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••••••••• C•••••• S•••••••• L••
Latest filing Mar 31, 2026
First filing on the tape Aug 16, 2018 · 16 filings
SEC status approved since Sep 13, 2018
RAUM
$558M
reported, Item 5.F
Discretionary
0.0%
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
6
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$558M as of Mar 31, 2026
Mar 28, 2019$380M then
HNW client RAUM$0 as of Mar 31, 2026
Mar 31, 2025$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20190 then
Employees (5.A)6 as of Mar 31, 2026
Mar 28, 20195 then
Private funds: no history
RAUM +13% over the last fiscal year-20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $558MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 0.0%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
- +13%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 assetsreportedItem 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$558M100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 1reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••••• E•••• L••••• · Chief Financial Officercontrolsince 11/2023 · owns less than 5%
- S••••••• M••••••• N•• · Chief Compliance Officercontrolsince 11/2023 · owns less than 5%
- S•••• T••••• U••• M•••••• · Chief Executive Officer & Investment Committee Membercontrolsince 01/2020 · owns less than 5%
- S•••• T••••• U••• M•••••• · Member/Ownercontrolsince 09/2014 · owns 75% or more of M•• C•••••• P••• L•••
Entity owners
- T••••••••• H••••••• ••••••••• L•• · Memberdirect · owns 75% or more
- M•• C•••••• P••• L••• · Ownerindirect · owns 75% or more of T••••••••• C•••••• S•••••••• L••••••
- T••••••••• C•••••• S•••••••• L•••••• · Memberindirect · owns 75% or more of T••••••••• H••••••• ••••••••• L••
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 31, 2026discretionary share of RAUM of 0% against a peer median of 100% (784 comparable advisers, 0.0th percentile, 33.7 robust deviations)peers: asset managers, $500M to $1B (784) · 0.0% percentile
What changed
consecutive filings, newest first
- Non-discretionary RAUM · $494M to $558MMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $494M to $558MMar 31, 2025 to Mar 31, 2026
- RAUM · $494M to $558MMar 31, 2025 to Mar 31, 2026
- Advisory employees · 0 to 2Nov 20, 2024 to Mar 31, 2025
- Business name · T••••••••• G••••• A•••• M••••••••• ••••••••• L•• to T••••••••• C•••••• S•••••••• L••Nov 20, 2024 to Mar 31, 2025
- Financial planning clients · unset to Nov 20, 2024 to Mar 31, 2025
- Legal name · T••••••••• G••••• A•••• M••••••••• ••••••••• L•• to T••••••••• C•••••• S•••••••• L••Nov 20, 2024 to Mar 31, 2025
- Discretionary RAUM · $148M to $0Nov 20, 2024 to Mar 31, 2025
- HNW RAUM · unset to 0.0Nov 20, 2024 to Mar 31, 2025
- Individual RAUM · unset to 0.0Nov 20, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $494MNov 20, 2024 to Mar 31, 2025
- Pension RAUM · unset to 0.0Nov 20, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $148M to $494MNov 20, 2024 to Mar 31, 2025
- RAUM · $148M to $494MNov 20, 2024 to Mar 31, 2025
- Accounts · 3 to 1Mar 28, 2024 to Nov 20, 2024
- Pooled vehicle clients · 3 to 1Mar 28, 2024 to Nov 20, 2024
- Discretionary RAUM · $946M to $148MMar 28, 2024 to Nov 20, 2024
- Pooled vehicle RAUM · $946M to $148MMar 28, 2024 to Nov 20, 2024
- RAUM · $946M to $148MMar 28, 2024 to Nov 20, 2024
- Accounts · 4 to 3Nov 17, 2023 to Mar 28, 2024
- Pooled vehicle clients · 4 to 3Nov 17, 2023 to Mar 28, 2024
- Employees · 5 to 6Nov 17, 2023 to Mar 28, 2024
- Discretionary RAUM · $1.1B to $946MNov 17, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.1B to $946MNov 17, 2023 to Mar 28, 2024
- RAUM · $1.1B to $946MNov 17, 2023 to Mar 28, 2024
- Related broker-dealer · true to falseNov 17, 2023 to Mar 28, 2024
- BD registered reps · 3 to 0Mar 30, 2023 to Nov 17, 2023
- Discretionary RAUM · $1.1B to $1.1BDec 21, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.1B to $1.1BDec 21, 2022 to Mar 30, 2023
- RAUM · $1.1B to $1.1BDec 21, 2022 to Mar 30, 2023
- BD registered reps · 4 to 3Mar 28, 2022 to Dec 21, 2022
- Employees · 4 to 5Mar 28, 2022 to Dec 21, 2022
- Discretionary RAUM · $930M to $1.1BMar 28, 2022 to Dec 21, 2022
- Pooled vehicle RAUM · $930M to $1.1BMar 28, 2022 to Dec 21, 2022
- RAUM · $930M to $1.1BMar 28, 2022 to Dec 21, 2022
- Accounts · 3 to 4Mar 29, 2021 to Mar 28, 2022
- BD registered reps · 3 to 4Mar 29, 2021 to Mar 28, 2022
- Pooled vehicle clients · 3 to 4Mar 29, 2021 to Mar 28, 2022
- Employees · 5 to 4Mar 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $665M to $930MMar 29, 2021 to Mar 28, 2022
Signals
9 dated events
- T••••••••• C•••••• S•••••••• L•• reported RAUM $493.6M, up 234% from $148.0M (2024-11-20 to 2025-03-31)Mar 31, 2025 · RAUM change · derived
- T••••••••• C•••••• S•••••••• L•• reported RAUM $148.0M, down 84% from $946.0M (2024-03-28 to 2024-11-20)Nov 20, 2024 · RAUM change · derived
- Elizabeth Angela Lavelle (Chief Financial Officer & Chief Compliance Officer) no longer on Schedule A of T••••••••• C•••••• S•••••••• L•• (listed 2023-03-30, absent 2023-11-17)Nov 17, 2023 · Control person left · inference
- Louise Emma Anderson (Chief Financial Officer) appeared on Schedule A of T••••••••• C•••••• S•••••••• L••Nov 17, 2023 · Control person joined · fact
- Nmn Michael Seemann (Chief Compliance Officer) appeared on Schedule A of T••••••••• C•••••• S•••••••• L••Nov 17, 2023 · Control person joined · fact
- Michael Anthony Coveney (Chief Executive Officer & Chief Compliance Officer) no longer on Schedule A of T••••••••• C•••••• S•••••••• L•• (listed 2022-03-28, absent 2022-12-21)Dec 21, 2022 · Control person left · inference
- T••••••••• C•••••• S•••••••• L•• reported RAUM $930.0M, up 40% from $665.1M (2021-03-29 to 2022-03-28)Mar 28, 2022 · RAUM change · derived
- T••••••••• C•••••• S•••••••• L•• reported RAUM $591.3M, up 56% from $379.6M (2019-03-28 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- T••••••••• G••••• A•••• M••••••••• ••••••••• L•• filed its initial SEC registration (Form ADV)Aug 16, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- (914) 449-9703reportedpublic record, Form ADV, Mar 31, 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