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•• F••• M••••••••• G••••

Former SEC-registered adviserAventura, FloridaCRD 169163SEC 801-80118websiteIAPD
Legal name T•• F••• M••••••••• G•••• C••••
Latest filing Mar 29, 2019
First filing on the tape Jul 18, 2014 · 14 filings
SEC status approved since Aug 13, 2014
RAUM
$497M
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
46
15 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
$497M gross assets
History
14 filings and snapshots on the tape
RAUM$497M as of Mar 29, 2019
Apr 1, 2015$234M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Apr 1, 20150 then
Employees (5.A)46 as of Mar 29, 2019
Apr 1, 201521 then
Private funds1 as of Mar 29, 2019
Apr 1, 20151 then
RAUM +5.7% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$166MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
+5.7%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • 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$497M100%
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
noreported
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•• G••••• C••••• M••••• F•••• L•Other Private Fund$497M403Jan 2, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • A••••• T•••• L••• · Chief Compliance Officercontrol
        since 01/2018 · owns less than 5%
      • D••• T•••••• E••••• · Chief Credit Officercontrol
        since 01/2018 · owns less than 5%
      • F•••••••• W••••••• A••••• · Acting Chief Operating Officercontrol
        since 02/2019 · owns less than 5%
      • P••••• R•••••• D••••• · Directorcontrol
        since 01/2012 · owns less than 5%
      • P••••••••• P••••••• J••••• · Ny Managing Directorcontrol
        since 09/2016 · owns less than 5%
      • S••••••• C•••••• R••• · Managing Director Corporate Restructuringcontrol
        since 10/2018 · owns less than 5%
      • S••••••••• A••••• B••• · Acting Chief Executive Officercontrol
        since 02/2019 · owns less than 5%
      • P••••• R•••••• D••••• · Trustee Of The B••••••••• T•••• C••••••• L••control
        since 06/2011 · owns 75% or more of B••••••••• T•••• C••••••• L••
      Entity owners
      • T•••• A• E••••••••• U•••• T•• P•••• 2••• F••••• T•••• · Owner
        direct · owns 75% or more
      • B••••••••• T•••• C••••••• L•• · Trustee
        indirect · owns 75% or more of T•••• A• E••••••••• U•••• T•• P•••• 2••• F••••• T••••
      Related persons
      Schedule D 7.A
      • T•• G••••• C••••• F••• G•• L•••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom6 employees
      • New York, NY2 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 16 to 15
        Dec 14, 2018 to Mar 29, 2019
      • Employees · 32 to 46
        Dec 14, 2018 to Mar 29, 2019
      • Discretionary RAUM · $470M to $497M
        Dec 14, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $470M to $497M
        Dec 14, 2018 to Mar 29, 2019
      • RAUM · $470M to $497M
        Dec 14, 2018 to Mar 29, 2019
      • BD registered reps · 0 to 1
        Nov 6, 2018 to Dec 14, 2018
      • Accounts · 1 to 3
        Mar 21, 2017 to Mar 30, 2018
      • Advisory employees · 17 to 16
        Mar 21, 2017 to Mar 30, 2018
      • BD registered reps · 1 to 0
        Mar 21, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 21, 2017 to Mar 30, 2018
      • Other offices · unset to 2.0
        Mar 21, 2017 to Mar 30, 2018
      • Discretionary RAUM · $404M to $470M
        Mar 21, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 470084702.0
        Mar 21, 2017 to Mar 30, 2018
      • RAUM · $404M to $470M
        Mar 21, 2017 to Mar 30, 2018
      • Related bank · false to true
        Mar 21, 2017 to Mar 30, 2018
      • Advisory employees · 18 to 17
        Sep 15, 2016 to Mar 21, 2017
      • BD registered reps · 0 to 1
        Sep 15, 2016 to Mar 21, 2017
      • Employees · 35 to 32
        Sep 15, 2016 to Mar 21, 2017
      • Discretionary RAUM · $393M to $404M
        Sep 15, 2016 to Mar 21, 2017
      • RAUM · $393M to $404M
        Sep 15, 2016 to Mar 21, 2017
      • Advisory employees · 14 to 18
        Mar 29, 2016 to Sep 15, 2016
      • Employees · 25 to 35
        Mar 29, 2016 to Sep 15, 2016
      • Discretionary RAUM · $345M to $393M
        Mar 29, 2016 to Sep 15, 2016
      • RAUM · $345M to $393M
        Mar 29, 2016 to Sep 15, 2016
      • Advisory employees · 21 to 14
        Sep 30, 2015 to Mar 29, 2016
      • Employees · 27 to 25
        Sep 30, 2015 to Mar 29, 2016
      • Discretionary RAUM · $301M to $345M
        Sep 30, 2015 to Mar 29, 2016
      • RAUM · $301M to $345M
        Sep 30, 2015 to Mar 29, 2016
      • Advisory employees · 19 to 21
        Jul 16, 2015 to Sep 30, 2015
      • Employees · 25 to 27
        Jul 16, 2015 to Sep 30, 2015
      • Legal name · TRAFALGAR CAPITAL ADVISORS INC. to T•• F••• M••••••••• G•••• C••••
        Jul 16, 2015 to Sep 30, 2015
      • Discretionary RAUM · $266M to $301M
        Jul 16, 2015 to Sep 30, 2015
      • RAUM · $266M to $301M
        Jul 16, 2015 to Sep 30, 2015
      • Advisory employees · 17 to 19
        Apr 1, 2015 to Jul 16, 2015
      • Employees · 21 to 25
        Apr 1, 2015 to Jul 16, 2015
      • Discretionary RAUM · $234M to $266M
        Apr 1, 2015 to Jul 16, 2015
      • RAUM · $234M to $266M
        Apr 1, 2015 to Jul 16, 2015
      • Advisory employees · 13 to 17
        Jul 18, 2014 to Apr 1, 2015
      • Employees · 16 to 21
        Jul 18, 2014 to Apr 1, 2015
      • Private funds · 2 to 1
        Jul 18, 2014 to Apr 1, 2015
      Signals
      6 dated events
      • T•• F••• M••••••••• G•••• no longer on the SEC adviser roster (last listed 2025-05-02, RAUM $496.8M)
        Jun 2, 2025 · Left the SEC roster · derived
      • Eugene Thomas Day (Chief Credit Officer) appeared on Schedule A of T•• F••• M••••••••• G••••
        Mar 29, 2019 · Control person joined · fact
      • Arthur William Fickling (Acting Chief Operating Officer) appeared on Schedule A of T•• F••• M••••••••• G••••
        Mar 29, 2019 · Control person joined · fact
      • Joseph Patrick Primavera (Ny Managing Director) appeared on Schedule A of T•• F••• M••••••••• G••••
        Mar 29, 2019 · Control person joined · fact
      • Raul Carlos Sandino (Managing Director Corporate Restructuring) appeared on Schedule A of T•• F••• M••••••••• G••••
        Mar 29, 2019 · Control person joined · fact
      • T•• F••• M••••••••• G•••• filed its initial SEC registration (Form ADV)
        Jul 18, 2014 · 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