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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SEC-registered adviser
T•••• I••• C••••••• L••
Latest filing May 7, 2026
First filing on the tape Mar 7, 2017 · 23 filings
SEC status approved since Mar 22, 2017
RAUM
$4.2B
reported, Item 5.F
Discretionary
0.0%
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
6
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
15
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$4.2B as of May 7, 2026
Feb 8, 2018$468M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 7, 2026
Feb 8, 20180 then
Employees (5.A)6 as of May 7, 2026
Feb 8, 20182 then
Private funds15 as of May 7, 2026
Feb 8, 20183 then
RAUM +22% over the last fiscal year+9.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 7, 2026; 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
- $278MderivedRAUM 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
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%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 pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $3.2B, 15 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
- 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$4.2B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 15reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.2B for 15 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••• I••• O•• L••• F•••• L••• | Venture Capital Fund | $439M | 2 | Mar 7, 2017 |
| T•••• I••• O•• L••• F••• I•• L••• | Venture Capital Fund | $404M | 2 | Mar 27, 2020 |
| T•••• I••• G•••• R•••• F•••• L••• | Venture Capital Fund | $393M | 2 | Feb 8, 2018 |
| T•••• I••• S•••••• O••••••••• F•••• L••• | Venture Capital Fund | $313M | 2 | Mar 21, 2016 |
| T•••• I••• S•••••• O••••••••• F••• I••• L••• | Venture Capital Fund | $298M | 2 | Mar 29, 2022 |
| T•••• I••• O•• L••• F••• I••• L••• | Venture Capital Fund | $297M | 2 | Mar 29, 2022 |
| T•••• I••• R•••••• F•••• L••• | Venture Capital Fund | $285M | 2 | Mar 29, 2022 |
| T•••• I••• S•••••• O••••••••• F••• I•• L••• | Venture Capital Fund | $231M | 2 | Mar 27, 2020 |
| T•••• I••• G•••• R•••• F••• I•• L••• | Venture Capital Fund | $217M | 2 | Mar 27, 2020 |
| T•••• I••• O•• L••• S••• L••• | Hedge Fund | $30.1M | 2 | Mar 27, 2024 |
| T•••• I••• S•••• L••• | Venture Capital Fund | $26.8M | 2 | Mar 29, 2022 |
| T•••• I••• G••••• F•••• L••• | Venture Capital Fund | $0 | 2 | Mar 27, 2024 |
| T•••• I••• W•••• W••• F•••• L••• | Venture Capital Fund | $0 | 2 | Mar 27, 2024 |
Owners and control persons
Schedule A and B, latest filing
- C•••••••• R••••••• S•••• · Managing Membercontrolsince 01/2016 · owns 25% to 50%
- S•••••••• M••••••• A•••••• · Managing Membercontrolsince 02/2016 · owns 25% to 50%
- S••••••• M•••• M•••••• · Chief Compliance Officercontrolsince 03/2022 · owns less than 5%
- T•••••• A•••• N•• · Managing Membercontrolsince 01/2022 · owns 25% to 50%
Related persons
Schedule D 7.A
- T•••• I••• G••••• M••••••••• L••pooled vehicle sponsorn
- T•••• I••• G•••• R•••• M••••••••• I•• L••pooled vehicle sponsorn
- T•••• I••• G•••• R•••• M••••••••• L••pooled vehicle sponsorn
- T•••• I••• O•• L••• M••••••••• I•• L••pooled vehicle sponsorn
- T•••• I••• O•• L••• M••••••••• I••• L••pooled vehicle sponsorn
- T•••• I••• O•• L••• M••••••••• L••pooled vehicle sponsorn
- T•••• I••• O•• L••• S•• M••••••••• L••pooled vehicle sponsorn
- T•••• I••• R•••••• M••••••••• L••pooled vehicle sponsorn
- T•••• I••• S••• M••••••••• L••pooled vehicle sponsorn
- T•••• I••• S•••••• O••••••••• M••••••••• I•• L••pooled vehicle sponsorn
- T•••• I••• S•••••• O••••••••• M••••••••• I••• L••pooled vehicle sponsorn
- T•••• I••• S•••••• O••••••••• M••••••••• L••pooled vehicle sponsorn
