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•••• I••••••• S••••••••• L•

Former SEC-registered adviserNew York, New YorkCRD 286109SEC 801-108802websiteIAPD
Latest filing Dec 5, 2025
First filing on the tape Dec 3, 2016 · 27 filings
SEC status approved since Dec 12, 2016
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
37
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$0 as of Dec 5, 2025
Jan 17, 2025$0 then
HNW client RAUM$0 as of Dec 5, 2025
Jan 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Dec 5, 2025
Mar 30, 20170 then
Employees (5.A)37 as of Dec 5, 2025
Mar 30, 201716 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 5, 2025; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, otherreportedItem 5.E
Advisory activities
pension consulting, selection of other advisers, publications, educational seminars, otherreportedItem 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)
  • marketing includes testimonials (5.L.1.c)
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
0reported
HNW clients
0reported
Pension plan clients
16reported
Charitable clients
13reported
Accounts
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • O•••••••• J•••• A••••• · Co-Chairmancontrol
        since 05/2016 · owns less than 5%
      • S•••••• D••••• M••• · Co-Chairmancontrol
        since 05/2016 · owns less than 5%
      • O•••••••• J•••• A••••• · Trusteecontrol
        since 12/2007 · owns F of J••• A• O••••••• R•••••••• T••••
      • S•••••• D••••• M••• · Trusteecontrol
        since 12/2007 · owns F of D•••• M• S••••• R•••••••• T••••
      • D•••• T••••• M••••• K•••••• · Chief Executive Officer
        since 06/2022 · owns less than 5%
      • L••••• C•••••• M••••••• · Chief Business Officer
        since 01/2019 · owns less than 5%
      • M••••••• S••••• H••••••• · General Counsel
        since 07/2023 · owns less than 5%
      • O•••• C••••••• N•• · Chief Compliance Officer
        since 11/2016 · owns less than 5%
      • S••••••••• D•••• M•••• · Chief Financial Officer
        since 05/2016 · owns less than 5%
      Entity owners
      • D•••• M• S••••• R•••••••• T•••• · L•••••• Partner
        direct · owns 25% to 50%
      • J••• A• O••••••• R•••••••• T•••• · L•••••• Partner
        direct · owns 25% to 50%
      • T•• S•••• M••••••••• L•• · General Partner
        direct · owns less than 5%
      • D•••• M• S••••• R•••••••• T•••• · Member
        indirect · owns 25% to 50% of T•• S•••• M••••••••• L••
      • J••• A• O••••••• R•••••••• T•••• · Member
        indirect · owns 25% to 50% of T•• S•••• M••••••••• L••
      • S•••••• P•• L•• · Trustee Of S•••••• T••••
        direct · owns 5% to 10%
      • S•••••• T•••• · L•••••• Partner
        direct · owns 5% to 10%
      • S••••••• T•••• · L•••••• Partner
        direct · owns 5% to 10%
      • S•••••••• P•• L•• · Trustee Of S••••••• T••••
        direct · owns 5% to 10%
      • F••••••• D••••••• F•••••••• S••••••• L•• · Trustee
        indirect · owns F of S•••••• S•••••• P•••••• T•••• I•
      • F••••••• D••••••• F•••••••• S••••••• L•• · Trustee
        indirect · owns F of S•••••••• S•••••• P•••••• T•••• I•
      • S•••••• P•• L•• · Trustee
        indirect · owns F of S•••••• T••••
      • S•••••• S•••••• P•••••• T•••• I• · Member
