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
P•••• C•••••• A•••••••• L••
Latest filing Aug 7, 2017
First filing on the tape Nov 21, 2016 · 4 filings
RAUM
$21.5M
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
2
2 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$32.0M gross assets
History
4 filings and snapshots on the tape
RAUM$21.5M as of Aug 7, 2017
Nov 21, 2016$10.5M then
HNW client RAUM: no history
State-registered IARs (5.B.3)2 as of Aug 7, 2017
Nov 21, 20163 then
Employees (5.A)2 as of Aug 7, 2017
Nov 21, 20163 then
Private funds2 as of Aug 7, 2017
Nov 21, 20161 then
Practice profile
derived from the filing of Aug 7, 2017; every figure names its basis
- RAUM per advisor
- $10.8MderivedRAUM 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
- $10.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.0derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $21.5M, 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
- 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)
- 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
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
- 2reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $21.5M for 1 clientsreported
- Compensation
- % of AUMreported
- 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••• A•• I••••• F•••• L•• | Hedge Fund | $21.5M | 70 | Aug 7, 2017 |
| P••••••• L•• | Hedge Fund | $10.5M | 1 | Nov 21, 2016 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• S••••• E••••• · Chief Compliance Officercontrolsince 07/2016 · owns less than 5%
- D••••• T•••• M•••••••• · Membercontrolsince 07/2016 · owns 50% to 75% of Td Group LLC
- R••••• T•••••• W• · Membercontrolsince 07/2016 · owns 25% to 50% of Tr Investment, LLC
Entity owners
- T• G•••• L•• · Memberdirect · owns 50% to 75%
- T• I••••••••• L•• · Managerdirect · owns 25% to 50%
Related persons
Schedule D 7.A
- P•••• M••• G•••• L••bankpooled vehicle sponsorn
- Tmd & Associates, Inc.investment advisernRAUM $413M
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 3 to 2Jan 3, 2017 to Aug 7, 2017
- Assets in custody · $10.5M to $21.5MJan 3, 2017 to Aug 7, 2017
- Employees · 3 to 2Jan 3, 2017 to Aug 7, 2017
- Insurance-licensed employees · 3 to 2Jan 3, 2017 to Aug 7, 2017
- State-registered IARs · 3 to 2Jan 3, 2017 to Aug 7, 2017
- Private funds · 1 to 2Jan 3, 2017 to Aug 7, 2017
- Discretionary RAUM · $10.5M to $21.5MJan 3, 2017 to Aug 7, 2017
- RAUM · $10.5M to $21.5MJan 3, 2017 to Aug 7, 2017
- Related bank · false to trueJan 3, 2017 to Aug 7, 2017
Signals
1 dated events
- Prism Capital Advisors, Llc filed its initial SEC registration (Form ADV)Nov 21, 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