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•••••• M••••••••• C•••••• L••

Former SEC-registered adviserRoslyn Heights, New YorkCRD 167763SEC 801-78669IAPD
Latest filing Apr 1, 2015
First filing on the tape Oct 3, 2013 · 3 filings
RAUM
$203M
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
3
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$203M gross assets
History
3 filings and snapshots on the tape
RAUM$203M as of Apr 1, 2015
Apr 2, 2014$175M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2015
Apr 2, 20140 then
Employees (5.A)3 as of Apr 1, 2015
Apr 2, 20143 then
Private funds4 as of Apr 1, 2015
Apr 2, 20144 then
RAUM +16% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2015; 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
$50.8MderivedRAUM 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
+16%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
$203M, 4 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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
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
4reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$203M for 4 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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••••• F•••• L•Venture Capital Fund$98.5M37Oct 3, 2013
      T•••••• M••••••••• L•Venture Capital Fund$29.1M5Oct 3, 2013
      T•••••• P•••••••• L•Venture Capital Fund$21.9M96Oct 3, 2013
      T•••••• B•••••• F••• I•• L•••Venture Capital Fund$8.4M7Mar 30, 2016
      T•••••• A••••••••• L•Venture Capital Fund$1.0M79Oct 3, 2013
      T•••••• S•• H•••••••• L••Venture Capital Fund$24864Apr 21, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••• L••• A•••• · Managing Membercontrol
        since 08/2000 · owns 75% or more
      • W•••••• S•••••• J•• · Managing Member, Chief Compliance Officercontrol
        since 08/2000 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $213M to $203M
        Apr 2, 2014 to Apr 1, 2015
      • Discretionary RAUM · $130M to $203M
        Apr 2, 2014 to Apr 1, 2015
      • Non-discretionary RAUM · $44.9M to $0
        Apr 2, 2014 to Apr 1, 2015
      • RAUM · $175M to $203M
        Apr 2, 2014 to Apr 1, 2015
      • Discretionary RAUM · $213M to $130M
        Oct 3, 2013 to Apr 2, 2014
      • Non-discretionary RAUM · $46.7M to $44.9M
        Oct 3, 2013 to Apr 2, 2014
      • RAUM · $260M to $175M
        Oct 3, 2013 to Apr 2, 2014
      Signals
      1 dated events
      • T•••••• M••••••••• C•••••• L•• filed its initial SEC registration (Form ADV)
        Oct 3, 2013 · 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