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•••••• C•••••• M••••••••• L••

Former SEC-registered adviserRoslyn, New YorkCRD 286000SEC 801-113663IAPD
Latest filing Mar 30, 2022
First filing on the tape Jun 21, 2018 · 6 filings
RAUM
$332M
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
8
4 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$332M as of Mar 30, 2022
Mar 28, 2019$197M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Mar 28, 20190 then
Employees (5.A)8 as of Mar 30, 2022
Mar 28, 20199 then
Private funds: 1
RAUM +1.0% over the last fiscal year+19% a year over threeIARs 0 to 0offices 2 to 3
Practice profile
derived from the filing of Mar 30, 2022; 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
$332MderivedRAUM 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
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+1.0%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
Custody
$242M, 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • 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$332M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$242M for 1 clientsreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•• C•• C••••• F••• L•no longer reportedHedge Fund$197M12Jul 18, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • S••••••• F••••• R• · Managing Partner, Chief Executive Officercontrol
        since 09/2016 · owns less than 5%
      • S•••••••• R••••••• P•••• · Managing Director, Chief Compliance Officercontrol
        since 11/2016 · owns less than 5%
      • L•••• D•••••• S••• · Membercontrol
        since 09/2016 · owns 75% or more of T•••• P•••• R••• E••••• S••••••••• L••
      • S••••••• F••••• R• · Membercontrol
        since 09/2016 · owns 75% or more of F•• H•••••• L••
      • S••••••• F••••• R• · Managercontrol
        since 09/2016 · owns F of T•••••• H••••• G• L••
      Entity owners
      • T•••••• H••••• L• · Member
        direct · owns 75% or more
      • F•• H•••••• L•• · Member
        indirect · owns 25% to 50% of T•••••• H••••• G• L••
      • F•• H•••••• L•• · Limited Partner
        indirect · owns 25% to 50% of T•••••• H••••• L•
      • T•••• P•••• R••• E••••• S••••••••• L•• · Member
        indirect · owns 50% to 75% of T•••••• H••••• G• L••
      • T•••• P•••• R••• E••••• S••••••••• L•• · Limited Partner
        indirect · owns 50% to 75% of T•••••• H••••• L•
      • T•••••• H••••• G• L•• · General Partner
        indirect · owns F of T•••••• H••••• L•
      Related persons
      Schedule D 7.A
      • T•• C•• C••••• G• L••
        pooled vehicle sponsory
      Advisers that list T•••••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Hobe Sound, FL1 employees
      • St. Louis, MO1 employees
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Assets in custody · $210M to $242M
        Oct 8, 2021 to Mar 30, 2022
      • Employees · 9 to 8
        Oct 8, 2021 to Mar 30, 2022
      • Other offices · 2 to 3
        Oct 8, 2021 to Mar 30, 2022
      • Discretionary RAUM · $329M to $332M
        Oct 8, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $329M to $332M
        Oct 8, 2021 to Mar 30, 2022
      • RAUM · $329M to $332M
        Oct 8, 2021 to Mar 30, 2022
      • Assets in custody · $180M to $210M
        Mar 20, 2020 to Mar 31, 2021
      • Discretionary RAUM · $295M to $329M
        Mar 20, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $295M to $329M
        Mar 20, 2020 to Mar 31, 2021
      • RAUM · $295M to $329M
        Mar 20, 2020 to Mar 31, 2021
      • Assets in custody · $110M to $180M
        Mar 28, 2019 to Mar 20, 2020
      • Private funds · 1 to unset
        Mar 28, 2019 to Mar 20, 2020
      • Discretionary RAUM · $197M to $295M
        Mar 28, 2019 to Mar 20, 2020
      • Pooled vehicle RAUM · $197M to $295M
        Mar 28, 2019 to Mar 20, 2020
      • RAUM · $197M to $295M
        Mar 28, 2019 to Mar 20, 2020
      • Advisory employees · 6 to 4
        Jun 21, 2018 to Mar 28, 2019
      • Assets in custody · $43.4M to $110M
        Jun 21, 2018 to Mar 28, 2019
      • Employees · 8 to 9
        Jun 21, 2018 to Mar 28, 2019
      • Private funds · 2 to 1
        Jun 21, 2018 to Mar 28, 2019
      • Discretionary RAUM · $152M to $197M
        Jun 21, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $152M to $197M
        Jun 21, 2018 to Mar 28, 2019
      • RAUM · $152M to $197M
        Jun 21, 2018 to Mar 28, 2019
      Signals
      1 dated events
      • T•••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jun 21, 2018 · 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