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•• C•••••• A••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 173301SEC 801-80424IAPD
Latest filing Feb 16, 2023
First filing on the tape Sep 26, 2014 · 17 filings
RAUM
$114M
reported, Item 5.F
Discretionary
0.0%
of RAUM
Private clients
100%
$114M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$114M as of Feb 16, 2023
Feb 6, 2015$65.0M then
HNW client RAUM$114M as of Feb 16, 2023
Feb 12, 2018$106M then
State-registered IARs (5.B.3)1 as of Feb 16, 2023
Feb 6, 20151 then
Employees (5.A)1 as of Feb 16, 2023
Feb 6, 20151 then
Private funds: no history
RAUM +15% over the last fiscal year+18% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Feb 16, 2023; every figure names its basis
RAUM per advisor
$114MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
8derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$14.2MderivedHNW RAUM over HNW clients
Average account
$14.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+15%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+60%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$114M100%
Individual clients
0reported
HNW clients
8reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
8reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••••• M••••••• R•••• · Managing Member; Chief Compliance Officercontrol
        since 09/2009 · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 8
        Jan 19, 2022 to Feb 16, 2023
      • HNW clients · 5 to 8
        Jan 19, 2022 to Feb 16, 2023
      • HNW RAUM · $98.5M to $114M
        Jan 19, 2022 to Feb 16, 2023
      • Non-discretionary RAUM · $98.5M to $114M
        Jan 19, 2022 to Feb 16, 2023
      • RAUM · $98.5M to $114M
        Jan 19, 2022 to Feb 16, 2023
      • HNW clients · 4 to 5
        Jan 13, 2021 to Jan 19, 2022
      • HNW RAUM · $102M to $98.5M
        Jan 13, 2021 to Jan 19, 2022
      • Non-discretionary RAUM · $102M to $98.5M
        Jan 13, 2021 to Jan 19, 2022
      • RAUM · $102M to $98.5M
        Jan 13, 2021 to Jan 19, 2022
      • Accounts · 4 to 7
        Jun 3, 2020 to Jan 13, 2021
      • HNW RAUM · $69.8M to $102M
        Jun 3, 2020 to Jan 13, 2021
      • Non-discretionary RAUM · $69.8M to $102M
        Jun 3, 2020 to Jan 13, 2021
      • RAUM · $69.8M to $102M
        Jun 3, 2020 to Jan 13, 2021
      • Accounts · 5 to 4
        Jul 18, 2019 to Feb 11, 2020
      • HNW clients · 5 to 4
        Jul 18, 2019 to Feb 11, 2020
      • HNW RAUM · $42.4M to $69.8M
        Jul 18, 2019 to Feb 11, 2020
      • Non-discretionary RAUM · $42.4M to $69.8M
        Jul 18, 2019 to Feb 11, 2020
      • RAUM · $42.4M to $69.8M
        Jul 18, 2019 to Feb 11, 2020
      • Accounts · 6 to 5
        Feb 12, 2018 to Jan 23, 2019
      • HNW clients · 4 to 5
        Feb 12, 2018 to Jan 23, 2019
      • HNW RAUM · $106M to $42.4M
        Feb 12, 2018 to Jan 23, 2019
      • Non-discretionary RAUM · $106M to $42.4M
        Feb 12, 2018 to Jan 23, 2019
      • RAUM · $106M to $42.4M
        Feb 12, 2018 to Jan 23, 2019
      • Charity clients · unset to 0.0
        Feb 13, 2017 to Feb 12, 2018
      • Corporate clients · unset to 0.0
        Feb 13, 2017 to Feb 12, 2018
      • HNW clients · unset to 5.0
        Feb 13, 2017 to Feb 12, 2018
      • Individual clients · unset to 0.0
        Feb 13, 2017 to Feb 12, 2018
      • Pension plan clients · unset to 0.0
        Feb 13, 2017 to Feb 12, 2018
      • Pooled vehicle clients · unset to 0.0
        Feb 13, 2017 to Feb 12, 2018
      • Other offices · unset to 0.0
        Feb 13, 2017 to Feb 12, 2018
      • HNW RAUM · unset to 104000000.0
        Feb 13, 2017 to Feb 12, 2018
      • Individual RAUM · unset to 0.0
        Feb 13, 2017 to Feb 12, 2018
      • Non-discretionary RAUM · $123M to $104M
        Feb 13, 2017 to Feb 12, 2018
      • Pension RAUM · unset to 0.0
        Feb 13, 2017 to Feb 12, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Feb 13, 2017 to Feb 12, 2018
      • RAUM · $123M to $104M
        Feb 13, 2017 to Feb 12, 2018
      • Accounts · 8 to 6
        Feb 12, 2018 to Feb 12, 2018
      • HNW clients · 5 to 4
        Feb 12, 2018 to Feb 12, 2018
      • HNW RAUM · $104M to $106M
        Feb 12, 2018 to Feb 12, 2018
      • Non-discretionary RAUM · $104M to $106M
        Feb 12, 2018 to Feb 12, 2018
      Signals
      1 dated events
      • T•• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 26, 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