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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SEC-registered adviser
T•••••• C••••••
Legal name T•••••• C•••••• L••
Latest filing Jan 6, 2026
First filing on the tape May 13, 2025 · 2 filings
SEC status approved since Jun 13, 2025
RAUM
$50.0M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$50.0M as of Jan 6, 2026
May 13, 2025$50.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 6, 2026
May 13, 20250 then
Employees (5.A)1 as of Jan 6, 2026
May 13, 20251 then
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 6, 2026; 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
- $25.0MderivedRAUM 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
- unknownderivedbetween 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 individuals, portfolio management for businesses and institutionsreportedItem 5.G
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
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
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••••• C•••••• F••• | Other Private Fund | $28.0M | 1 | Jun 21, 2013 |
| M•••• F••• L•• | Other Private Fund | $14.0M | 1 | Oct 30, 2015 |
Owners and control persons
Schedule A and B, latest filing
- N•••• D••••• A•••••• · Chief Executive Officer, Director, Chief Compliance Officercontrolsince 01/2011 · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Jan 6, 2026portfolio management for pooled vehicles (Item 5.G.4): yes on the filing of 2025-05-13, no on the filing of 2026-01-06peers: other advisers, under $100M (666)
- custody status changedChange between filings · filing Jan 6, 2026custody of client assets (Item 9.A): yes on the filing of 2025-05-13, no on the filing of 2026-01-06peers: other advisers, under $100M (666)
- business activity changedChange between filings · filing Jan 6, 2026advises private funds (Item 7.B): yes on the filing of 2025-05-13, no on the filing of 2026-01-06peers: other advisers, under $100M (666)
What changed
consecutive filings, newest first
- Accounts · 1 to 2May 13, 2025 to Jan 6, 2026
- Advisory activities · 1 to 2May 13, 2025 to Jan 6, 2026
- Pooled vehicle clients · 1.0 to unsetMay 13, 2025 to Jan 6, 2026
- Assets in custody · 0.0 to unsetMay 13, 2025 to Jan 6, 2026
- Custody of client assets · true to falseMay 13, 2025 to Jan 6, 2026
- Private funds · 1 to unsetMay 13, 2025 to Jan 6, 2026
- Pooled vehicle RAUM · 50000000.0 to unsetMay 13, 2025 to Jan 6, 2026
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- w••.t•••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- +1 605 269 8889reportedpublic record, Form ADV, Jan 6, 2026
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
- Other 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