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.
SEC-registered adviser
Thorofare, LLC
Latest filing Aug 18, 2026
First filing on the tape Sep 17, 2014 · 27 filings
SEC status approved since Oct 7, 2014
RAUM
$1.4B
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
27
17 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$1.4B as of Aug 18, 2026
Mar 31, 2015$223M then
HNW client RAUM$0 as of Aug 18, 2026
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Aug 18, 2026
Mar 31, 20150 then
Employees (5.A)27 as of Aug 18, 2026
Mar 31, 201517 then
Private funds: no history
RAUM +8.5% over the last fiscal year-0.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 18, 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
- $702MderivedRAUM 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
- unknownderived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.5%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 vehicles, otherreportedItem 5.G
- Custody
- yesreportedItem 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)
- 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$1.4B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=1.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Marie Kristen Cammarata · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
- Wapple Brendan Miller · Ciocontrolsince 05/2011 · owns less than 5%
- Howard Kevin Miller · Ceocontrolsince 06/2010 · owns less than 5%
- Stuart James Morrow · Membercontrolsince 10/2020 · owns 75% or more of Callodine Group, LLC
- Suanne Kim Pegula · Ownercontrolsince 01/2018 · owns 50% to 75% of East Asset Management, LLC
- Michael Terrence Pegula · Ownercontrolsince 01/2018 · owns 50% to 75% of East Asset Management, LLC
- Jason Robert Cooper · General Counsel Of Thorofare Holdings, LLCsince 04/2015 · owns less than 5%
- Edward Prosser · Chief Operating Officersince 01/2022 · owns less than 5%
Entity owners
- Thorofare Holdings, LLC · Ownerdirect · owns 75% or more
- Callodine Credit, LLC · Ownerindirect · owns 75% or more of Callodine Thorofare Holding, LLC
- Callodine Group, LLC · Ownerindirect · owns 75% or more of Callodine Credit, LLC
- Callodine Thorofare Holding, LLC · Ownerindirect · owns 75% or more of Callodine Thorofare, LLC
- Callodine Thorofare, LLC · Ownerindirect · owns 75% or more of Thorofare Holdings, LLC
- East Asset Management, LLC · Ownerindirect · owns 25% to 50% of Thorofare Holdings, LLC
Related persons
Schedule D 7.A
- Callodine Capital Managementinvestment adviserbanknRAUM $2.0B
- Callodine Capital Partners, LLCpooled vehicle sponsorn
- Callodine Commercial Partners, LLCpooled vehicle sponsorn
- Callodine Credit Managementinvestment advisernRAUM $603M
- Callodine Strategic Credit Fund II Gp, LLCpooled vehicle sponsorn
- Callodine Strategic Credit, LLCinvestment advisern
- Exeter Trust Companyn
- Manning & Napier Advisors, LLCinvestment advisernRAUM $17B
- Manning & Napier Investor Services, Inc.broker-dealern
- Rainier Investment Management LLCinvestment advisernRAUM $581M
- Rand Capital Managementinvestment adviserbanknRAUM $137M
- Thorofare Capital, Inc.investment companyn
- Thorofare Lending Fund IV Management, LLCpooled vehicle sponsory
- Thorofare Lending Fund V Management, LLCpooled vehicle sponsory
Advisers that list Thorofare, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- Coral Gables, FL3 employees
- Dallas, TX2 employees
- New York, NY2 employees
- Newport Beach, CA1 employees
What changed
consecutive filings, newest first
- Advisory employees · 18 to 17Jun 2, 2025 to Mar 31, 2026
- BD registered reps · 2 to 1Jun 2, 2025 to Mar 31, 2026
- Employees · 29 to 27Jun 2, 2025 to Mar 31, 2026
- Other offices · 3 to 4Jun 2, 2025 to Mar 31, 2026
- Discretionary RAUM · $1.3B to $1.4BJun 2, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.3B to $1.4BJun 2, 2025 to Mar 31, 2026
