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••••••••• L••
Latest filing Sep 11, 2026
First filing on the tape Jun 15, 2012 · 25 filings
SEC status approved since Jul 3, 2012
RAUM
$1.4B
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
11
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$1.4B as of Mar 23, 2026
Mar 14, 2013$141M then
HNW client RAUM$0 as of Mar 23, 2026
Mar 26, 2025$0 then
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 14, 20130 then
Employees (5.A)11 as of Mar 23, 2026
Mar 14, 20136 then
Private funds17 as of Mar 23, 2026
Mar 14, 20131 then
RAUM +14% over the last fiscal year+5.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 11, 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
- $59.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%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
- +14%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
- $1.2B, 23 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.3B89%
- Charitable organizations$155M11%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 1reported
- Accounts
- 24reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 23 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.89 institutional_share=0.11 related_bd=false related_bank=true 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
16 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••• L••• O••• M••••• F•••• L••• | Hedge Fund | $358M | 70 | Mar 30, 2017 |
| T•••• M••••• F•••• L••• | Hedge Fund | $152M | 20 | Sep 18, 2012 |
| T•••• P•••••• V••••••• I•• L• | Private Equity Fund | $145M | 41 | Mar 30, 2022 |
| T•••• P•••••• V••••••• X•• L• | Private Equity Fund | $106M | 33 | Mar 30, 2022 |
| T•••• P•••••• V••••••• X•• L• | Private Equity Fund | $54.5M | 7 | Mar 30, 2022 |
| T•••• P•••••• V••••••• I••• L• | Private Equity Fund | $52.0M | 7 | Mar 28, 2018 |
| T•••• P•••••• V••••••• V••• | Private Equity Fund | $48.8M | 8 | Mar 30, 2022 |
| T•••• P•••••• V••••••• X• L• | Private Equity Fund | $41.8M | 22 | Mar 30, 2022 |
| T•••• P•••••• V••••••• X••• L• | Private Equity Fund | $36.9M | 30 | Mar 30, 2022 |
| T•••• P•••••• V••••••• I• M••••• | Private Equity Fund | $25.6M | 4 | Mar 28, 2018 |
| T•••• P•••••• V••••••• X••• L• | Private Equity Fund | $20.5M | 26 | Mar 30, 2022 |
| T•••• P•••••• V••••••• I• M••••• | Private Equity Fund | $6.0M | 1 | Mar 28, 2018 |
| T•••• P•••••• V••••••• V•• L• | Private Equity Fund | $5.9M | 7 | Mar 25, 2020 |
| T•••• P•••••• V••••••• V••• L• | Private Equity Fund | $3.2M | 2 | Mar 29, 2021 |
| T•••• P•••••• V••••••• V• L• | Private Equity Fund | $237,977 | 1 | Mar 29, 2019 |
| T•••• P•••••• V••••••• X•••• L• | Private Equity Fund | $0 | 18 | Mar 30, 2022 |
Owners and control persons
Schedule A and B, latest filing
- B••••• B•••••••• G••••••• · Chief Compliance Officer And Chief Financial Officercontrolsince 07/2012 · owns less than 5%
- K••••••• B•••••• · Chief Executive Officercontrolsince 06/2012 · owns less than 5%
- K••••••• B•••••• · Membercontrolsince 07/2015 · owns 75% or more of T•••• C•••••• P••••••• G• L••
- K••••••• B•••••• · Limited Partnercontrolsince 07/2015 · owns 75% or more of T•••• C•••••• P•••••••• L•
Entity owners
- T•••• C•••••• P•••••••• L• · Memberdirect · owns 75% or more
- T•••• C•••••• P••••••• G• L•• · General Partnerindirect · owns F of T•••• C•••••• P•••••••• L•
Related persons
Schedule D 7.A
- T•••• P••••••• G• L••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 23, 2026 to Sep 11, 2026
- Private funds · 17 to unsetMar 23, 2026 to Sep 11, 2026
