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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
T••••••••• L••
Latest filing Apr 13, 2016
First filing on the tape Aug 24, 2012 · 9 filings
RAUM
$59.7M
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
26
15 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape
RAUM$59.7M as of Mar 30, 2016
Mar 28, 2014$103M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2016
Mar 26, 20130 then
Employees (5.A)26 as of Mar 30, 2016
Mar 26, 201330 then
Private funds: 1
RAUM -11% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 13, 2016; 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
- $59.7MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -11%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner 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)
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
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••••••••• E•••• D••••• M••••• F••• L•••no longer reported | Hedge Fund | $14.8M | 3 | Aug 22, 2013 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• A••••••• D•• · Chief Investment Officercontrolsince 02/2013 · owns less than 5%
- E•••••• C•••• · Chief Investment Officercontrolsince 02/2013 · owns less than 5%
- J••••••• M••••••• · G•••••• Counsel And Secretarycontrolsince 02/2013 · owns less than 5%
- L••••••• D••••• B•••• · Presidentcontrolsince 02/2013 · owns less than 5%
- R•••••• J•••• M••••••• · Chief Operating Officercontrolsince 02/2013 · owns less than 5%
- S•••••••• C••••• · Chief Investment Officercontrolsince 02/2013 · owns less than 5%
- T•••• D•••••• S••••• · Chief Compliance Officercontrolsince 02/2013 · owns less than 5%
- V••••• R••••••• M••••• · Chief Financial Officercontrolsince 07/2012 · owns less than 5%
- C•••••• A••••••• D•• · Managing Membercontrolsince 11/2006 · owns 75% or more of O•• B••• A••••••••• LLC
- C•••••• W••••••• E•••• · Non-Voting Membercontrolsince 09/2011 · owns 25% to 50% of D•• C••••• H•••••••• L•••
- D••••••••• D•••••• A•••••• · Non-Voting Membercontrolsince 09/2011 · owns 25% to 50% of D•• C••••• H•••••••• L•••
- E•••••• C•••• · Shareholdercontrolsince 08/1998 · owns 50% to 75% of S••••••• I•••
- E•••••• C••••• W•••••• · L•••••• Partnercontrolsince 01/1993 · owns 25% to 50% of S•• P•••••••• L•
- E•••••• C••••• W•••••• · Managing Membercontrolsince 12/2015 · owns 50% to 75% of S•••••• G• L••
- E•••••• C••••• W•••••• · L•••••• Partnercontrolsince 12/2015 · owns 25% to 50% of S•••••• M••••••••• L•
- R••••••••• D••••• M••• · Non-Voting Membercontrolsince 09/2011 · owns 25% to 50% of D•• C••••• H•••••••• L•••
- S•••••••• C••••• · L•••••• Partnercontrolsince 01/1993 · owns 25% to 50% of S•• P•••••••• L•
- S•••••••• C•••••• J••••• · Shareholdercontrolsince 08/1988 · owns 50% to 75% of S•••••• Inc.
- S•••••••• C•••••• J••••• · Managing Membercontrolsince 12/2015 · owns 50% to 75% of S•••••• G• L••
Entity owners
- T•• A•••• M••••••••• C•••••• L•• · Managing Memberdirect · owns 50% to 75%
- C•••••• F•••••••• S••••••• H•••••• L••• · L•••••• Partnerindirect · owns 25% to 50% of C•••••• H••••••• L•••
- C•••••• F•••••••• S••••••• H•••••••• L••• · G•••••• Partnerindirect · owns F of T•• F•••••••• S••••••• I••••••••• H•••••••• L•••
- C•••••• F•••••••• S•••••••• L••• · G•••••• Partnerindirect · owns F of Tcg Financial Serives, L.P.
- C•••••• G••••• F•••••••• S•••••••• L••• · Sole Memberindirect · owns 75% or more of C•••••• G•• L•••••
- C•••••• G••••• F•••••••• S•••••••• L••• · L•••••• Partnerindirect · owns 75% or more of C•••••• F•••••••• S••••••• H•••••• L•••
- C•••••• G•••• M••••••••• L••••• · G•••••• Partnerindirect · owns F of The C•••••• Group L.P.
- C•••••• H••••••• I• G• L••••• · G•••••• Partnerindirect · owns F of C•••••• H••••••• I•• L•••
- C•••••• H••••••• I•• L••• · G•••••• Partnerindirect · owns F of T• G•••• C••••• I••••••••• H•••••••• L•••
- C•••••• O••••••• P••••••• I• H•••••••• L••• · Memberindirect · owns 75% or more of C•••••• O••••••• P••••••• I•• L•••
- C•••••• O••••••• P••••••• I•• L••• · Voting Memberindirect · owns 75% or more of D•• C••••• H•••••••• L•••
- C•••••• P••••••• V• L••• · L•••••• Partnerindirect · owns 25% to 50% of C•••••• H••••••• L•••
- C•••••• A••••••••• C•••• · Shareholderindirect · owns 75% or more of T•• T•• G••••• I•••
- C•••••• G•• L••••• · G•••••• Partnerindirect · owns F of C•••••• H••••••• L•••
- C•••••• H••••••• L••• · Shareholderindirect · owns 75% or more of C•••••• I••••••••• C••••
- C•••••• I••••••••• C•••• · Shareholderindirect · owns 75% or more of C•••••• A••••••••• C••••
- C• V• I•• G•• L•• · G•••••• Partnerindirect · owns F of C• V• I••••••••• H••••••• L•••
- C• V• I••••••••• H••••••• L••• · L•••••• Partnerindirect · owns 25% to 50% of T• G•••• V• L•••
- D•• C••••• H•••••••• L••• · Memberindirect · owns 75% or more of D•• C•••••• L••.
