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•••• B••• C•••••• L•

Former SEC-registered adviserBoston, MassachusettsCRD 169434SEC 801-78810IAPD
Latest filing Oct 17, 2018
First filing on the tape Nov 8, 2013 · 8 filings
RAUM
$1.6B
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
13
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$1.6B gross assets
History
8 filings and snapshots on the tape
RAUM$1.6B as of Mar 29, 2018
Mar 31, 2014$1.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 31, 20140 then
Employees (5.A)13 as of Mar 29, 2018
Mar 31, 201413 then
Private funds1 as of Mar 29, 2018
Mar 31, 20141 then
RAUM -27% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 17, 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
$533MderivedRAUM 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
-27%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
$1.2B, 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)
  • 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)
  • 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$1.6B100%
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
$1.2B 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•• M••••• L•Hedge Fund$1.6B175Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• J••• F•••••• · Chief Financial Officercontrol
        since 09/2013 · owns less than 5%
      • G•••• J•••••• P•••• · Chief Operating Officercontrol
        since 04/2013 · owns less than 5%
      • M•••••••• M•••••• A•••• · General Counsel/Chief Compliance Officercontrol
        since 07/2013 · owns less than 5%
      • S•••••• H•••• •••• · Trustee - T•• N••••••• T•••• I•control
        since 10/2013 · owns less than 5%
      • S•••••• M••••••• K•••• · Limited Partner/Managing Partner/Chief Investment Officercontrol
        since 02/2013 · owns 50% to 75%
      • S•••••• P••••• L•••••••• · Trustee - T•• N••••••• T•••• I•control
        since 10/2013 · owns less than 5%
      • S•••••• H•••• •••• · Trusteecontrol
        since 10/2013 · owns F of T•• N••••••• T•••• I•
      • S•••••• M••••••• K•••• · Member/Managing Membercontrol
        since 02/2013 · owns 50% to 75% of T•• G• L••
      • S•••••• P••••• L•••••••• · Trusteecontrol
        since 10/2013 · owns F of T•• N••••••• T•••• I•
      Entity owners
      • T•• G• L•• · General Partner
        direct · owns less than 5%
      • T•• N••••••• T•••• I• · Limited Partner
        direct · owns 25% to 50%
      • T•• N••••••• T•••• I• · Member
        indirect · owns 25% to 50% of T•• G• L••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 4
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $1.5B to $1.2B
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 15 to 13
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $2.2B to $1.6B
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 1598807486.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $2.2B to $1.6B
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 6 to 5
        Mar 30, 2016 to Mar 31, 2017
      • Assets in custody · $1.7B to $1.5B
        Mar 30, 2016 to Mar 31, 2017
      • Employees · 16 to 15
        Mar 30, 2016 to Mar 31, 2017
      • Discretionary RAUM · $2.1B to $2.2B
        Mar 30, 2016 to Mar 31, 2017
      • RAUM · $2.1B to $2.2B
        Mar 30, 2016 to Mar 31, 2017
      • Advisory employees · 5 to 6
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $1.6B to $1.7B
        Mar 31, 2015 to Mar 30, 2016
      • Employees · 13 to 16
        Mar 31, 2015 to Mar 30, 2016
      • Discretionary RAUM · $2.3B to $2.1B
        Mar 31, 2015 to Mar 30, 2016
      • RAUM · $2.3B to $2.1B
        Mar 31, 2015 to Mar 30, 2016
      • Assets in custody · $853M to $1.6B
        Apr 9, 2014 to Mar 31, 2015
      • Employees · 14 to 13
        Apr 9, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.4B to $2.3B
        Apr 9, 2014 to Mar 31, 2015
      • RAUM · $1.4B to $2.3B
        Apr 9, 2014 to Mar 31, 2015
      • Assets in custody · $1.1B to $853M
        Mar 31, 2014 to Apr 9, 2014
      • Employees · 13 to 14
        Mar 31, 2014 to Apr 9, 2014
      • Discretionary RAUM · $1.1B to $1.4B
        Mar 31, 2014 to Apr 9, 2014
      • RAUM · $1.1B to $1.4B
        Mar 31, 2014 to Apr 9, 2014
      • Accounts · 0 to 3
        Nov 8, 2013 to Mar 31, 2014
      • Assets in custody · unset to 1067586478.0
        Nov 8, 2013 to Mar 31, 2014
      • Custody of client assets · false to true
        Nov 8, 2013 to Mar 31, 2014
      • Private funds · unset to 1
        Nov 8, 2013 to Mar 31, 2014
      • Discretionary RAUM · $0 to $1.1B
        Nov 8, 2013 to Mar 31, 2014
      • RAUM · $0 to $1.1B
        Nov 8, 2013 to Mar 31, 2014
      Signals
      2 dated events
      • T•••• B••• C•••••• L• reported RAUM $1.6B, down 27% from $2.2B (2017-03-31 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • T•••• B••• C•••••• L• filed its initial SEC registration (Form ADV)
        Nov 8, 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