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••• P•••• C•••••• M••••••••• L•

Former SEC-registered adviserOld Greenwich, ConnecticutCRD 164811SEC 801-79773IAPD
Latest filing Mar 14, 2018
First filing on the tape May 14, 2014 · 8 filings
RAUM
$1.8B
reported, Item 5.F
Discretionary
97%
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
12
12 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$1.7B gross assets
History
8 filings and snapshots on the tape
RAUM$1.8B as of Mar 14, 2018
Mar 30, 2015$844M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 14, 2018
Mar 30, 20150 then
Employees (5.A)12 as of Mar 14, 2018
Mar 30, 201510 then
Private funds2 as of Mar 14, 2018
Mar 30, 20151 then
RAUM +12% over the last fiscal year+29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 14, 2018; 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
$358MderivedRAUM over accounts (5.F.2.f)
Discretionary
97%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
+12%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
$922M, 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
  • 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
  • Pooled investment vehicles$1.7B97%
  • Corporations and businesses$58.0M3.2%
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
$922M for 2 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••• P•••• M••••• F•••• L•••Hedge Fund$1.6B197Aug 13, 2012
      T••• P•••• R• F•••• L•••Hedge Fund$108M1Feb 27, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • A•••••• M•••• A••• · Limited Partnercontrol
        since 08/2012 · owns 10% to 25%
      • A••••••••• J••••••• A••••• · Chief Operating Officer, Chief Compliance Officercontrol
        since 04/2015 · owns less than 5%
      • E•••••• M••••••• E••• · Chief Financial Officercontrol
        since 12/2015 · owns less than 5%
      • S•••••• A•••••• W•••••• · Limited Partnercontrol
        since 08/2012 · owns 10% to 25%
      • W•••••• C••••••••• A••• · Chief Investment Officer And Limited Partnercontrol
        since 02/2012 · owns 50% to 75%
      • W•••••• C••••••••• A••• · Managing Membercontrol
        since 01/2014 · owns 75% or more of T••• P•••• C•••••• M••••••••• G•• L••
      Entity owners
      • T••• P•••• C•••••• M••••••••• G•• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • T••• P•••• C•••••• G•• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 14 to 12
        Feb 27, 2017 to Mar 14, 2018
      • Corporate clients · unset to 1.0
        Feb 27, 2017 to Mar 14, 2018
      • Pooled vehicle clients · unset to 4.0
        Feb 27, 2017 to Mar 14, 2018
      • Assets in custody · $1.1B to $922M
        Feb 27, 2017 to Mar 14, 2018
      • Employees · 14 to 12
        Feb 27, 2017 to Mar 14, 2018
      • Other offices · unset to 0.0
        Feb 27, 2017 to Mar 14, 2018
      • Discretionary RAUM · $1.5B to $1.7B
        Feb 27, 2017 to Mar 14, 2018
      • Non-discretionary RAUM · $60.8M to $58.0M
        Feb 27, 2017 to Mar 14, 2018
      • Pooled vehicle RAUM · unset to 1732529818.0
        Feb 27, 2017 to Mar 14, 2018
      • RAUM · $1.6B to $1.8B
        Feb 27, 2017 to Mar 14, 2018
      • Related adviser · true to false
        Feb 27, 2017 to Mar 14, 2018
      • Accounts · 4 to 5
        Mar 23, 2016 to Feb 27, 2017
      • Advisory employees · 10 to 14
        Mar 23, 2016 to Feb 27, 2017
      • Assets in custody · $1.1B to $1.1B
        Mar 23, 2016 to Feb 27, 2017
      • Employees · 10 to 14
        Mar 23, 2016 to Feb 27, 2017
      • Private funds · 1 to 2
        Mar 23, 2016 to Feb 27, 2017
      • Discretionary RAUM · $1.1B to $1.5B
        Mar 23, 2016 to Feb 27, 2017
      • Non-discretionary RAUM · $21.6M to $60.8M
        Mar 23, 2016 to Feb 27, 2017
      • RAUM · $1.1B to $1.6B
        Mar 23, 2016 to Feb 27, 2017
      • Accounts · 3 to 4
        Apr 24, 2015 to Mar 23, 2016
      • Assets in custody · $844M to $1.1B
        Apr 24, 2015 to Mar 23, 2016
      • Discretionary RAUM · $844M to $1.1B
        Apr 24, 2015 to Mar 23, 2016
      • Non-discretionary RAUM · $0 to $21.6M
        Apr 24, 2015 to Mar 23, 2016
      • RAUM · $844M to $1.1B
        Apr 24, 2015 to Mar 23, 2016
      • Accounts · 1 to 3
        Jun 18, 2014 to Mar 30, 2015
      • Advisory employees · 6 to 10
        Jun 18, 2014 to Mar 30, 2015
      • Assets in custody · $378M to $844M
        Jun 18, 2014 to Mar 30, 2015
      • Employees · 6 to 10
        Jun 18, 2014 to Mar 30, 2015
      • Discretionary RAUM · $378M to $844M
        Jun 18, 2014 to Mar 30, 2015
      • RAUM · $378M to $844M
        Jun 18, 2014 to Mar 30, 2015
      • Business name · T••• P•••• C•••••• M••••••••• L•• to T••• P•••• C•••••• M••••••••• L•
        May 14, 2014 to Jun 18, 2014
      • Private funds · 2 to 1
        May 14, 2014 to Jun 18, 2014
      Signals
      1 dated events
      • T••• P•••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        May 14, 2014 · 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