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•••• M••••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 172683SEC 801-80735IAPD
Latest filing May 27, 2016
First filing on the tape Dec 9, 2014 · 7 filings
RAUM
$261M
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
4
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$261M gross assets
History
7 filings and snapshots on the tape
RAUM$261M as of May 27, 2016
Dec 9, 2014$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 27, 2016
Dec 9, 20140 then
Employees (5.A)4 as of May 27, 2016
Dec 9, 20144 then
Private funds2 as of May 27, 2016
Apr 14, 20151 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 27, 2016; 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
$52.3MderivedRAUM 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 pooled vehiclesreportedItem 5.G
Custody
$261M, 5 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
  • 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
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
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$261M for 5 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••• M••••• F•••• L•Hedge Fund$254M13Apr 14, 2015
      T•••• F•••• F•••• L•Hedge Fund$6.8M9Mar 29, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• S••••••• •••• · Chief Compliance Officer/Chief Investment Officercontrol
        since 07/2014 · owns less than 5%
      • D•••••• S••••••• •••• · Sole Membercontrol
        since 07/2014 · owns 75% or more of T•••• M••••••••• G•• L••
      • D•••••• S••••••• •••• · Limited Partnercontrol
        since 07/2014 · owns 75% or more of T•••• M••••••••• L•
      Entity owners
      • T•••• M••••••••• L• · Managing Member
        direct · owns 75% or more
      • T•••• M••••••••• G•• L•• · General Partner
        indirect · owns F of T•••• M••••••••• L•
      Related persons
      Schedule D 7.A
      • T•••• M••••••••• G•• L••
        bankpooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 4 to 5
        Aug 5, 2015 to Mar 29, 2016
      • Advisory employees · 4 to 3
        Aug 5, 2015 to Mar 29, 2016
      • Assets in custody · $58.3M to $261M
        Aug 5, 2015 to Mar 29, 2016
      • Private funds · 1 to 2
        Aug 5, 2015 to Mar 29, 2016
      • Discretionary RAUM · $165M to $261M
        Aug 5, 2015 to Mar 29, 2016
      • RAUM · $165M to $261M
        Aug 5, 2015 to Mar 29, 2016
      • Accounts · 0 to 4
        Dec 15, 2014 to Apr 14, 2015
      • Advisory activities · 2 to 1
        Dec 15, 2014 to Apr 14, 2015
      • Assets in custody · unset to 58347070.0
        Dec 15, 2014 to Apr 14, 2015
      • Custody of client assets · false to true
        Dec 15, 2014 to Apr 14, 2015
      • Private funds · unset to 1
        Dec 15, 2014 to Apr 14, 2015
      • Discretionary RAUM · $0 to $165M
        Dec 15, 2014 to Apr 14, 2015
      • RAUM · $0 to $165M
        Dec 15, 2014 to Apr 14, 2015
      • Related bank · false to true
        Dec 15, 2014 to Apr 14, 2015
      Signals
      1 dated events
      • T•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 9, 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