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Former SEC-registered adviser

P•••••••••

Former SEC-registered adviserPikesville, MarylandCRD 294458SEC 801-113083IAPD
Legal name T•• P•••••••• C••••••••• L••
Latest filing Mar 31, 2021
First filing on the tape Mar 30, 2018 · 11 filings
RAUM
$6.8M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
96%
$6.5M 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
1
$250,000 gross assets
History
11 filings and snapshots on the tape
RAUM$6.8M as of Mar 31, 2021
Mar 28, 2019$91.3M then
HNW client RAUM$6.5M as of Mar 31, 2021
Mar 28, 2019$86.3M then
State-registered IARs (5.B.3)1 as of Mar 31, 2021
Mar 28, 20193 then
Employees (5.A)1 as of Mar 31, 2021
Mar 28, 20193 then
Private funds1 as of Mar 31, 2021
Mar 28, 20191 then
RAUM -93% over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 31, 2021; every figure names its basis
RAUM per advisor
$6.8MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
8derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$818,125derivedHNW RAUM over HNW clients
Average account
$755,000derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-93%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
+33%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$250,000, 1 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$6.5M96%
  • Pooled investment vehicles$250,0003.7%
Individual clients
0reported
HNW clients
8reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
9reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$250,000 for 1 clientsreported
Compensation
% of AUMreported
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
Joined, latest
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
P•••••••• S•••• V•• I• L•no longer reportedHedge Fund$4.5M9Aug 14, 2018
Owners and control persons
Schedule A and B, latest filing
  • R••••• D••••• I••••• · Ccocontrol
    since 03/2018 · owns 25% to 50%
Entity owners
  • P•••••••• · Owner
    direct · owns 75% or more
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 50 to 9
    Nov 9, 2020 to Mar 31, 2021
  • Advisory activities · 3 to 2
    Nov 9, 2020 to Mar 31, 2021
  • Charity clients · 2 to 0
    Nov 9, 2020 to Mar 31, 2021
  • HNW clients · 2 to 8
    Nov 9, 2020 to Mar 31, 2021
  • Individual clients · 4 to 0
    Nov 9, 2020 to Mar 31, 2021
  • Discretionary RAUM · $36.8M to $6.8M
    Nov 9, 2020 to Mar 31, 2021
  • HNW RAUM · $54.9M to $6.5M
    Nov 9, 2020 to Mar 31, 2021
  • Individual RAUM · $36.5M to $0
    Nov 9, 2020 to Mar 31, 2021
  • Non-discretionary RAUM · $54.9M to $0
    Nov 9, 2020 to Mar 31, 2021
  • RAUM · $91.6M to $6.8M
    Nov 9, 2020 to Mar 31, 2021
  • Business name · T•• P•••••••• C••••••••• L•• to P•••••••••
    Nov 2, 2020 to Nov 9, 2020
  • Organization form · Sole Proprietorship to Limited Liability Company
    Nov 2, 2020 to Nov 9, 2020
  • Custody of client assets · false to true
    Nov 9, 2020 to Nov 9, 2020
  • Private funds · unset to 1
    Nov 9, 2020 to Nov 9, 2020
  • Accounts · 49 to 50
    Aug 28, 2020 to Nov 2, 2020
  • Advisory activities · 2 to 3
    Aug 28, 2020 to Nov 2, 2020
  • Pooled vehicle clients · 0 to 1
    Aug 28, 2020 to Nov 2, 2020
  • Assets in custody · unset to 250000.0
    Aug 28, 2020 to Nov 2, 2020
  • Organization form · Limited Liability Company to Sole Proprietorship
    Aug 28, 2020 to Nov 2, 2020
  • Discretionary RAUM · $36.5M to $36.8M
    Aug 28, 2020 to Nov 2, 2020
  • Pooled vehicle RAUM · $0 to $250,000
    Aug 28, 2020 to Nov 2, 2020
  • RAUM · $91.3M to $91.6M
    Aug 28, 2020 to Nov 2, 2020
  • Accounts · 7 to 49
    Jun 14, 2019 to Aug 28, 2020
  • Advisory employees · 3 to 1
    Jun 14, 2019 to Aug 28, 2020
  • Advisory activities · 3 to 2
    Jun 14, 2019 to Aug 28, 2020
  • Pooled vehicle clients · 1 to 0
    Jun 14, 2019 to Aug 28, 2020
  • Employees · 3 to 1
    Jun 14, 2019 to Aug 28, 2020
  • Financial planning clients · 1-10 to 0
    Jun 14, 2019 to Aug 28, 2020
  • State-registered IARs · 3 to 1
    Jun 14, 2019 to Aug 28, 2020
  • Private funds · 1 to unset
    Jun 14, 2019 to Aug 28, 2020
  • Discretionary RAUM · $8.6M to $36.5M
    Jun 14, 2019 to Aug 28, 2020
  • HNW RAUM · $3.6M to $54.9M
    Jun 14, 2019 to Aug 28, 2020
  • Individual RAUM · $350,000 to $36.5M
    Jun 14, 2019 to Aug 28, 2020
  • Non-discretionary RAUM · $0 to $54.9M
    Jun 14, 2019 to Aug 28, 2020
  • Pooled vehicle RAUM · $4.6M to $0
    Jun 14, 2019 to Aug 28, 2020
  • RAUM · $8.6M to $91.3M
    Jun 14, 2019 to Aug 28, 2020
  • Related adviser · false to true
    Jun 14, 2019 to Aug 28, 2020
  • Accounts · 47 to 7
    Mar 28, 2019 to Jun 14, 2019
  • HNW clients · 37 to 2
    Mar 28, 2019 to Jun 14, 2019
  • Individual clients · 6 to 4
    Mar 28, 2019 to Jun 14, 2019
Signals
3 dated events
  • ••• Locked
    Aug 28, 2020 · Control person left · inference
  • ••• Locked
    Aug 28, 2020 · Control person left · inference
  • ••• Locked
    Mar 30, 2018 · ria f•••• adv filing · 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