- T•••• I••• W•••• W••• M••••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing May 7, 2026discretionary share of RAUM of 0% against a peer median of 100% (1506 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $1B to $5B (1,506) · 0.0% percentile
What changed
consecutive filings, newest first
- Assets in custody · $2.9B to $3.2BMar 30, 2026 to May 7, 2026
- Non-discretionary RAUM · $4.0B to $4.2BMar 30, 2026 to May 7, 2026
- Pooled vehicle RAUM · $4.0B to $4.2BMar 30, 2026 to May 7, 2026
- RAUM · $4.0B to $4.2BMar 30, 2026 to May 7, 2026
- Accounts · 13 to 15May 9, 2025 to Mar 30, 2026
- Pooled vehicle clients · 13 to 15May 9, 2025 to Mar 30, 2026
- Assets in custody · $2.4B to $2.9BMay 9, 2025 to Mar 30, 2026
- Private funds · 13 to 15May 9, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $3.5B to $4.0BMay 9, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $3.5B to $4.0BMay 9, 2025 to Mar 30, 2026
- RAUM · $3.5B to $4.0BMay 9, 2025 to Mar 30, 2026
- Assets in custody · $2.3B to $2.4BMar 26, 2025 to May 9, 2025
- Financial planning clients · unset to Mar 26, 2025 to May 9, 2025
- Non-discretionary RAUM · $3.4B to $3.5BMar 26, 2025 to May 9, 2025
- Pooled vehicle RAUM · $3.4B to $3.5BMar 26, 2025 to May 9, 2025
- RAUM · $3.4B to $3.5BMar 26, 2025 to May 9, 2025
- Advisory employees · 3 to 4Aug 6, 2024 to Mar 26, 2025
- Assets in custody · $2.0B to $2.3BAug 6, 2024 to Mar 26, 2025
- Employees · 5 to 6Aug 6, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $2.9B to $3.4BAug 6, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $2.9B to $3.4BAug 6, 2024 to Mar 26, 2025
- RAUM · $2.9B to $3.4BAug 6, 2024 to Mar 26, 2025
- Assets in custody · $2.0B to $2.0BMar 27, 2024 to May 6, 2024
- Employees · 4 to 5Mar 27, 2024 to May 6, 2024
- Non-discretionary RAUM · $2.9B to $2.9BMar 27, 2024 to May 6, 2024
- Pooled vehicle RAUM · $2.9B to $2.9BMar 27, 2024 to May 6, 2024
- RAUM · $2.9B to $2.9BMar 27, 2024 to May 6, 2024
- Accounts · 10 to 13Jun 2, 2023 to Mar 27, 2024
- Pooled vehicle clients · 10 to 13Jun 2, 2023 to Mar 27, 2024
- Assets in custody · $2.0B to $2.0BJun 2, 2023 to Mar 27, 2024
- Private funds · 10 to 13Jun 2, 2023 to Mar 27, 2024
- Non-discretionary RAUM · $3.0B to $2.9BJun 2, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $3.0B to $2.9BJun 2, 2023 to Mar 27, 2024
- RAUM · $3.0B to $2.9BJun 2, 2023 to Mar 27, 2024
- Assets in custody · $2.2B to $2.0BMar 29, 2023 to Jun 2, 2023
- Non-discretionary RAUM · $3.2B to $3.0BMar 29, 2023 to Jun 2, 2023
- Pooled vehicle RAUM · $3.2B to $3.0BMar 29, 2023 to Jun 2, 2023
- RAUM · $3.2B to $3.0BMar 29, 2023 to Jun 2, 2023
- Assets in custody · $2.1B to $2.2BMay 11, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $2.9B to $3.2BMay 11, 2022 to Mar 29, 2023
Signals
7 dated events
- T•••• I••• C••••••• L•• reported RAUM $2.4B, up 60% from $1.5B (2021-05-12 to 2022-03-29)Mar 29, 2022 · RAUM change · derived
- Morrill Mary Shannon (Chief Compliance Officer) appeared on Schedule A of T•••• I••• C••••••• L••Mar 29, 2022 · Control person joined · fact
- T•••• I••• C••••••• L•• reported RAUM $1.4B, up 28% from $1.1B (2020-05-04 to 2021-03-25)Mar 25, 2021 · RAUM change · derived
- T•••• I••• C••••••• L•• reported RAUM $1.1B, up 44% from $736.9M (2019-05-07 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- T•••• I••• C••••••• L•• reported RAUM $720.1M, up 54% from $468.5M (2018-06-22 to 2018-10-31)Oct 31, 2018 · RAUM change · derived
- T•••• I••• C••••••• L•• reported RAUM $468.5M, up 27% from $368.4M (2017-09-28 to 2018-02-08)Feb 8, 2018 · RAUM change · derived
- T•••• I••• C••••••• L•• filed its initial SEC registration (Form ADV)Mar 7, 2017 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T•••• I••• C••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (860) 944-5817reportedpublic record, Form ADV, May 7, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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