        indirect · owns 75% or more of S•••••• P•• L••
      • S•••••• S•••••• P•••••• T•••• I• · Manager
        indirect · owns F of S•••••• P•• L••
      • S•••••••• P•• L•• · Trustee
        indirect · owns F of S••••••• T••••
      • S•••••••• S•••••• P•••••• T•••• I• · Member
        indirect · owns 75% or more of S•••••••• P•• L••
      • S•••••••• S•••••• P•••••• T•••• I• · Manager
        indirect · owns F of S•••••••• P•• L••
      Related persons
      Schedule D 7.A
      • S••••••• C•••••• I• G•• L•
        bankpooled vehicle sponsorn
      • S•• M• I••••••••• G•• L•
        pooled vehicle sponsorn
      • T•••• L•
        bankpooled vehicle sponsorn
      • T•• S•••• A•••••••• L•
        investment adviserbankpooled vehicle sponsornRAUM $74B
      • T•• S•••• C•••• C••• L•••
        investment adviserpooled vehicle sponsorn
      • T•• S•••• I••••• F••• C•••••••• C•• G•• L•
        pooled vehicle sponsorn
      • T•• S•••• I••••• F••• C•••••••• P• G•• L•
        pooled vehicle sponsorn
      • T•• S•••• I••••• F••• G•• L•
        pooled vehicle sponsorn
      • T•• S•••• I••••••••• P•••••••• L••
        pooled vehicle sponsorn
      • T•• S•••• I••••••••• L••••••
        investment advisern
      • T•• S•••• I••••••••• L•
        investment adviserbankpooled vehicle sponsornRAUM $233B
      • T•• S•••• M••••••••• L••
        pooled vehicle sponsory
      • T•• S•••• P••••••••• L••
        pooled vehicle sponsorn
      • T•• S•••• P•••••• I••••••••• L••
        bankpooled vehicle sponsorn
      • T•• S•••• R••• E••••• G• I• L•
        pooled vehicle sponsorn
      • T•• S•••• R••• E••••• P•• G• I• L•
        pooled vehicle sponsorn
      • T•• S•••• R••• E••••• P•• G• I•• L•
        pooled vehicle sponsorn
      • T•• S•••• R••• E••••• P•• G• I••• L•
        pooled vehicle sponsorn
      • T•• S•••• R••• E••••• P•• G• I•• L•
        pooled vehicle sponsorn
      • T•• S•••• R••• E••••• P•• G• V• L•
        pooled vehicle sponsorn
      • T•• S•••• S••••••••• U• L••••••
        broker-dealern
      • T•• S•••• S••••••••• L••
        broker-dealern
      • T•• S•••• V••••••• C•••••••• F••• G•• L••
        pooled vehicle sponsorn
      • T•• S•••• V••••••• I•• G•• L••
        pooled vehicle sponsorn
      • T•• S•••• V••••••• I• G•• L••
        pooled vehicle sponsorn
      • T•• S•••• V••••••• M•••• F••• I• G•• L••
        pooled vehicle sponsorn
      • T•• S•••• V••••••• O••••••••• F••• G•• L••
        pooled vehicle sponsorn
      • T•• S•••• V••••••• O••••••••• F••• I• G•• L••
        pooled vehicle sponsorn
      • T•• S•••• V•••••••• L•
        investment advisern
      Advisers that list T•• S•••• I••••••• S••••••••• L• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · unset to
        Mar 31, 2025 to Jul 25, 2025
      • Charity clients · 0 to 13
        Jan 17, 2025 to Mar 31, 2025
      • Corporate clients · 36 to 23
        Jan 17, 2025 to Mar 31, 2025
      • Pension plan clients · 11 to 16
        Jan 17, 2025 to Mar 31, 2025
      • Employees · 47 to 37
        Jan 17, 2025 to Mar 31, 2025
      • Accounts · unset to 0.0
        Mar 28, 2024 to Jan 17, 2025
      • Discretionary RAUM · unset to 0.0
        Mar 28, 2024 to Jan 17, 2025
      • Non-discretionary RAUM · unset to 0.0
        Mar 28, 2024 to Jan 17, 2025
