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••••••••• C•••••• M••••••••• L••

Former SEC-registered adviserWhite Plains, New YorkCRD 295873SEC 801-116697IAPD
Latest filing Mar 30, 2020
First filing on the tape Apr 26, 2019 · 3 filings
RAUM
$152M
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
2
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$152M gross assets
History
3 filings and snapshots on the tape
RAUM$152M as of Mar 30, 2020
Apr 26, 2019$231M then
HNW client RAUM$0 as of Mar 30, 2020
Apr 26, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Apr 26, 20190 then
Employees (5.A)2 as of Mar 30, 2020
Apr 26, 20192 then
Private funds4 as of Mar 30, 2020
Apr 26, 20195 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 2020; 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
$38.1MderivedRAUM 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
unknownderivedbetween 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
Custody
$152M, 4 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$152M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$152M for 4 clientsreported
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
      Every departureEvery arrival
      Private funds
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D••••••• U• S•• L••Private Equity Fund$28.9M23Mar 25, 2016
      D••••••• I••••••••• S•• L••Private Equity Fund$25.7M1Mar 25, 2016
      M••• A••••••••• I• S•• L••Private Equity Fund$223,11213Mar 27, 2012
      M••• A••••••••• I• P• L••Private Equity Fund$9,51611Mar 14, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• G•••••• H•••• · Executive Officer, Elected Managercontrol
        since 12/2013 · owns 10% to 25%
      • M••••••• R••••• N•• · Chief Compliance Officer, Elected Managercontrol
        since 12/2013 · owns 10% to 25%
      Entity owners
      • T••••••••• H••••••• I••• · Managing Member
        direct · owns 75% or more
      • M••••• J••••• T••••••••• G••••• I••• · Parent Company
        indirect · owns 75% or more of T••••••••• H••••••• I•••
      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 · 5 to 4
        Aug 16, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 5 to 4
        Aug 16, 2019 to Mar 30, 2020
      • Assets in custody · $210M to $152M
        Aug 16, 2019 to Mar 30, 2020
      • Private funds · 5 to 4
        Aug 16, 2019 to Mar 30, 2020
      • Discretionary RAUM · $210M to $152M
        Aug 16, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $210M to $152M
        Aug 16, 2019 to Mar 30, 2020
      • RAUM · $210M to $152M
        Aug 16, 2019 to Mar 30, 2020
      • Assets in custody · $231M to $210M
        Apr 26, 2019 to Aug 16, 2019
      • Discretionary RAUM · $231M to $210M
        Apr 26, 2019 to Aug 16, 2019
      • Pooled vehicle RAUM · $231M to $210M
        Apr 26, 2019 to Aug 16, 2019
      • RAUM · $231M to $210M
        Apr 26, 2019 to Aug 16, 2019
      Signals
      1 dated events
      • T••••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Apr 26, 2019 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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