DFX Intelligence

RIA Intelligence

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Former SEC-registered adviser

T••••••••• C•••••• P••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 166275SEC 801-77452IAPD

Latest filing Aug 6, 2018

First filing on the tape Dec 4, 2012 · 13 filings

RAUM

$2.6B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

15 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$2.6B gross assets

History

13 filings and snapshots on the tape

RAUM$3.4B as of Mar 26, 2018

Mar 31, 2014$1.1B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 26, 2018

Mar 31, 20140 then

Employees (5.A)25 as of Mar 26, 2018

Mar 31, 201413 then

Private funds3 as of Mar 26, 2018

Mar 31, 20141 then

RAUM -56% over the last fiscal year-8.3% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Aug 6, 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: $515MderivedRAUM 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: -41%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: $2.6B, 5 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$2.6B100%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 5reported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: $2.6B for 5 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 departure Every arrival

Private funds

4 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
T••••••••• G••••• M••••• F•••• L••	Hedge Fund	$2.1B	234	Dec 4, 2012
T••••••••• G••••• L••• A•••• F•••• L••	Hedge Fund	$412M	3	Jul 9, 2015
T••••••••• G••••• L••• A•••• F•••• L••	Hedge Fund	$93.5M	20	Jul 9, 2015
T•• I••••• F•••• L•	Private Equity Fund	$29.7M	7	Aug 6, 2018

Owners and control persons

Schedule A and B, latest filing

B•••••• R•••• E•••••• · President & Chief Strategy Officercontrol
since 06/2018 · owns less than 5%
K•••• J••••• H•••• · Limited Partnercontrol
since 07/2012 · owns 75% or more
K••••••• B••••• A••••• · Chief Financial Officercontrol
since 10/2012 · owns less than 5%
M•••••• S•••••• V• · Co-Ciocontrol
since 01/2018 · owns less than 5%
R••••• N•••• · General Counsel And Chief Compliance Officercontrol
since 07/2015 · owns less than 5%
K•••• J••••• H•••• · Managing Membercontrol
since 06/2012 · owns 75% or more of T••••••••• C•••••• G•• L••

Entity owners

T••••••••• C•••••• G•• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

T••••••••• C•••••• G•••• I•• L•
investment adviserpooled vehicle sponsorn
T••••••••• C•••••• G••••• L••
investment adviserpooled vehicle sponsorn

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Private funds · 3 to 4
Jun 13, 2018 to Aug 6, 2018
Assets in custody · $3.4B to $2.6B
Mar 26, 2018 to Jun 13, 2018
Employees · 25 to 21
Mar 26, 2018 to Jun 13, 2018
Discretionary RAUM · $3.4B to $2.6B
Mar 26, 2018 to Jun 13, 2018
Pooled vehicle RAUM · $3.4B to $2.6B
Mar 26, 2018 to Jun 13, 2018
RAUM · $3.4B to $2.6B
Mar 26, 2018 to Jun 13, 2018
Advisory employees · 17 to 15
Mar 29, 2017 to Mar 26, 2018
Charity clients · unset to 0.0
Mar 29, 2017 to Mar 26, 2018
Corporate clients · unset to 0.0
Mar 29, 2017 to Mar 26, 2018
HNW clients · unset to 0.0
Mar 29, 2017 to Mar 26, 2018
Individual clients · unset to 0.0
Mar 29, 2017 to Mar 26, 2018
Pension plan clients · unset to 0.0
Mar 29, 2017 to Mar 26, 2018
Pooled vehicle clients · unset to 5.0
Mar 29, 2017 to Mar 26, 2018
Assets in custody · $5.7B to $3.4B
Mar 29, 2017 to Mar 26, 2018
Employees · 30 to 25
Mar 29, 2017 to Mar 26, 2018
Other offices · unset to 0.0
Mar 29, 2017 to Mar 26, 2018
Discretionary RAUM · $5.8B to $3.4B
Mar 29, 2017 to Mar 26, 2018
Pooled vehicle RAUM · unset to 3416859000.0
Mar 29, 2017 to Mar 26, 2018
RAUM · $5.8B to $3.4B
Mar 29, 2017 to Mar 26, 2018
Advisory employees · 15 to 17
May 4, 2016 to Mar 29, 2017
Assets in custody · unset to 5659927000.0
May 4, 2016 to Mar 29, 2017
Custody of client assets · false to true
May 4, 2016 to Mar 29, 2017
Employees · 25 to 30
May 4, 2016 to Mar 29, 2017
Discretionary RAUM · $5.7B to $5.8B
May 4, 2016 to Mar 29, 2017
RAUM · $5.7B to $5.8B
May 4, 2016 to Mar 29, 2017
Related adviser · false to true
May 4, 2016 to Mar 29, 2017
Advisory employees · 14 to 15
Feb 12, 2016 to May 4, 2016
Employees · 21 to 25
Feb 12, 2016 to May 4, 2016
Discretionary RAUM · $6.4B to $5.7B
Feb 12, 2016 to May 4, 2016
RAUM · $6.4B to $5.7B
Feb 12, 2016 to May 4, 2016
Discretionary RAUM · $4.5B to $6.4B
Jul 9, 2015 to Feb 12, 2016
RAUM · $4.5B to $6.4B
Jul 9, 2015 to Feb 12, 2016
Accounts · 4 to 5
Mar 31, 2015 to Jul 9, 2015
Advisory employees · 13 to 14
Mar 31, 2015 to Jul 9, 2015
Employees · 18 to 21
Mar 31, 2015 to Jul 9, 2015
Private funds · 1 to 3
Mar 31, 2015 to Jul 9, 2015
Discretionary RAUM · $3.3B to $4.5B
Mar 31, 2015 to Jul 9, 2015
RAUM · $3.3B to $4.5B
Mar 31, 2015 to Jul 9, 2015
Accounts · 3 to 4
Mar 31, 2014 to Mar 31, 2015
Advisory employees · 10 to 13
Mar 31, 2014 to Mar 31, 2015

Signals

2 dated events

T••••••••• C•••••• P••••••• L• reported RAUM $3.4B, down 41% from $5.8B (2017-03-29 to 2018-03-26)
Mar 26, 2018 · RAUM change · derived
T••••••••• C•••••• P••••••• L• filed its initial SEC registration (Form ADV)
Dec 4, 2012 · First SEC registration · fact

Across DFX

shared identifiers only, never a name match

T••••••••• C•••••• P••••••• L• · Private Equity
shared crd · organization

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