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•••• I••••••••• L••
Latest filing Mar 12, 2026
First filing on the tape Jul 30, 2021 · 10 filings
SEC status approved since Aug 30, 2021
RAUM
$193M
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
9
6 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
3
reported on Schedule D
History
10 filings and snapshots on the tape
RAUM$193M as of Mar 12, 2026
Mar 7, 2022$130M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 12, 2026
Mar 7, 20220 then
Employees (5.A)9 as of Mar 12, 2026
Mar 7, 202211 then
Private funds3 as of Mar 12, 2026
Mar 7, 20223 then
RAUM +4.2% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 12, 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
- $38.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 8.2%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.2%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 pooled vehiclesreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$177M92%
- Charitable organizations$15.8M8.2%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 1reported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.92 institutional_share=0.08 related_bd=false related_bank=false bd_reps=0.0derived
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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••• A•••• G••••• E••••• F••• L• | Hedge Fund | $67.4M | 25 | Mar 27, 2018 |
| T•••• A•••• F••• L• | Hedge Fund | $47.6M | 61 | Jun 20, 2017 |
| T•••• A•••• C••••••••• S••••••• F••• L• | Hedge Fund | $31.3M | 46 | Mar 29, 2021 |
Owners and control persons
Schedule A and B, latest filing
- D•••• T••••••• P•••• · Chief Investment Officercontrolsince 12/2014 · owns less than 5%
- G•••••• I••• A••••• · Chief Operating Officer, Chief Compliance Officercontrolsince 01/2015 · owns less than 5%
- S••••••• D•••••• S•••• · Membercontrolsince 07/2019 · owns less than 5%
- D•••• T••••••• P•••• · Managing Membercontrolsince 01/2024 · owns 25% to 50% of G••• O•••• I••••••••• L••
Entity owners
- G••• O•••• I••••••••• L•• · Managing Memberdirect · owns 75% or more
- M••• 6••• L•• · Memberindirect · owns 25% to 50% of G••• O•••• I••••••••• L••
Related persons
Schedule D 7.A
- G••• O•••• I••••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
What changed
consecutive filings, newest first
- Employees · 10 to 9Jan 12, 2026 to Mar 12, 2026
- Discretionary RAUM · $185M to $193MJan 12, 2026 to Mar 12, 2026
- Pooled vehicle RAUM · $171M to $177MJan 12, 2026 to Mar 12, 2026
- RAUM · $185M to $193MJan 12, 2026 to Mar 12, 2026
- Financial planning clients · unset to Mar 21, 2025 to May 2, 2025
- Advisory employees · 7 to 6Mar 22, 2024 to Mar 21, 2025
- Assets in custody · $146M to $0Mar 22, 2024 to Mar 21, 2025
- Custody of client assets · true to falseMar 22, 2024 to Mar 21, 2025
- Employees · 11 to 10Mar 22, 2024 to Mar 21, 2025
- Discretionary RAUM · $170M to $185MMar 22, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $157M to $171MMar 22, 2024 to Mar 21, 2025
- RAUM · $170M to $185MMar 22, 2024 to Mar 21, 2025
- Advisory employees · 6 to 7Jan 9, 2024 to Mar 22, 2024
- Assets in custody · $102M to $146MJan 9, 2024 to Mar 22, 2024
- Discretionary RAUM · $123M to $170MJan 9, 2024 to Mar 22, 2024
- Pooled vehicle RAUM · $112M to $157MJan 9, 2024 to Mar 22, 2024
- RAUM · $123M to $170MJan 9, 2024 to Mar 22, 2024
- Advisory employees · 10 to 6Aug 16, 2022 to Mar 24, 2023
- Discretionary RAUM · $130M to $123MAug 16, 2022 to Mar 24, 2023
- Pooled vehicle RAUM · $120M to $112MAug 16, 2022 to Mar 24, 2023
- RAUM · $130M to $123MAug 16, 2022 to Mar 24, 2023
- Accounts · 4 to 5Jul 30, 2021 to Mar 7, 2022
- Advisory employees · 7 to 10Jul 30, 2021 to Mar 7, 2022
- Advisory activities · 1 to 2Jul 30, 2021 to Mar 7, 2022
- Charity clients · unset to 1.0Jul 30, 2021 to Mar 7, 2022
- Assets in custody · $94.6M to $102MJul 30, 2021 to Mar 7, 2022
- Employees · 10 to 11Jul 30, 2021 to Mar 7, 2022
- Other offices · 1 to 2Jul 30, 2021 to Mar 7, 2022
- Private funds · 6 to 3Jul 30, 2021 to Mar 7, 2022
- Discretionary RAUM · $111M to $130MJul 30, 2021 to Mar 7, 2022
- Pooled vehicle RAUM · $111M to $120MJul 30, 2021 to Mar 7, 2022
- RAUM · $111M to $130MJul 30, 2021 to Mar 7, 2022
Signals
1 dated events
- T•••• A•••• I••••••••• L•• filed its initial SEC registration (Form ADV)Jul 30, 2021 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- H••••://WWW.LINKEDIN.COM/COMPANY/T••••-A••••-INVESTMENTS-LLCreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H••••://WWW.T••••A••••INVESTMENTS.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 202-361-6721reportedpublic record, Form ADV, Mar 12, 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