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••• S••••• T••••••

Former SEC-registered adviserBoston, MassachusettsCRD 283757SEC 801-110959IAPD
Legal name T••• S••••• T•••••• L•
Latest filing May 15, 2019
First filing on the tape Jun 30, 2017 · 8 filings
RAUM
$195M
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
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$390M gross assets
History
8 filings and snapshots on the tape
RAUM$195M as of Mar 13, 2019
Mar 29, 2018$160M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 13, 2019
Mar 29, 20180 then
Employees (5.A)5 as of Mar 13, 2019
Mar 29, 20186 then
Private funds2 as of Mar 13, 2019
Mar 29, 20181 then
RAUM +22% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 15, 2019; 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
$97.5MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+22%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 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)
  • 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$195M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••• S••••• T•••••• M••••• F•••Hedge Fund$195M2Apr 30, 2018
      T••• S••••• T•••••• F••• 2• L•Hedge Fund$02Nov 9, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • G••••••••• D••••••• B•••••••• · Chief Compliance Officercontrol
        since 08/2016 · owns less than 5%
      • S••••• R••••• •••• · Chief Executive Officercontrol
        since 02/2012 · owns 25% to 50%
      Entity owners
      • T••• S••••• P••••••••• 2• L•• · Limited Partner
        direct · owns 50% to 75%
      • T••• S••••• T•••••• ••• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • T••• S••••• F••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 6 to 5
        Apr 30, 2018 to Mar 13, 2019
      • Discretionary RAUM · $160M to $195M
        Apr 30, 2018 to Mar 13, 2019
      • Pooled vehicle RAUM · $160M to $195M
        Apr 30, 2018 to Mar 13, 2019
      • RAUM · $160M to $195M
        Apr 30, 2018 to Mar 13, 2019
      • Private funds · 1 to 2
        Apr 30, 2018 to Apr 30, 2018
      • RAUM · $190M to $160M
        Jul 26, 2017 to Mar 29, 2018
      • Accounts · 1 to 2
        Jul 26, 2017 to Mar 29, 2018
      • Advisory employees · 5 to 4
        Jul 26, 2017 to Mar 29, 2018
      • Charity clients · unset to 0.0
        Jul 26, 2017 to Mar 29, 2018
      • Corporate clients · unset to 0.0
        Jul 26, 2017 to Mar 29, 2018
      • HNW clients · unset to 0.0
        Jul 26, 2017 to Mar 29, 2018
      • Individual clients · unset to 0.0
        Jul 26, 2017 to Mar 29, 2018
      • Pension plan clients · unset to 0.0
        Jul 26, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 2.0
        Jul 26, 2017 to Mar 29, 2018
      • HQ city · CAMBRIDGE to BOSTON
        Jul 26, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Jul 26, 2017 to Mar 29, 2018
      • Discretionary RAUM · $190M to $160M
        Jul 26, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 160000000.0
        Jul 26, 2017 to Mar 29, 2018
      • Advisory employees · 3 to 5
        Jun 30, 2017 to Jul 26, 2017
      • Private funds · 2 to 1
        Jun 30, 2017 to Jul 26, 2017
      Signals
      1 dated events
      • T••• S••••• T•••••• filed its initial SEC registration (Form ADV)
        Jun 30, 2017 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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