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•••• F••• A•••••••• L••

Former SEC-registered adviserNew York, New YorkCRD 290570SEC 801-112100IAPD
Latest filing Mar 30, 2024
First filing on the tape Nov 2, 2017 · 13 filings
RAUM
$23.6M
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
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$23.6M as of Mar 30, 2024
Mar 27, 2018$317M then
HNW client RAUM$0 as of Mar 30, 2024
Mar 27, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2024
Mar 27, 20180 then
Employees (5.A)0 as of Mar 30, 2024
Mar 27, 20180 then
Private funds: no history
RAUM -90% over the last fiscal year-56% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2024; 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
$23.6MderivedRAUM 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
-90%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
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
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$23.6M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      • C••••••••• D•••••• J•••• · Head Of Investmentscontrol
        since 12/2023 · owns less than 5%
      • M••••• S••••• J•••• · Member- Class Acontrol
        since 10/2017 · owns 10% to 25%
      • M•••••• B••••••••• · Chief Compliance Officercontrol
        since 03/2020 · owns less than 5%
      • P•••••• G••••••• M••• · Chief Financial Officer And Chief Operating Officercontrol
        since 10/2017 · owns less than 5%
      • U••••• V•••••• S•••• · Chief Executive Officercontrol
        since 12/2018 · owns less than 5%
      • C••••••••• D•••••• J•••• · Membercontrol
        since 05/2009 · owns 75% or more of D•••• L••
      Entity owners
      • D•••• L•• · Member- Class A
        direct · owns 10% to 25%
      • T•••• C•••••• P•••••••• L•• · Member
        direct · owns 25% to 50%
      Related persons
      Schedule D 7.A
      Advisers that list T•••• F••• A•••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Mar 31, 2023 to Mar 30, 2024
      • Pooled vehicle clients · 2 to 1
        Mar 31, 2023 to Mar 30, 2024
      • Custody of client assets · true to false
        Mar 31, 2023 to Mar 30, 2024
      • Discretionary RAUM · $240M to $23.6M
        Mar 31, 2023 to Mar 30, 2024
      • Pooled vehicle RAUM · $240M to $23.6M
        Mar 31, 2023 to Mar 30, 2024
      • RAUM · $240M to $23.6M
        Mar 31, 2023 to Mar 30, 2024
      • Assets in custody · $249M to $240M
        Jan 21, 2023 to Mar 31, 2023
      • Discretionary RAUM · $249M to $240M
        Jan 21, 2023 to Mar 31, 2023
      • Pooled vehicle RAUM · $249M to $240M
        Jan 21, 2023 to Mar 31, 2023
      • RAUM · $249M to $240M
        Jan 21, 2023 to Mar 31, 2023
      • Pooled vehicle RAUM · $271M to $249M
        Mar 31, 2021 to Mar 31, 2022
      • RAUM · $271M to $249M
        Mar 31, 2021 to Mar 31, 2022
      • Assets in custody · $271M to $249M
        Mar 31, 2021 to Mar 31, 2022
      • Discretionary RAUM · $271M to $249M
        Mar 31, 2021 to Mar 31, 2022
      • Assets in custody · unset to 271425825.0
        Mar 30, 2020 to Mar 31, 2021
      • Custody of client assets · false to true
        Mar 30, 2020 to Mar 31, 2021
      • Discretionary RAUM · $285M to $271M
        Mar 30, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $285M to $271M
        Mar 30, 2020 to Mar 31, 2021
      • RAUM · $285M to $271M
        Mar 30, 2020 to Mar 31, 2021
      • Related broker-dealer · true to false
        Mar 30, 2020 to Mar 31, 2021
      • Charity clients · unset to 0.0
        May 7, 2019 to Mar 30, 2020
      • Corporate clients · unset to 0.0
        May 7, 2019 to Mar 30, 2020
      • HNW clients · unset to 0.0
        May 7, 2019 to Mar 30, 2020
      • Individual clients · unset to 0.0
        May 7, 2019 to Mar 30, 2020
      • Pension plan clients · unset to 0.0
        May 7, 2019 to Mar 30, 2020
      • Discretionary RAUM · $287M to $285M
        May 7, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $287M to $285M
        May 7, 2019 to Mar 30, 2020
      • RAUM · $287M to $285M
        May 7, 2019 to Mar 30, 2020
      • Discretionary RAUM · $317M to $287M
        Mar 28, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $317M to $287M
        Mar 28, 2018 to Mar 29, 2019
      • RAUM · $317M to $287M
        Mar 28, 2018 to Mar 29, 2019
      • Accounts · unset to 2.0
        Nov 2, 2017 to Mar 27, 2018
      • Pooled vehicle clients · 0 to 2
        Nov 2, 2017 to Mar 27, 2018
      • Discretionary RAUM · unset to 316995068.0
        Nov 2, 2017 to Mar 27, 2018
      • Non-discretionary RAUM · unset to 0.0
        Nov 2, 2017 to Mar 27, 2018
      • Pooled vehicle RAUM · $0 to $317M
        Nov 2, 2017 to Mar 27, 2018
      • RAUM · unset to 316995068.0
        Nov 2, 2017 to Mar 27, 2018
      Signals
      7 dated events
      • T•••• F••• A•••••••• L•• reported RAUM $23.6M, down 90% from $240.0M (2023-03-31 to 2024-03-30)
        Mar 30, 2024 · RAUM change · derived
      • David Bruce Batkin (Member) no longer on Schedule A of T•••• F••• A•••••••• L•• (listed 2022-03-31, absent 2023-01-20)
        Jan 20, 2023 · Control person left · inference
      • Sam Michael Cardello (Chief Compliance Officer) no longer on Schedule A of T•••• F••• A•••••••• L•• (listed 2019-05-07, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Hampton Stephen Hamrick (President) no longer on Schedule A of T•••• F••• A•••••••• L•• (listed 2019-05-07, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Bernadette Murphy (Chief Compliance Officer) appeared on Schedule A of T•••• F••• A•••••••• L••
        Mar 30, 2020 · Control person joined · fact
      • S•••• V••••• U•••• (Chief Executive Officer) appeared on Schedule A of T•••• F••• A•••••••• L••
        Mar 29, 2019 · Control person joined · fact
      • T•••• F••• A•••••••• L•• filed its initial SEC registration (Form ADV)
        Nov 2, 2017 · 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