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•••• I••••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 172518SEC 801-85178IAPD
Latest filing Jan 23, 2023
First filing on the tape Aug 15, 2014 · 22 filings
RAUM
$118M
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$118M as of Mar 30, 2022
Mar 17, 2016$35.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 17, 20160 then
Employees (5.A)0 as of Mar 30, 2022
Mar 17, 20160 then
Private funds: 4
RAUM +54% over the last fiscal year+11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 23, 2023; 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
$118MderivedRAUM 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
+54%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 investment companiesreportedItem 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
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
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
1reported
Financial planning clients
0reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••• S•••••• I••••• F••• 5• L••no longer reportedReal Estate Fund$331M3,500Mar 30, 2017
      T•••• P••••••• T••••• I•••no longer reportedReal Estate Fund$141M1Mar 30, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••••• D•••••• J•••• · Chief Originations Officercontrol
        since 05/2013 · owns less than 5%
      • M•••••• B••••••••• · Chief Compliance Officercontrol
        since 03/2020 · owns less than 5%
      • P•••••• G••••••• M••• · Chief Financial Officer And Chief Operating Officercontrol
        since 05/2013 · owns less than 5%
      • U••••• V•••••• S•••• · Chief Executive Officercontrol
        since 04/2019 · owns less than 5%
      • U••••• V•••••• S•••• · Managing Membercontrol
        since 04/2021 · owns F of M•••• C•••••• G•• L••
      Entity owners
      • T•••• C•••••• P•••••••• L•• · Member
        direct · owns 75% or more
      • M•••• C•••••• M••••••••• L• · Member
        indirect · owns 75% or more of T•••• C•••••• P•••••••• L••
      • M•••• C•••••• G•• L•• · General Partner
        indirect · owns F of M•••• C•••••• G••••• L•
      • M•••• C•••••• G••••• L• · General Partner
        indirect · owns F of M•••• C•••••• M••••••••• L•
      • S•••••••• P••••••• R••• E••••• V•• I••••••••• L•• · Member
        indirect · owns 25% to 50% of M•••• C•••••• M••••••••• 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
      • Discretionary RAUM · $76.8M to $118M
        Mar 30, 2021 to Mar 30, 2022
      • RAUM · $76.8M to $118M
        Mar 30, 2021 to Mar 30, 2022
      • Discretionary RAUM · $74.7M to $76.8M
        Mar 30, 2020 to Mar 30, 2021
      • RAUM · $74.7M to $76.8M
        Mar 30, 2020 to Mar 30, 2021
      • Related broker-dealer · true to false
        Mar 30, 2020 to Mar 30, 2021
      • Discretionary RAUM · $85.3M to $74.7M
        May 7, 2019 to Mar 30, 2020
      • RAUM · $85.3M to $74.7M
        May 7, 2019 to Mar 30, 2020
      • Financial planning clients · 1-10 to 0
        Mar 28, 2018 to Mar 27, 2019
      • Discretionary RAUM · $81.8M to $85.3M
        Mar 28, 2018 to Mar 27, 2019
      • RAUM · $81.8M to $85.3M
        Mar 28, 2018 to Mar 27, 2019
      • Accounts · 4 to 1
        Sep 27, 2017 to Mar 27, 2018
      • Advisory activities · 2 to 1
        Sep 27, 2017 to Mar 27, 2018
      • Other offices · unset to 0.0
        Sep 27, 2017 to Mar 27, 2018
      • Private funds · 2 to unset
        Sep 27, 2017 to Mar 27, 2018
      • Discretionary RAUM · $411M to $81.8M
        Sep 27, 2017 to Mar 27, 2018
      • RAUM · $411M to $81.8M
        Sep 27, 2017 to Mar 27, 2018
      • Related adviser · false to true
        Sep 27, 2017 to Mar 27, 2018
      • Private funds · 4 to 2
        Mar 30, 2017 to May 1, 2017
      • Accounts · 1 to 4
        Mar 17, 2016 to Mar 30, 2017
      • Advisory activities · 1 to 2
        Mar 17, 2016 to Mar 30, 2017
      • Financial planning clients · unset to 1-10
        Mar 17, 2016 to Mar 30, 2017
      • Private funds · unset to 4
        Mar 17, 2016 to Mar 30, 2017
      • Discretionary RAUM · $35.0M to $411M
        Mar 17, 2016 to Mar 30, 2017
      • RAUM · $35.0M to $411M
        Mar 17, 2016 to Mar 30, 2017
      • Discretionary RAUM · $125,000 to $35.0M
        Apr 6, 2015 to Mar 17, 2016
      • RAUM · $125,000 to $35.0M
        Apr 6, 2015 to Mar 17, 2016
      • Accounts · 0 to 1
        Dec 19, 2014 to Mar 24, 2015
      • Discretionary RAUM · $0 to $125,000
        Dec 19, 2014 to Mar 24, 2015
      • RAUM · $0 to $125,000
        Dec 19, 2014 to Mar 24, 2015
      Signals
      8 dated events
      • Bernadette Murphy (Chief Compliance Officer) appeared on Schedule A of T•••• I••••• A•••••••• L••
        Mar 30, 2020 · Control person joined · fact
      • Sam Michael Cardello (Chief Compliance Officer) no longer on Schedule A of T•••• I••••• A•••••••• L•• (listed 2019-05-07, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Hampton Stephen Hamrick (President) no longer on Schedule A of T•••• I••••• A•••••••• L•• (listed 2019-05-07, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • David Bruce Batkin (Chief Executive Officer) no longer on Schedule A of T•••• I••••• A•••••••• L•• (listed 2019-03-27, absent 2019-05-07)
        May 7, 2019 · Control person left · inference
      • J•••• Simon Milde (Member - Class A) no longer on Schedule A of T•••• I••••• A•••••••• L•• (listed 2019-03-27, absent 2019-05-07)
        May 7, 2019 · Control person left · inference
      • S•••• V••••• U•••• (Chief Executive Officer) appeared on Schedule A of T•••• I••••• A•••••••• L••
        May 7, 2019 · Control person joined · fact
      • T•••• I••••• A•••••••• L•• reported RAUM $81.8M, down 80% from $410.5M (2017-09-27 to 2018-03-27)
        Mar 27, 2018 · RAUM change · derived
      • T•••• I••••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Aug 15, 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
      Across the graphs

      T•••• I••••• A•••••••• L•• is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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