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••••• I••••••••• L••

Former SEC-registered adviserBerwyn, PennsylvaniaCRD 285423SEC 801-108445IAPD
Latest filing Jul 9, 2018
First filing on the tape Sep 19, 2016 · 8 filings
RAUM
$1.2M
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
5
0 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
$1.2M gross assets
History
8 filings and snapshots on the tape
RAUM$1.2M as of Jul 9, 2018
Mar 31, 2017$280M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 9, 2018
Mar 31, 20170 then
Employees (5.A)5 as of Jul 9, 2018
Mar 31, 201715 then
Private funds3 as of Jul 9, 2018
Mar 31, 20176 then
RAUM -100% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 9, 2018; 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
$1.2MderivedRAUM 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
-100%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 investment companiesreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••••• I••••••••• G••••• L•••Other Private Fund$15.3M5Sep 19, 2016
      T••••• G•••••• L•••Other Private Fund$1.2M9Sep 19, 2016
      T••••• C••••••••• G••••• G••••• L•••Other Private Fund$1.1M2Sep 19, 2016
      T••••• M••••• L•••••• L•••Other Private Fund$15,7258Sep 19, 2016
      T••••• G•••••• M••••• F••• L•••Other Private Fund$010Sep 19, 2016
      T••••• G•••••• O••••••• F•••• L•••Other Private Fund$02Sep 19, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••• M••••••• T••••• · Ceo/Managing Principalcontrol
        since 08/2016 · owns less than 5%
      • K••••••• M••••••• T••••• · Managing Membercontrol
        since 06/2013 · owns 50% to 75% of Veracen L.P.
      • T•••••• R•••••• E••••• · Limited Partnercontrol
        since 08/2016 · owns 25% to 50% of T••••• I••••••••• H••••••• L•••
      • T•••••• R•••••• E••••• · Head Of Global Equity
        since 08/2016 · owns less than 5%
      • V••••••• M••••••• V•••••• · Chief Financial Officer
        since 08/2016 · owns less than 5%
      Entity owners
      • T••••• I••••••••• H••••••• L••• · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 13 to 1
        Aug 21, 2017 to Jul 9, 2018
      • Advisory employees · 5 to 0
        Aug 21, 2017 to Jul 9, 2018
      • BD registered reps · 2 to 0
        Aug 21, 2017 to Jul 9, 2018
      • Employees · 15 to 5
        Aug 21, 2017 to Jul 9, 2018
      • Other offices · unset to 1.0
        Aug 21, 2017 to Jul 9, 2018
      • Private funds · 6 to 3
        Aug 21, 2017 to Jul 9, 2018
      • Discretionary RAUM · $280M to $0
        Aug 21, 2017 to Jul 9, 2018
      • Non-discretionary RAUM · $678,445 to $1.2M
        Aug 21, 2017 to Jul 9, 2018
      • RAUM · $280M to $1.2M
        Aug 21, 2017 to Jul 9, 2018
      • BD registered reps · 3 to 2
        Nov 7, 2016 to Mar 31, 2017
      • Employees · 10 to 15
        Nov 7, 2016 to Mar 31, 2017
      • Discretionary RAUM · $337M to $280M
        Nov 7, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $690,300 to $678,445
        Nov 7, 2016 to Mar 31, 2017
      • RAUM · $337M to $280M
        Nov 7, 2016 to Mar 31, 2017
      • Succession · true to false
        Sep 19, 2016 to Nov 7, 2016
      Signals
      3 dated events
      • T••••• I••••••••• L•• reported RAUM $1.2M, down 100% from $280.2M (2017-08-21 to 2018-07-09)
        Jul 9, 2018 · RAUM change · derived
      • T••••• I••••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 19, 2016 · First SEC registration · fact
      • T••••• I••••••••• L•• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Sep 19, 2016 · Succession (Item 4) · 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