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••• M•••••• L••

Former SEC-registered adviserWhite Plains, New YorkCRD 162892SEC 801-107787IAPD
Latest filing Jun 4, 2019
First filing on the tape Apr 28, 2016 · 10 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
0
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$232M as of Mar 28, 2019
Mar 28, 2017$181M then
HNW client RAUM$0 as of Mar 28, 2019
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 28, 2019
Mar 28, 20170 then
Employees (5.A)2 as of Mar 28, 2019
Mar 28, 20172 then
Private funds6 as of Mar 28, 2019
Mar 28, 20178 then
RAUM -100% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 4, 2019; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
-2.2%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
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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••• I••••••••• • S• M•••• L••no longer reportedPrivate Equity Fund$11.6M25Mar 27, 2012
      T•••••••• I••••••••• C•••• L••no longer reportedPrivate Equity Fund$249,45819Mar 27, 2012
      M• P••••••• I• L•••no longer reportedPrivate Equity Fund$121,61525Mar 27, 2012
      T••• I••••••••• L••Private Equity Fund$1,56037Mar 27, 2012
      T••• I••••••••• P•••• L••no longer reportedPrivate Equity Fund$011Mar 27, 2012
      T••• I••••••••• • P•••••• P••• C••••••••• L••no longer reportedPrivate Equity Fund$022Mar 27, 2012
      T••• I••••••••• P••••• L••no longer reportedPrivate Equity Fund$05Mar 27, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• G•••••• H•••• · Membercontrol
        since 06/2006 · owns 50% to 75%
      • M••••••• R••••• N•• · Cco, Membercontrol
        since 06/2006 · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • M••••• J••••• T••••••••• G•••• I•••
        n
      • T••••••••• S•••••• P••••••• L••
        pooled vehicle sponsory
      • T••••••••• H••••••• I•••
        n
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 0
        Mar 28, 2019 to Jun 4, 2019
      • Pooled vehicle clients · 6 to 0
        Mar 28, 2019 to Jun 4, 2019
      • Assets in custody · 231552000.0 to unset
        Mar 28, 2019 to Jun 4, 2019
      • Custody of client assets · true to false
        Mar 28, 2019 to Jun 4, 2019
      • Private funds · 6 to unset
        Mar 28, 2019 to Jun 4, 2019
      • Discretionary RAUM · $232M to $0
        Mar 28, 2019 to Jun 4, 2019
      • Pooled vehicle RAUM · $232M to $0
        Mar 28, 2019 to Jun 4, 2019
      • RAUM · $232M to $0
        Mar 28, 2019 to Jun 4, 2019
      • Accounts · 8 to 6
        Mar 29, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 8 to 6
        Mar 29, 2018 to Mar 28, 2019
      • Assets in custody · $56,941 to $232M
        Mar 29, 2018 to Mar 28, 2019
      • Private funds · 8 to 6
        Mar 29, 2018 to Mar 28, 2019
      • Discretionary RAUM · $237M to $232M
        Mar 29, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $237M to $232M
        Mar 29, 2018 to Mar 28, 2019
      • RAUM · $237M to $232M
        Mar 29, 2018 to Mar 28, 2019
      • Charity clients · unset to 0.0
        May 17, 2017 to Mar 29, 2018
      • Corporate clients · unset to 0.0
        May 17, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        May 17, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        May 17, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        May 17, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 8.0
        May 17, 2017 to Mar 29, 2018
      • Assets in custody · $93,685 to $56,941
        May 17, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        May 17, 2017 to Mar 29, 2018
      • Discretionary RAUM · $181M to $237M
        May 17, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 0.0
        May 17, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 0.0
        May 17, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 0.0
        May 17, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 236739672.0
        May 17, 2017 to Mar 29, 2018
      • RAUM · $181M to $237M
        May 17, 2017 to Mar 29, 2018
      • Related broker-dealer · true to false
        May 17, 2017 to Mar 29, 2018
      • Assets in custody · $214M to $93,685
        Sep 14, 2016 to Mar 28, 2017
      • Discretionary RAUM · $214M to $181M
        Sep 14, 2016 to Mar 28, 2017
      • RAUM · $214M to $181M
        Sep 14, 2016 to Mar 28, 2017
      • Advisory employees · 16 to 2
        Jul 26, 2016 to Sep 14, 2016
      • BD registered reps · 16 to 2
        Jul 26, 2016 to Sep 14, 2016
      • Employees · 16 to 2
        Jul 26, 2016 to Sep 14, 2016
      • HQ city · NEW YORK to WHITE PLAINS
        Jul 26, 2016 to Sep 14, 2016
      • Private funds · 16 to 8
        Apr 28, 2016 to May 12, 2016
      Signals
      2 dated events
      • T••• M•••••• L•• reported RAUM $0, down 100% from $231.6M (2019-03-28 to 2019-06-04)
        Jun 4, 2019 · RAUM change · derived
      • T••• M•••••• L•• filed its initial SEC registration (Form ADV)
        Apr 28, 2016 · First SEC registration · fact
      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