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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SEC-registered adviser
T•• A••••••• L••
Latest filing Aug 27, 2026
First filing on the tape Jun 1, 2023 · 7 filings
SEC status approved since Jun 30, 2023
RAUM
$164M
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
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$164M as of Aug 27, 2026
Mar 28, 2024$240M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 27, 2026
Mar 28, 20240 then
Employees (5.A)10 as of Aug 27, 2026
Mar 28, 202410 then
Private funds2 as of Aug 27, 2026
Mar 28, 20242 then
RAUM -40% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 27, 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
- $82.0MderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -40%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $118M, 2 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- the adviser acts as qualified custodian (9.D.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$164M100%
- 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
- $118M for 2 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=6.0derived
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 |
|---|---|---|---|---|
| I•••••••• D••••••• H•••• F••• L• | Hedge Fund | $181M | 2 | Mar 29, 2022 |
| T••••••••• C•••••• M••••••••• L• | Hedge Fund | $58.4M | 11 | Jan 3, 2017 |
Owners and control persons
Schedule A and B, latest filing
- F•••••••• M••• · Managing Membercontrolsince 12/2016 · owns 10% to 25%
- L••••• J•••••••• A•• · Presidentcontrolsince 11/2016 · owns less than 5%
- F•••••••• M••• · T••••••controlsince 12/1988 · owns 75% or more of M••• F••••••• S••••••• P••••••• T••••• M••• F••••••• T••••••
- M•••••••• H•••••• J•• · Treasurer/Cfosince 11/2016 · owns less than 5%
- R••••• T••••• J••• · Chief Compliance Officersince 11/2016 · owns less than 5%
Entity owners
- M••• F••••••• S••••••• P••••••• T••••• M••• F••••••• T•••••• · T•••••• And Grantordirect · owns 50% to 75%
Related persons
Schedule D 7.A
- T•••••••• C•••••• L••investment adviserbanknRAUM $268M
- T•••••••• S••••••••• L••broker-dealery
Advisers that list T•• A••••••• L•• as a related person
- 161971 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $272,063,572 to $164,036,230 (-40.0%) between the annual amendments of 2025-03-28 and 2026-03-27; the peer median change was +4.0% (1147 comparable advisers, 6.0th percentile of changes)peers: asset managers, $100M to $500M (1,147) · 5.8% percentile
What changed
consecutive filings, newest first
- Advisory employees · 5 to 6Mar 28, 2025 to Mar 27, 2026
- Assets in custody · $150M to $118MMar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $272M to $164MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $272M to $164MMar 28, 2025 to Mar 27, 2026
- RAUM · $272M to $164MMar 28, 2025 to Mar 27, 2026
- BD registered reps · 7 to 6Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $112M to $150MMar 28, 2024 to Mar 28, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $240M to $272MMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $240M to $272MMar 28, 2024 to Mar 28, 2025
- RAUM · $240M to $272MMar 28, 2024 to Mar 28, 2025
- Assets in custody · $103M to $112MFeb 5, 2024 to Mar 28, 2024
- Discretionary RAUM · $216M to $240MFeb 5, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $216M to $240MFeb 5, 2024 to Mar 28, 2024
- RAUM · $216M to $240MFeb 5, 2024 to Mar 28, 2024
- Private funds · 4 to 2Jun 1, 2023 to Jun 14, 2023
Signals
2 dated events
- T•• A••••••• L•• reported RAUM $164.0M, down 40% from $272.1M (2025-03-28 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- T•• A••••••• L•• filed its initial SEC registration (Form ADV)Jun 1, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T•• A••••••• L•• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 844-528-8430reportedpublic record, Form ADV, Aug 27, 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
- Asset manager (funds and pooled vehicles)deriveda 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