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•••••• C•••••• M••••••••• L•••

Former SEC-registered adviserNew York, New YorkCRD 162921SEC 801-76431IAPD
Latest filing Mar 27, 2014
First filing on the tape Apr 3, 2012 · 7 filings
RAUM
$299M
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
13
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$106M gross assets
History
7 filings and snapshots on the tape
RAUM$299M as of Mar 27, 2014
Mar 27, 2013$241M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2014
Mar 27, 20130 then
Employees (5.A)13 as of Mar 27, 2014
Mar 27, 201310 then
Private funds3 as of Mar 27, 2014
Mar 27, 20133 then
RAUM +24% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2014; 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
$59.9MderivedRAUM 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
+24%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
$52.9M, 3 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
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$52.9M for 3 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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••••• M••••• F••• L••••••Hedge Fund$52.9M3Aug 3, 2012
      T•••••• F••• L•••Hedge Fund$41.5M2Mar 27, 2013
      T•••••• P••••••• L••Hedge Fund$11.3M3Aug 3, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• J••••••• J•• · Chief Executive Officercontrol
        since 12/2011 · owns less than 5%
      • C••••• C•••• · Senior Controllercontrol
        since 03/2012 · owns less than 5%
      • C•••••••• J••• · Chief Compliance Officer And Chief Operating Officercontrol
        since 01/2012 · owns less than 5%
      • B•••••• J••••••• J•• · Membercontrol
        since 03/2012 · owns 75% or more of P•••••• H••••••• L••
      Entity owners
      • P•••••• H••••••• L•• · Sole Member Of T••••••• O••• M••••••• L••
        direct · owns 75% or more
      • P•••••• M••••••••• L• · L•••••• Partner Of T•••••• C•••••• M••••••••• L•••
        direct · owns 75% or more
      • T•••••• G• L•• · General Partner Of T•••••• C•••••• M••••••••• L•••
        direct · owns less than 5%
      • B••••• 2••• I••••••••• T•••• · L•••••• Partner
        indirect · owns 75% or more of P•••••• M••••••••• L•
      • P•••••• G• L•• · General Partner
        indirect · owns 75% or more of P•••••• M••••••••• L•
      • P•••••• M••••••••• L• · Member
        indirect · owns 75% or more of T•••••• G• L••
      Related persons
      Schedule D 7.A
      • T••••••• O••• M••••••• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $50.4M to $52.9M
        Aug 16, 2013 to Mar 27, 2014
      • Discretionary RAUM · $267M to $299M
        Aug 16, 2013 to Mar 27, 2014
      • RAUM · $267M to $299M
        Aug 16, 2013 to Mar 27, 2014
      • Advisory employees · 8 to 10
        Mar 27, 2013 to Aug 16, 2013
      • Assets in custody · $56.2M to $50.4M
        Mar 27, 2013 to Aug 16, 2013
      • Employees · 10 to 13
        Mar 27, 2013 to Aug 16, 2013
      • Financial planning clients · 1-10 to unset
        Mar 27, 2013 to Aug 16, 2013
      • Discretionary RAUM · $241M to $267M
        Mar 27, 2013 to Aug 16, 2013
      • RAUM · $241M to $267M
        Mar 27, 2013 to Aug 16, 2013
      • Accounts · 4 to 5
        Aug 3, 2012 to Mar 27, 2013
      • Advisory employees · unset to 8.0
        Aug 3, 2012 to Mar 27, 2013
      • BD registered reps · unset to 0.0
        Aug 3, 2012 to Mar 27, 2013
      • Assets in custody · $976,176 to $56.2M
        Aug 3, 2012 to Mar 27, 2013
      • Employees · unset to 10.0
        Aug 3, 2012 to Mar 27, 2013
      • Financial planning clients · unset to 1-10
        Aug 3, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Aug 3, 2012 to Mar 27, 2013
      • Private funds · 2 to 3
        Aug 3, 2012 to Mar 27, 2013
      • Discretionary RAUM · $36.8M to $241M
        Aug 3, 2012 to Mar 27, 2013
      • RAUM · $36.8M to $241M
        Aug 3, 2012 to Mar 27, 2013
      • Accounts · unset to 4.0
        May 1, 2012 to Aug 3, 2012
      • Assets in custody · unset to 976176.0
        May 1, 2012 to Aug 3, 2012
      • Custody of client assets · false to true
        May 1, 2012 to Aug 3, 2012
      • Private funds · unset to 2
        May 1, 2012 to Aug 3, 2012
      • Discretionary RAUM · unset to 36774011.0
        May 1, 2012 to Aug 3, 2012
      • Non-discretionary RAUM · unset to 0.0
        May 1, 2012 to Aug 3, 2012
      • RAUM · unset to 36774011.0
        May 1, 2012 to Aug 3, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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