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•••••• F••• A•••••••• L••

Former SEC-registered adviserMonterey, CaliforniaCRD 175325SEC 801-96340IAPD
Latest filing Mar 28, 2018
First filing on the tape May 18, 2015 · 4 filings
RAUM
$26.4M
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
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$26.4M as of Mar 28, 2018
Mar 29, 2016$14.6M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2018
Mar 29, 20162 then
Employees (5.A)5 as of Mar 28, 2018
Mar 29, 20165 then
Private funds: no history
RAUM +50% over the last fiscal yearIARs 2 to 0
Practice profile
derived from the filing of Mar 28, 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
$26.4MderivedRAUM 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
+50%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$26.4M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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
      • D•••••••• D••••• N•• · Managing Member & Chief Compliance Officercontrol
        since 05/2015 · owns 25% to 50%
      • S••••••• D•••••• G•••••• · Managing Member & Chief Investment Officercontrol
        since 05/2015 · owns 25% to 50%
      • D•••••••• D••••• N•• · Managing Member And Chief Compliance Officercontrol
        since 11/2009 · owns 50% to 75% of T•••••• C••••••• L••
      • S••••••• D•••••• G•••••• · Managing Member And Chief Investment Officercontrol
        since 11/2009 · owns 50% to 75% of T•••••• C••••••• L••
      Entity owners
      • T•••••• C••••••• L•• · General Partner
        indirect · owns F of O•••••••• F•••• L•
      • O•••••••• F•••• L• · Owner
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 4 to 5
        Mar 20, 2017 to Mar 28, 2018
      • State-registered IARs · 2 to 0
        Mar 20, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Mar 20, 2017 to Mar 28, 2018
      • Discretionary RAUM · $17.5M to $26.4M
        Mar 20, 2017 to Mar 28, 2018
      • RAUM · $17.5M to $26.4M
        Mar 20, 2017 to Mar 28, 2018
      • Employees · 5 to 4
        Mar 29, 2016 to Mar 20, 2017
      • Discretionary RAUM · $14.6M to $17.5M
        Mar 29, 2016 to Mar 20, 2017
      • RAUM · $14.6M to $17.5M
        Mar 29, 2016 to Mar 20, 2017
      • Accounts · 0 to 1
        May 18, 2015 to Mar 29, 2016
      • State-registered IARs · 0 to 2
        May 18, 2015 to Mar 29, 2016
      • Discretionary RAUM · $0 to $14.6M
        May 18, 2015 to Mar 29, 2016
      • RAUM · $0 to $14.6M
        May 18, 2015 to Mar 29, 2016
      Signals
      1 dated events
      • T•••••• F••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        May 18, 2015 · 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