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•••••••• A••••••• L••
Latest filing Mar 16, 2023
First filing on the tape Jun 28, 2021 · 4 filings
RAUM
$25.7M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
17%
$4.5M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$21.2M gross assets
History
4 filings and snapshots on the tape
RAUM$25.7M as of Mar 16, 2023
Mar 29, 2022$41.6M then
HNW client RAUM$4.3M as of Mar 16, 2023
Mar 29, 2022$7.3M then
State-registered IARs (5.B.3)0 as of Mar 16, 2023
Mar 29, 20220 then
Employees (5.A)3 as of Mar 16, 2023
Mar 29, 20223 then
Private funds1 as of Mar 16, 2023
Mar 29, 20222 then
RAUM -38% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 16, 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
- $1.4MderivedHNW RAUM over HNW clients
- Average account
- $5.1MderivedRAUM 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
- -38%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -50%derived
- Compensation
- percentage of assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $21.2M, 1 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
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- 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$21.2M83%
- High-net-worth individuals$4.3M17%
- Individuals$235,4410.9%
- Individual clients
- 1reported
- HNW clients
- 3reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $21.2M for 1 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
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••••••• C•••••• G•••• L• | Hedge Fund | $21.2M | 27 | Jun 28, 2021 |
| T••••••• C•••••• L•••••••• O••••••••• F••• L• | Hedge Fund | $7.5M | 6 | Jun 28, 2021 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• K••••• A••• · Member, Portfolio Manager, Managercontrolsince 01/2014 · owns 50% to 75%
- K•••••• A•••• D•••• · Member, Chief Operating Officer, Manager, Chief Compliance Officercontrolsince 01/2014 · owns 25% to 50%
- H••••••••• J•••••• G••••• · Chief Financial Officersince 12/2017 · owns less than 5%
Related persons
Schedule D 7.A
- K•••• P••••••• L••bankpooled vehicle sponsorn
- K•••• A••••• C••insurancen
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 10 to 5Sep 30, 2022 to Mar 16, 2023
- HNW clients · 5 to 3Sep 30, 2022 to Mar 16, 2023
- Individual clients · 3 to 1Sep 30, 2022 to Mar 16, 2023
- Pooled vehicle clients · 2 to 1Sep 30, 2022 to Mar 16, 2023
- Assets in custody · $34.0M to $21.2MSep 30, 2022 to Mar 16, 2023
- Private funds · 2 to 1Sep 30, 2022 to Mar 16, 2023
- Discretionary RAUM · $41.6M to $25.7MSep 30, 2022 to Mar 16, 2023
- HNW RAUM · $7.3M to $4.3MSep 30, 2022 to Mar 16, 2023
- Individual RAUM · $342,061 to $235,441Sep 30, 2022 to Mar 16, 2023
- Pooled vehicle RAUM · $34.0M to $21.2MSep 30, 2022 to Mar 16, 2023
- RAUM · $41.6M to $25.7MSep 30, 2022 to Mar 16, 2023
- Advisory employees · 3 to 1Jun 28, 2021 to Mar 29, 2022
- Assets in custody · $0 to $34.0MJun 28, 2021 to Mar 29, 2022
- Discretionary RAUM · $40.9M to $41.6MJun 28, 2021 to Mar 29, 2022
- HNW RAUM · $7.4M to $7.3MJun 28, 2021 to Mar 29, 2022
- Individual RAUM · $330,761 to $342,061Jun 28, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $33.1M to $34.0MJun 28, 2021 to Mar 29, 2022
- RAUM · $40.9M to $41.6MJun 28, 2021 to Mar 29, 2022
- Related bank · false to trueJun 28, 2021 to Mar 29, 2022
Signals
1 dated events
- T•••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Jun 28, 2021 · 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