- RAUM · $1.3B to $1.4BJun 2, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jun 2, 2025
- Other offices · 4 to 3Mar 31, 2025 to Jun 2, 2025
- Advisory employees · 21 to 18Mar 28, 2024 to Mar 31, 2025
- Employees · 32 to 29Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.6B to $1.3BMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.6B to $1.3BMar 28, 2024 to Mar 31, 2025
- RAUM · $1.6B to $1.3BMar 28, 2024 to Mar 31, 2025
- Advisory employees · 16 to 21Aug 22, 2023 to Mar 28, 2024
- BD registered reps · 0 to 2Aug 22, 2023 to Mar 28, 2024
- Employees · 25 to 32Aug 22, 2023 to Mar 28, 2024
- Financial planning clients · 0 to unsetAug 22, 2023 to Mar 28, 2024
- Other offices · 3 to 4Aug 22, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.4B to $1.6BAug 22, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.4B to $1.6BAug 22, 2023 to Mar 28, 2024
- RAUM · $1.4B to $1.6BAug 22, 2023 to Mar 28, 2024
- Advisory employees · 15 to 16Feb 1, 2023 to Mar 31, 2023
- Employees · 26 to 25Feb 1, 2023 to Mar 31, 2023
- Discretionary RAUM · $1.1B to $1.4BFeb 1, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $1.1B to $1.4BFeb 1, 2023 to Mar 31, 2023
- RAUM · $1.1B to $1.4BFeb 1, 2023 to Mar 31, 2023
- Related bank · false to trueFeb 1, 2023 to Mar 31, 2023
- Related broker-dealer · false to trueFeb 1, 2023 to Mar 31, 2023
- HQ city · LOS ANGELES to EL SEGUNDOMar 23, 2022 to Mar 28, 2022
- Employees · 25 to 26Jan 19, 2022 to Mar 23, 2022
- Other offices · 2 to 3Jan 19, 2022 to Mar 23, 2022
- Discretionary RAUM · $787M to $1.1BJan 19, 2022 to Mar 23, 2022
- Pooled vehicle RAUM · $787M to $1.1BJan 19, 2022 to Mar 23, 2022
- RAUM · $787M to $1.1BJan 19, 2022 to Mar 23, 2022
- Discretionary RAUM · $645M to $787MNov 8, 2021 to Jan 19, 2022
- Pooled vehicle RAUM · $645M to $787MNov 8, 2021 to Jan 19, 2022
- RAUM · $645M to $787MNov 8, 2021 to Jan 19, 2022
- Related adviser · false to trueNov 8, 2021 to Jan 19, 2022
- Other offices · 1 to 2Mar 30, 2021 to Nov 8, 2021
Signals
11 dated events
- Suanne Kim Pegula (Owner) appeared on Schedule A of Thorofare, LlcAug 22, 2023 · Control person joined · fact
- Michael Terrence Pegula (Owner) appeared on Schedule A of Thorofare, LlcAug 22, 2023 · Control person joined · fact
- Thorofare, Llc reported RAUM $1.4B, up 30% from $1.1B (2023-02-01 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Marie Kristen Cammarata (Chief Compliance Officer) appeared on Schedule A of Thorofare, LlcFeb 1, 2023 · Control person joined · fact
- Thorofare, Llc reported RAUM $1.1B, up 38% from $786.8M (2022-01-19 to 2022-03-23)Mar 23, 2022 · RAUM change · derived
- Stuart James Morrow (Member) appeared on Schedule A of Thorofare, LlcJan 19, 2022 · Control person joined · fact
- Thorofare, Llc reported RAUM $645.2M, up 32% from $487.7M (2020-06-19 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Thorofare, Llc reported RAUM $487.7M, up 41% from $345.2M (2019-10-09 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Michael Ryan Herbert (Member) no longer on Schedule A of Thorofare, Llc (listed 2019-03-25, absent 2019-10-09)Oct 9, 2019 · Control person left · inference
- H Marc Rapaport (Member, Trustee) no longer on Schedule A of Thorofare, Llc (listed 2018-06-28, absent 2019-03-25)Mar 25, 2019 · Control person left · inference
- Thorofare, Llc filed its initial SEC registration (Form ADV)Sep 17, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/thorofare-capitalreportedpublic record, Form ADV, Sep 17, 2026
- Website
- THOROFARECAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 617-880-7494reportedpublic record, Form ADV, Aug 18, 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
- Asset manager (funds and pooled vehicles)deriveda 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