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 28, 2023
First filing on the tape Mar 1, 2016 · 19 filings
RAUM
$317M
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
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$317M gross assets
History
19 filings and snapshots on the tape
RAUM$317M as of Mar 28, 2023
Mar 31, 2017$224M then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 28, 2023
Mar 31, 20171 then
Employees (5.A)5 as of Mar 28, 2023
Mar 31, 20176 then
Private funds2 as of Mar 28, 2023
Mar 31, 20172 then
RAUM -6.5% over the last fiscal year-12% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 28, 2023; every figure names its basis
- RAUM per advisor
- $317MderivedRAUM 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
- $106MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 5.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -6.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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
- 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)
- 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$317M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- 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
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••••••• G••••• H••••••••• F•••• L••• | Hedge Fund | $266M | 77 | Mar 31, 2012 |
| T••••••• G••••• H••••••••• F••• Q•• L••• | Hedge Fund | $51.1M | 7 | Nov 5, 2014 |
| T••••••• S••••• F•••• L•no longer reported | Hedge Fund | $4.5M | 15 | Nov 5, 2014 |
| T••••••• E•••••• F•••• L•••no longer reported | Hedge Fund | $2.4M | 4 | Mar 31, 2021 |
Owners and control persons
Schedule A and B, latest filing
- F••••••••• J•••••• J••• · Limited Partnercontrolsince 06/2015 · owns 75% or more
- F••••••••• J•••••• J••• · Managing Membercontrolsince 06/2015 · owns 75% or more of T••••••• C•••••• G•• L••
- F•••••• A•••••• H•••••• · Chief Compliance Officersince 06/2015 · owns less than 5%
Entity owners
- T••••••• C•••••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- L•• O•••••• O• A••••• F•••••n
- T••••••• C•••••• M••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Advisory employees · 4 to 3Aug 8, 2022 to Mar 28, 2023
- Discretionary RAUM · $339M to $317MAug 8, 2022 to Mar 28, 2023
- Pooled vehicle RAUM · $339M to $317MAug 8, 2022 to Mar 28, 2023
- RAUM · $339M to $317MAug 8, 2022 to Mar 28, 2023
- Accounts · 4 to 3Sep 24, 2021 to Mar 22, 2022
- Pooled vehicle clients · 4 to 3Sep 24, 2021 to Mar 22, 2022
- Employees · 7 to 5Sep 24, 2021 to Mar 22, 2022
- Private funds · 3 to 2Sep 24, 2021 to Mar 22, 2022
- Discretionary RAUM · $484M to $339MSep 24, 2021 to Mar 22, 2022
- Pooled vehicle RAUM · $484M to $339MSep 24, 2021 to Mar 22, 2022
- RAUM · $484M to $339MSep 24, 2021 to Mar 22, 2022
- Private funds · 2 to 3Mar 29, 2020 to Mar 31, 2021
- Discretionary RAUM · $470M to $484MMar 29, 2020 to Mar 31, 2021
- Pooled vehicle RAUM · $470M to $484MMar 29, 2020 to Mar 31, 2021
- RAUM · $470M to $484MMar 29, 2020 to Mar 31, 2021
- Discretionary RAUM · $371M to $470MJun 14, 2019 to Mar 29, 2020
- Pooled vehicle RAUM · $371M to $470MJun 14, 2019 to Mar 29, 2020
- RAUM · $371M to $470MJun 14, 2019 to Mar 29, 2020
- Discretionary RAUM · $240M to $371MMay 8, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $240M to $371MMay 8, 2018 to Mar 29, 2019
- RAUM · $240M to $371MMay 8, 2018 to Mar 29, 2019
- Advisory activities · 1 to 2Mar 30, 2018 to Mar 31, 2018
- Pooled vehicle clients · unset to 4.0Apr 26, 2017 to Mar 30, 2018
- Employees · 6 to 7Apr 26, 2017 to Mar 30, 2018
- Other offices · unset to 1.0Apr 26, 2017 to Mar 30, 2018
- Discretionary RAUM · $224M to $240MApr 26, 2017 to Mar 30, 2018
- Pooled vehicle RAUM · unset to 240097245.0Apr 26, 2017 to Mar 30, 2018
- RAUM · $224M to $240MApr 26, 2017 to Mar 30, 2018
- Private funds · 3 to 2Jul 28, 2016 to Mar 31, 2017
- Discretionary RAUM · $556M to $224MJul 28, 2016 to Mar 31, 2017
- RAUM · $556M to $224MJul 28, 2016 to Mar 31, 2017
- Succession · true to falseMar 1, 2016 to Mar 1, 2016
Signals
4 dated events
- T••••••• A•••••••• L• reported RAUM $339.1M, down 30% from $484.4M (2021-09-24 to 2022-03-22)Mar 22, 2022 · RAUM change · derived
- T••••••• A•••••••• L• reported RAUM $371.3M, up 55% from $240.1M (2018-05-08 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- T••••••• A•••••••• L• reported succeeding to the business of Another Adviser (Form ADV Item 4)Mar 1, 2016 · Succession (Item 4) · fact
- T••••••• A•••••••• L• filed its initial SEC registration (Form ADV)Mar 1, 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