or more of A•• H••••••• I• L••
      • C••••• S••••• M•••••• · Chief Compliance Officer Of Registrant And Partner Of Registrant
        since 06/2005 · owns less than 5%
      Entity owners
      • A•• H••••••• I• L•• · Managing Member Of T•••• H••••• V••••••• A••••••••• L••
        direct · owns 25% to 50%
      • A•• H••••••• L•• · Limited Partner Of Registrant
        direct · owns 25% to 50%
      • J•• H••••• V••••••• L•• · Limited Partner Of Registrant
        direct · owns 25% to 50%
      • T•••• M••••••••• L•• · General Partner Of Registrant
        direct · owns less than 5%
      • A•• H••••••• L•• · Managing Member
        indirect · owns 50% to 75% of T•••• M••••••••• L••
      • J•• H••••• V••••••• L•• · Managing Member
        indirect · owns 50% to 75% of T•••• M••••••••• L••
      Related persons
      Schedule D 7.A
      • T•••• H••••• V••••••• A••••••••• L••
        investment adviserpooled vehicle sponsorn
      • T•••• H••••• V••••••• I• A••••••••• L••
        investment adviserpooled vehicle sponsorn
      • T•••• O••••••••• P••••••• L••
        investment adviserpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 6
        May 9, 2013 to Sep 13, 2013
      • Assets in custody · $217M to $217M
        May 9, 2013 to Sep 13, 2013
      • Private funds · 4 to 3
        May 9, 2013 to Sep 13, 2013
      • Discretionary RAUM · $361M to $233M
        May 9, 2013 to Sep 13, 2013
      • RAUM · $361M to $233M
        May 9, 2013 to Sep 13, 2013
      • Advisory employees · 9 to 5
        Jan 31, 2013 to Apr 1, 2013
      • Assets in custody · unset to 217410000.0
        Jan 31, 2013 to Apr 1, 2013
      • Custody of client assets · false to true
        Jan 31, 2013 to Apr 1, 2013
      • Employees · 10 to 6
        Jan 31, 2013 to Apr 1, 2013
      • Discretionary RAUM · $393M to $361M
        Jan 31, 2013 to Apr 1, 2013
      • RAUM · $393M to $361M
        Jan 31, 2013 to Apr 1, 2013
      • Advisory employees · unset to 9.0
        Apr 27, 2012 to Jan 31, 2013
      • BD registered reps · unset to 0.0
        Apr 27, 2012 to Jan 31, 2013
      • Employees · unset to 10.0
        Apr 27, 2012 to Jan 31, 2013
      • State-registered IARs · unset to 0.0
        Apr 27, 2012 to Jan 31, 2013
      • Business name · T•••• M••••••••• L• to T•••• H••••• C••••••
        Mar 30, 2012 to Apr 9, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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