- Succession · false to unsetMar 23, 2026 to Sep 11, 2026
- Accounts · 27 to 24Mar 26, 2025 to Mar 23, 2026
- Advisory employees · 10 to 9Mar 26, 2025 to Mar 23, 2026
- Charity clients · 2 to 1Mar 26, 2025 to Mar 23, 2026
- Pooled vehicle clients · 24 to 23Mar 26, 2025 to Mar 23, 2026
- Assets in custody · $1.1B to $1.2BMar 26, 2025 to Mar 23, 2026
- Employees · 12 to 11Mar 26, 2025 to Mar 23, 2026
- Private funds · 18 to 17Mar 26, 2025 to Mar 23, 2026
- Discretionary RAUM · $1.2B to $1.4BMar 26, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $1.1B to $1.3BMar 26, 2025 to Mar 23, 2026
- RAUM · $1.2B to $1.4BMar 26, 2025 to Mar 23, 2026
- Accounts · 25 to 27Sep 5, 2024 to Mar 26, 2025
- Corporate clients · unset to 0.0Sep 5, 2024 to Mar 26, 2025
- HNW clients · unset to 0.0Sep 5, 2024 to Mar 26, 2025
- Individual clients · unset to 0.0Sep 5, 2024 to Mar 26, 2025
- Pension plan clients · unset to 0.0Sep 5, 2024 to Mar 26, 2025
- Pooled vehicle clients · 21 to 24Sep 5, 2024 to Mar 26, 2025
- Assets in custody · $1.0B to $1.1BSep 5, 2024 to Mar 26, 2025
- Financial planning clients · unset to Sep 5, 2024 to Mar 26, 2025
- Private funds · 15 to 18Sep 5, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.1B to $1.2BSep 5, 2024 to Mar 26, 2025
- HNW RAUM · unset to 0.0Sep 5, 2024 to Mar 26, 2025
- Individual RAUM · unset to 0.0Sep 5, 2024 to Mar 26, 2025
- Pension RAUM · unset to 0.0Sep 5, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $1.1B to $1.1BSep 5, 2024 to Mar 26, 2025
- RAUM · $1.1B to $1.2BSep 5, 2024 to Mar 26, 2025
- Accounts · 26 to 25Feb 8, 2024 to Mar 28, 2024
- Advisory employees · 11 to 10Feb 8, 2024 to Mar 28, 2024
- Pooled vehicle clients · 22 to 21Feb 8, 2024 to Mar 28, 2024
- Assets in custody · $1.0B to $1.0BFeb 8, 2024 to Mar 28, 2024
- Employees · 13 to 12Feb 8, 2024 to Mar 28, 2024
- Private funds · 16 to 15Feb 8, 2024 to Mar 28, 2024
- Discretionary RAUM · $1.2B to $1.1BFeb 8, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $1.1B to $1.1BFeb 8, 2024 to Mar 28, 2024
- RAUM · $1.2B to $1.1BFeb 8, 2024 to Mar 28, 2024
- Accounts · 24 to 26Mar 30, 2022 to Mar 31, 2023
- Advisory employees · 10 to 11Mar 30, 2022 to Mar 31, 2023
- Charity clients · unset to 2.0Mar 30, 2022 to Mar 31, 2023
Signals
7 dated events
- T•••• C•••••• M••••••••• L•• reported RAUM $1.2B, down 34% from $1.8B (2022-03-30 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- T•••• C•••••• M••••••••• L•• reported RAUM $1.8B, up 34% from $1.4B (2021-03-29 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- T•••• C•••••• M••••••••• L•• reported RAUM $1.4B, up 160% from $526.9M (2020-03-25 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- T•••• C•••••• M••••••••• L•• reported RAUM $463.5M, down 31% from $672.0M (2018-03-28 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- T•••• C•••••• M••••••••• L•• reported RAUM $672.0M, up 34% from $499.7M (2017-03-30 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
- T•••• C•••••• M••••••••• L••• reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 18, 2012 · Succession (Item 4) · fact
- T•••• C•••••• M••••••••• L••• filed its initial SEC registration (Form ADV)Jun 15, 2012 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T•••• C•••••• M••••••••• L•• · Independent Sponsorsshared crd · capital_provider
- T•••• C•••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- t•••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212.300.9530reportedpublic record, Form ADV, Sep 11, 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