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•••••• ••• L••

Former SEC-registered adviserLondon, CRD 281770SEC 801-107994IAPD
Latest filing Oct 12, 2021
First filing on the tape Jun 13, 2016 · 11 filings
RAUM
$1.8B
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
15
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$1.8B as of Mar 31, 2021
Mar 29, 2017$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 29, 20170 then
Employees (5.A)16 as of Mar 31, 2021
Mar 29, 201712 then
Private funds: no history
RAUM +6.0% over the last fiscal year-5.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 12, 2021; 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
$923MderivedRAUM 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
+6.0%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.8B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• C••••••••• •••• · Chairman Of The Boardcontrol
        since 12/2020 · owns less than 5%
      • J•••••• J••••••••• •••• · Chief Compliance Officercontrol
        since 05/2015 · owns less than 5%
      • P••••• D•••••• •••• · Chief Executive Officercontrol
        since 07/2015 · owns less than 5%
      • R•••••••• U••• •••• · Shareholdercontrol
        since 05/2014 · owns less than 5%
      • P••••• O••••• F•••• J•••• · Shareholdercontrol
        since 11/2006 · owns 75% or more of S•••••• H••••••
      • R•••••••• U••• •••• · Shareholdercontrol
        since 05/2017 · owns 75% or more of R•••••••• H•••••• A•
      • S•••• M••••••• G••••••••• F••••••• · Shareholdercontrol
        since 04/2000 · owns 75% or more of G• B••••• B•
      • M••••••••• A••••••• W•••• · Non Executive Director
        since 11/2020 · owns less than 5%
      • O••••••••• C••••• P•••••• · Non Executive Director
        since 05/2014 · owns less than 5%
      • W••••••••• M•••••• A•••• · Director
        since 06/2016 · owns less than 5%
      Entity owners
      • T••••• C•••••• H••••••• A• · Shareholder
        direct · owns 75% or more
      • G• B••••• B• · Shareholder
        indirect · owns 25% to 50% of X• P••••••••• B•
      • R•••••••• H•••••• A• · Shareholder
        indirect · owns 25% to 50% of T••••• C•••••• H••••••• A•
      • S•••••• H•••••• · Shareholder
        indirect · owns 25% to 50% of X• P••••••••• B•
      • X• P••••••••• B• · Shareholder
        indirect · owns 25% to 50% of T••••• C•••••• H••••••• A•
      Related persons
      Schedule D 7.A
      • T••••• C•••••• A•
        investment adviserbankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 3
        Mar 31, 2021 to Oct 12, 2021
      • Employees · 16 to 15
        Mar 31, 2021 to Oct 12, 2021
      • Accounts · 1 to 2
        Mar 30, 2020 to Mar 31, 2021
      • Advisory employees · 7 to 5
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 1 to 2
        Mar 30, 2020 to Mar 31, 2021
      • Employees · 15 to 16
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $1.7B to $1.8B
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $1.7B to $1.8B
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $1.7B to $1.8B
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $1.8B to $1.7B
        Mar 29, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $1.8B to $1.7B
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $1.8B to $1.7B
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · 2 to 1
        Mar 22, 2018 to Mar 29, 2019
      • Advisory employees · 6 to 7
        Mar 22, 2018 to Mar 29, 2019
      • Pooled vehicle clients · 2 to 1
        Mar 22, 2018 to Mar 29, 2019
      • Employees · 11 to 15
        Mar 22, 2018 to Mar 29, 2019
      • Discretionary RAUM · $2.2B to $1.8B
        Mar 22, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $2.2B to $1.8B
        Mar 22, 2018 to Mar 29, 2019
      • RAUM · $2.2B to $1.8B
        Mar 22, 2018 to Mar 29, 2019
      • Pooled vehicle clients · unset to 2.0
        Oct 11, 2017 to Mar 22, 2018
      • Employees · 12 to 11
        Oct 11, 2017 to Mar 22, 2018
      • Discretionary RAUM · $2.4B to $2.2B
        Oct 11, 2017 to Mar 22, 2018
      • Pooled vehicle RAUM · unset to 2178952000.0
        Oct 11, 2017 to Mar 22, 2018
      • RAUM · $2.4B to $2.2B
        Oct 11, 2017 to Mar 22, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Oct 11, 2017
      • Discretionary RAUM · $1.6B to $2.4B
        Mar 29, 2017 to Oct 11, 2017
      • RAUM · $1.6B to $2.4B
        Mar 29, 2017 to Oct 11, 2017
      • Advisory employees · 4 to 6
        Aug 9, 2016 to Mar 29, 2017
      • Discretionary RAUM · $1.7B to $1.6B
        Aug 9, 2016 to Mar 29, 2017
      • RAUM · $1.7B to $1.6B
        Aug 9, 2016 to Mar 29, 2017
      Signals
      3 dated events
      • (Nmn) Marcus Rivaldi (Chief Executive Officer) no longer on Schedule A of T••••• C•••••• ••• L•• (listed 2021-03-31, absent 2021-10-12)
        Oct 12, 2021 · Control person left · inference
      • (Nmn) Christoph Buerer (Chairman Of The Board) appeared on Schedule A of T••••• C•••••• ••• L••
        Mar 31, 2021 · Control person joined · fact
      • T••••• C•••••• ••• L•• filed its initial SEC registration (Form ADV)
        Jun 13, 2016 · 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