- D•• C•••••• L•• · G•••••• Partnerindirect · owns F of T•• H••••••• C••••• I•• L•••
Related persons
Schedule D 7.A
- B• I• A•••••••• L•pooled vehicle sponsorn
- B• V• A•••••••• L••pooled vehicle sponsorn
- B• V• A•••••••• L••pooled vehicle sponsorn
- B••••••• I••••••••• A•••••••• L••pooled vehicle sponsorn
- B••••••• S••••• P•••••••• L•••investment adviserinvestment companypooled vehicle sponsornRAUM $1.6B
- H•• G•••••• P••••••• L••pooled vehicle sponsorn
- M••••••••• W••• A•••• M••••••••• L••investment adviserbanknRAUM $79B
- N• R••• P•••••••• L•••pooled vehicle sponsorn
- P••• B••••• T•• I••••••••• M•••••••••investment adviserpooled vehicle sponsorn
- R••••••• C•••••• V• G•• L•pooled vehicle sponsorn
- T•• •••• I•• L•pooled vehicle sponsorn
- T•• •••• I•• L••pooled vehicle sponsorn
- T•• •••• I•• L•••pooled vehicle sponsorn
- T•• •••• I••• L•••pooled vehicle sponsorn
- T•• A••••••• •••••••• L•••pooled vehicle sponsorn
- T•• A••• L••••••broker-dealern
- T•• A•••• M••••••••• C•••••• I••••••••• L••••••pooled vehicle sponsorn
- T•• A•••• M••••••••• C•••••• L••investment adviserbankpooled vehicle sponsoryRAUM $81B
- T•• E••••• L••••••investment advisern
- T•• F•••• D•••••••••broker-dealern
- T•• I••••••••• M••••••••• C•••••• L••investment adviserbankpooled vehicle sponsornRAUM $39B
- T•• P•••••• F•••• M••••••••• L••pooled vehicle sponsorn
- T•• S•••••• S••••••••• L••investment advisernRAUM $21.6M
- T•• S•• G•• L••pooled vehicle sponsorn
- T•••••• J• V•••••• L••investment advisernRAUM $1.0M
- T••••••••• I• G•• L••pooled vehicle sponsorn
- T••••••••• M•••••••• I••• L••pooled vehicle sponsorn
- T••••••••• A••••••••• L••pooled vehicle sponsorn
- T•••• C•••••• O• T•• W•••investment adviserpooled vehicle sponsorn
Advisers that list T••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY
What changed
consecutive filings, newest first
- Employees · 27 to 26Mar 30, 2015 to Mar 30, 2016
- Discretionary RAUM · $67.2M to $59.7MMar 30, 2015 to Mar 30, 2016
- RAUM · $67.2M to $59.7MMar 30, 2015 to Mar 30, 2016
- Accounts · 4 to 1Mar 28, 2014 to Mar 30, 2015
- Advisory employees · 18 to 15Mar 28, 2014 to Mar 30, 2015
- Advisory activities · 2 to 1Mar 28, 2014 to Mar 30, 2015
- Employees · 31 to 27Mar 28, 2014 to Mar 30, 2015
- Private funds · 1 to unsetMar 28, 2014 to Mar 30, 2015
- Discretionary RAUM · $103M to $67.2MMar 28, 2014 to Mar 30, 2015
- RAUM · $103M to $67.2MMar 28, 2014 to Mar 30, 2015
- Accounts · unset to 4.0Aug 22, 2013 to Mar 28, 2014
- Advisory employees · 15 to 18Aug 22, 2013 to Mar 28, 2014
- Advisory activities · 1 to 2Aug 22, 2013 to Mar 28, 2014
- BD registered reps · 0 to 2Aug 22, 2013 to Mar 28, 2014
- Employees · 30 to 31Aug 22, 2013 to Mar 28, 2014
- Discretionary RAUM · unset to 102782991.0Aug 22, 2013 to Mar 28, 2014
- Non-discretionary RAUM · unset to 0.0Aug 22, 2013 to Mar 28, 2014
- RAUM · unset to 102782991.0Aug 22, 2013 to Mar 28, 2014
- Private funds · unset to 1Jul 19, 2013 to Aug 22, 2013
- Business name · S••••• P•••••• L•• to T••••••••• L••Mar 26, 2013 to Mar 27, 2013
- Legal name · S••••• P•••••• L•• to T••••••••• L••Mar 26, 2013 to Mar 27, 2013
- Advisory employees · unset to 15.0Aug 24, 2012 to Mar 26, 2013
- BD registered reps · unset to 0.0Aug 24, 2012 to Mar 26, 2013
- Employees · unset to 30.0Aug 24, 2012 to Mar 26, 2013
- State-registered IARs · unset to 0.0Aug 24, 2012 to Mar 26, 2013
Signals
1 dated events
- S••••• P•••••• L•• filed its initial SEC registration (Form ADV)Aug 24, 2012 · First SEC registration · fact
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