      • RAUM · unset to 0.0
        Mar 28, 2024 to Jan 17, 2025
      • Advisory employees · 3 to 2
        Jan 2, 2024 to Mar 28, 2024
      • Charity clients · 15 to 0
        Jan 2, 2024 to Mar 28, 2024
      • Corporate clients · 33 to 36
        Jan 2, 2024 to Mar 28, 2024
      • Pension plan clients · 21 to 11
        Jan 2, 2024 to Mar 28, 2024
      • Employees · 51 to 47
        Jan 2, 2024 to Mar 28, 2024
      • Charity clients · 19 to 15
        Sep 30, 2022 to Mar 31, 2023
      • Corporate clients · 85 to 33
        Sep 30, 2022 to Mar 31, 2023
      • Pension plan clients · 44 to 21
        Sep 30, 2022 to Mar 31, 2023
      • Employees · 41 to 51
        Sep 30, 2022 to Mar 31, 2023
      • Advisory employees · 2 to 3
        May 3, 2021 to Mar 31, 2022
      • Advisory activities · 6 to 5
        May 3, 2021 to Mar 31, 2022
      • Corporate clients · 75 to 85
        May 3, 2021 to Mar 31, 2022
      • Pension plan clients · 42 to 44
        May 3, 2021 to Mar 31, 2022
      • Employees · 27 to 41
        May 3, 2021 to Mar 31, 2022
      • Advisory employees · 4 to 2
        May 22, 2020 to Mar 31, 2021
      • Corporate clients · 50 to 75
        May 22, 2020 to Mar 31, 2021
      • HNW clients · unset to 0.0
        May 22, 2020 to Mar 31, 2021
      • Individual clients · unset to 0.0
        May 22, 2020 to Mar 31, 2021
      • Pension plan clients · unset to 42.0
        May 22, 2020 to Mar 31, 2021
      • Pooled vehicle clients · unset to 0.0
        May 22, 2020 to Mar 31, 2021
      • Advisory employees · 5 to 4
        Jan 14, 2020 to Mar 30, 2020
      • BD registered reps · 4 to 0
        Jan 14, 2020 to Mar 30, 2020
      • Corporate clients · 17 to 50
        Jan 14, 2020 to Mar 30, 2020
      • Pooled vehicle clients · 0.0 to unset
        Jan 14, 2020 to Mar 30, 2020
      • Advisory employees · 6 to 5
        Jan 2, 2019 to Mar 28, 2019
      • Advisory activities · 4 to 6
        Jan 2, 2019 to Mar 28, 2019
      • BD registered reps · 5 to 4
        Jan 2, 2019 to Mar 28, 2019
      • Charity clients · 15 to 19
        Jan 2, 2019 to Mar 28, 2019
      • Corporate clients · 9 to 17
        Jan 2, 2019 to Mar 28, 2019
      • Pension plan clients · 5.0 to unset
        Jan 2, 2019 to Mar 28, 2019
      • Employees · 22 to 27
        Jan 2, 2019 to Mar 28, 2019
      Signals
      5 dated events
      • T•• S•••• I••••••• S••••••••• L• no longer on the SEC adviser roster (last listed 2026-02-02)
        Mar 2, 2026 · Left the SEC roster · derived
      • (Nmn) Nobel Gulati (Managing Director) no longer on Schedule A of T•• S•••• I••••••• S••••••••• L• (listed 2018-08-03, absent 2019-01-02)
        Jan 2, 2019 · Control person left · inference
      • Denis De Graeve (Head Of Business Innovation And Growth) no longer on Schedule A of T•• S•••• I••••••• S••••••••• L• (listed 2018-08-03, absent 2019-01-02)
        Jan 2, 2019 · Control person left · inference
      • Mayberry Carter Lyons (Managing Director) appeared on Schedule A of T•• S•••• I••••••• S••••••••• L•
        Jan 2, 2019 · Control person joined · fact
      • T•• S•••• I••••••• S••••••••• L• filed its initial SEC registration (Form ADV)
        Dec 3, 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