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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
T••• A••••••• L••
Latest filing Mar 22, 2021
First filing on the tape Apr 11, 2018 · 6 filings
RAUM
$140M
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
1
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$140M as of Mar 22, 2021
Mar 29, 2019$53.5M then
HNW client RAUM$0 as of Mar 22, 2021
Mar 29, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 22, 2021
Mar 29, 20190 then
Employees (5.A)1 as of Mar 22, 2021
Mar 29, 20191 then
Private funds1 as of Mar 24, 2020
Mar 29, 20191 then
RAUM -49% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 22, 2021; 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
- $140MderivedRAUM 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
- -49%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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$140M100%
- 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
- noreported
- 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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• I•• L• | Hedge Fund | $1.5M | 2 | Mar 2, 2018 |
Owners and control persons
Schedule A and B, latest filing
- S••••••• T•••••••• •••• · Chief Compliance Officer/Managercontrolsince 06/2008 · owns 75% or more
Related persons
Schedule D 7.A
- T••• C•••••• I• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 3 to 1Jun 5, 2020 to Mar 22, 2021
- Pooled vehicle clients · 3 to 1Jun 5, 2020 to Mar 22, 2021
- Private funds · 1 to unsetJun 5, 2020 to Mar 22, 2021
- Discretionary RAUM · $275M to $140MJun 5, 2020 to Mar 22, 2021
- Pooled vehicle RAUM · $275M to $140MJun 5, 2020 to Mar 22, 2021
- RAUM · $275M to $140MJun 5, 2020 to Mar 22, 2021
- HQ city · NEW YORK to MIAMI BEACHMar 24, 2020 to Jun 5, 2020
- HQ state · NY to FLMar 24, 2020 to Jun 5, 2020
- Accounts · 4 to 3Jun 24, 2019 to Mar 24, 2020
- Pooled vehicle clients · 4 to 3Jun 24, 2019 to Mar 24, 2020
- Discretionary RAUM · $252M to $275MJun 24, 2019 to Mar 24, 2020
- Pooled vehicle RAUM · $252M to $275MJun 24, 2019 to Mar 24, 2020
- RAUM · $252M to $275MJun 24, 2019 to Mar 24, 2020
- Accounts · 2 to 4Mar 29, 2019 to Jun 24, 2019
- Pooled vehicle clients · 2 to 4Mar 29, 2019 to Jun 24, 2019
- Discretionary RAUM · $53.5M to $252MMar 29, 2019 to Jun 24, 2019
- Pooled vehicle RAUM · $53.5M to $252MMar 29, 2019 to Jun 24, 2019
- RAUM · $53.5M to $252MMar 29, 2019 to Jun 24, 2019
- Private funds · 2 to 1Apr 11, 2018 to Mar 29, 2019
- Discretionary RAUM · $150M to $53.5MApr 11, 2018 to Mar 29, 2019
- Pooled vehicle RAUM · $150M to $53.5MApr 11, 2018 to Mar 29, 2019
- RAUM · $150M to $53.5MApr 11, 2018 to Mar 29, 2019
Signals
3 dated events
- T••• A••••••• L•• reported RAUM $140.0M, down 49% from $275.0M (2020-06-05 to 2021-03-22)Mar 22, 2021 · RAUM change · derived
- T••• A••••••• L•• reported RAUM $252.2M, up 371% from $53.5M (2019-03-29 to 2019-06-24)Jun 24, 2019 · RAUM change · derived
- T••• A••••••• L•• filed its initial SEC registration (Form ADV)Apr 11, 2018 · 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