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••••• G••••• I•••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 167556SEC 801-78086IAPD
Latest filing Mar 29, 2018
First filing on the tape May 14, 2013 · 11 filings
RAUM
$635M
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
9
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$635M gross assets
History
11 filings and snapshots on the tape
RAUM$635M as of Mar 29, 2018
Mar 25, 2014$257M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 25, 20140 then
Employees (5.A)9 as of Mar 29, 2018
Mar 25, 20149 then
Private funds1 as of Mar 29, 2018
Mar 25, 20141 then
RAUM +30% over the last fiscal year+23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
$212MderivedRAUM 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
+30%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
$635M, 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)
  • 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$635M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$635M 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••• C••••• M••••• L•• F••• L•Hedge Fund$635M68May 14, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• V••••••• A•••••• · Chief Operating Officercontrol
        since 03/2013 · owns less than 5%
      • O••••••••• G•••••• S• · Portfolio Managercontrol
        since 11/2012 · owns 50% to 75%
      • W•••• J••••• A••••• · Chief Compliance Officer / General Counselcontrol
        since 03/2013 · owns less than 5%
      • O••••••••• G•••••• S• · Managing Membercontrol
        since 11/2012 · owns 75% or more of T•••• C••••• M••••••••• L••
      • D•••••• E•••• M••••• · Limited Partner
        since 03/2012 · owns 25% to 50% of C•••••• C••••••• L•••
      • D•••••• E•••• M••••• · Shareholder
        since 03/2012 · owns 25% to 50% of C•••••• C•••••• G••••• L•••
      • J••••••• D•••••• T••• I•••••• · Sole Member
        since 12/2006 · owns 75% or more of V••• I•••••••• L••
      • J••••••• D•••••• T••• I•••••• · Shareholder
        since 12/2010 · owns 50% to 75% of C•••••• C•••••• G••••• L•••
      Entity owners
      • T•••• C••••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      • C•••••• C••••••• L••• · Limited Partner
        direct · owns 10% to 25%
      • C•••••• C•••••• G••••• L••• · General Partner
        indirect · owns F of C•••••• C••••••• L•••
      • V••• I•••••••• L•• · Limited Partner
        indirect · owns 25% to 50% of C•••••• C••••••• L•••
      Related persons
      Schedule D 7.A
      • T•••• C••••• A••••••••• L••
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $490M to $635M
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $490M to $635M
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 635089633.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $490M to $635M
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 4 to 5
        Mar 30, 2016 to Mar 31, 2017
      • Assets in custody · $464M to $490M
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 8 to 9
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $464M to $490M
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $464M to $490M
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 5 to 4
        Mar 26, 2015 to Mar 30, 2016
      • Assets in custody · $343M to $464M
        Mar 26, 2015 to Mar 30, 2016
      • Employees · 9 to 8
        Mar 26, 2015 to Mar 30, 2016
      • Discretionary RAUM · $343M to $464M
        Mar 26, 2015 to Mar 30, 2016
      • RAUM · $343M to $464M
        Mar 26, 2015 to Mar 30, 2016
      • Assets in custody · $257M to $343M
        Mar 25, 2014 to Mar 26, 2015
      • Discretionary RAUM · $257M to $343M
        Mar 25, 2014 to Mar 26, 2015
      • RAUM · $257M to $343M
        Mar 25, 2014 to Mar 26, 2015
      • Advisory employees · 4 to 5
        Dec 10, 2013 to Mar 25, 2014
      • Assets in custody · $182M to $257M
        Dec 10, 2013 to Mar 25, 2014
      • Employees · 8 to 9
        Dec 10, 2013 to Mar 25, 2014
      • Discretionary RAUM · $182M to $257M
        Dec 10, 2013 to Mar 25, 2014
      • RAUM · $182M to $257M
        Dec 10, 2013 to Mar 25, 2014
      • Advisory employees · 3 to 4
        Jun 17, 2013 to Sep 27, 2013
      • Assets in custody · $0 to $182M
        Jun 17, 2013 to Sep 27, 2013
      • Employees · 7 to 8
        Jun 17, 2013 to Sep 27, 2013
      • Discretionary RAUM · $4 to $182M
        Jun 17, 2013 to Sep 27, 2013
      • RAUM · $4 to $182M
        Jun 17, 2013 to Sep 27, 2013
      Signals
      2 dated events
      • T•••• C••••• G••••• I•••••••• L• reported RAUM $635.1M, up 30% from $489.7M (2017-03-31 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • T•••• C••••• G••••• I•••••••• L• filed its initial SEC registration (Form ADV)
        May 14, 2013 · 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