DFX Intelligence
RIA Intelligence
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SEC-registered adviser
T•••• N•••• C•••••• L•
Latest filing Mar 30, 2026
First filing on the tape Oct 18, 2016 · 19 filings
SEC status approved since Nov 22, 2016
RAUM
$432M
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
0
beyond the principal office
Private funds
2
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$432M as of Mar 30, 2026
Mar 21, 2017$39.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 21, 20170 then
Employees (5.A)5 as of Mar 30, 2026
Mar 21, 20172 then
Private funds2 as of Mar 30, 2026
Mar 21, 20171 then
RAUM -1.6% over the last fiscal year+2.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 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
- $108MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 57%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
- -1.6%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, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $49.2M, 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
- 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
- Charitable organizations$248M57%
- Pooled investment vehicles$184M43%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 2reported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $49.2M for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.43 institutional_share=0.57 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• P•••••••• L••• • T•••• N•••• C•••••• L• S••••• | Hedge Fund | $135M | 2 | Apr 29, 2022 |
| N••• L• | Hedge Fund | $35.2M | 2 | Mar 21, 2017 |
Owners and control persons
Schedule A and B, latest filing
- C••••• C••••••••• R••••••••• · Coocontrolsince 10/2022 · owns less than 5%
- D•••••••• Z••••••• •••• · Cio, Managing Membercontrolsince 09/2016 · owns 75% or more
- D•••••••• Z••••••• •••• · Managing Membercontrolsince 08/2016 · owns 75% or more of T•••• N•••• C•••••• G• L••
Entity owners
- T•••• N•••• C•••••• G• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- N••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 4Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $35.2M to $49.2MMar 31, 2025 to Mar 30, 2026
- Employees · 4 to 5Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $439M to $432MMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $179M to $184MMar 31, 2025 to Mar 30, 2026
- RAUM · $439M to $432MMar 31, 2025 to Mar 30, 2026
- Advisory employees · 4 to 3Mar 25, 2024 to Mar 31, 2025
- Employees · 5 to 4Mar 25, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 25, 2024 to Mar 31, 2025
- Discretionary RAUM · $427M to $439MMar 25, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $170M to $179MMar 25, 2024 to Mar 31, 2025
- RAUM · $427M to $439MMar 25, 2024 to Mar 31, 2025
- Assets in custody · $25.7M to $35.2MOct 20, 2023 to Mar 25, 2024
- Discretionary RAUM · $406M to $427MOct 20, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $161M to $170MOct 20, 2023 to Mar 25, 2024
- RAUM · $406M to $427MOct 20, 2023 to Mar 25, 2024
- Advisory employees · 2 to 4Nov 9, 2022 to Mar 21, 2023
- Charity clients · 3 to 2Nov 9, 2022 to Mar 21, 2023
- Pooled vehicle clients · 1 to 2Nov 9, 2022 to Mar 21, 2023
- Assets in custody · $33.9M to $25.7MNov 9, 2022 to Mar 21, 2023
- Employees · 3 to 5Nov 9, 2022 to Mar 21, 2023
- Discretionary RAUM · $419M to $406MNov 9, 2022 to Mar 21, 2023
- Pooled vehicle RAUM · $214M to $161MNov 9, 2022 to Mar 21, 2023
- RAUM · $419M to $406MNov 9, 2022 to Mar 21, 2023
- Private funds · 1 to 2Mar 29, 2022 to Apr 29, 2022
- Pooled vehicle RAUM · $33.9M to $214MMar 29, 2022 to Apr 29, 2022
- Advisory employees · 4 to 2Mar 29, 2021 to Mar 29, 2022
- Advisory activities · 1 to 2Mar 29, 2021 to Mar 29, 2022
- Assets in custody · $27.2M to $33.9MMar 29, 2021 to Mar 29, 2022
- Employees · 5 to 3Mar 29, 2021 to Mar 29, 2022
- Discretionary RAUM · $394M to $419MMar 29, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $27.2M to $33.9MMar 29, 2021 to Mar 29, 2022
- RAUM · $394M to $419MMar 29, 2021 to Mar 29, 2022
- Accounts · 3 to 4Mar 23, 2020 to Mar 29, 2021
- Advisory employees · 3 to 4Mar 23, 2020 to Mar 29, 2021
- Charity clients · unset to 3.0Mar 23, 2020 to Mar 29, 2021
- Assets in custody · $40.8M to $27.2MMar 23, 2020 to Mar 29, 2021
- Employees · 3 to 5Mar 23, 2020 to Mar 29, 2021
- Discretionary RAUM · $382M to $394MMar 23, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $40.8M to $27.2MMar 23, 2020 to Mar 29, 2021
Signals
4 dated events
- M Catherine Romanovsky (Coo) appeared on Schedule A of T•••• N•••• C•••••• L•Nov 9, 2022 · Control person joined · fact
- T•••• N•••• C•••••• L• reported RAUM $382.1M, up 62% from $235.9M (2019-07-10 to 2020-03-23)Mar 23, 2020 · RAUM change · derived
- T•••• N•••• C•••••• L• reported RAUM $235.9M, up 97% from $119.7M (2018-03-12 to 2019-03-26)Mar 26, 2019 · RAUM change · derived
- T•••• N•••• C•••••• L• filed its initial SEC registration (Form ADV)Oct 18, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- (929) 523-2436reportedpublic record, Form ADV, Mar 30, 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
- Other 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