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•••••• L•
Latest filing Mar 13, 2026
First filing on the tape Dec 21, 2018 · 17 filings
SEC status approved since Feb 8, 2019
RAUM
$2.5B
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
7
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$2.5B as of Mar 13, 2026
Mar 27, 2020$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 13, 2026
Mar 27, 20200 then
Employees (5.A)7 as of Mar 13, 2026
Mar 27, 20205 then
Private funds1 as of Mar 13, 2026
Mar 27, 20201 then
RAUM -77% over the last fiscal year-37% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 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
- $839MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -77%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
- Custody
- $2.5B, 3 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.5B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.5B for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•••••••• C•••••• M••••• F••• L• | Hedge Fund | $9.6B | 136 | Mar 27, 2020 |
Owners and control persons
Schedule A and B, latest filing
- R•••••• G•••• M•••••• · Chief Compliance Officer And Director Of Operations & Business Developmentcontrolsince 08/2021 · owns less than 5%
- Y••• J••••••• •••• · Chief Executive Officer, Chief Investment Officer, And Limited Partnercontrolsince 08/2018 · owns 50% to 75%
- Y••• J••••••• •••• · Managing Membercontrolsince 08/2018 · owns 75% or more of T•••••••• C•••••• G• L••
Entity owners
- T•••••••• C•••••• G• L•• · General Partnerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- T•••••••• C•••••• F••• G• L•bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 50 %Change between filings · filing Mar 13, 2026RAUM (Item 5.F) moved from $11,096,124,000 to $2,516,574,000 (-77.0%) between the annual amendments of 2025-03-25 and 2026-03-13; the peer median change was +11.0% (1368 comparable advisers, 0.0th percentile of changes)peers: asset managers, $1B to $5B (1,368) · 0.3% percentile
What changed
consecutive filings, newest first
- Accounts · 4 to 3Mar 25, 2025 to Mar 13, 2026
- Advisory employees · 7 to 5Mar 25, 2025 to Mar 13, 2026
- Pooled vehicle clients · 4 to 3Mar 25, 2025 to Mar 13, 2026
- Assets in custody · $8.4B to $2.5BMar 25, 2025 to Mar 13, 2026
- Employees · 9 to 7Mar 25, 2025 to Mar 13, 2026
- Discretionary RAUM · $11B to $2.5BMar 25, 2025 to Mar 13, 2026
- Pooled vehicle RAUM · $11B to $2.5BMar 25, 2025 to Mar 13, 2026
- RAUM · $11B to $2.5BMar 25, 2025 to Mar 13, 2026
- Assets in custody · $9.6B to $8.4BMar 21, 2024 to Mar 25, 2025
- Financial planning clients · unset to Mar 21, 2024 to Mar 25, 2025
- Discretionary RAUM · $12B to $11BMar 21, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $12B to $11BMar 21, 2024 to Mar 25, 2025
- RAUM · $12B to $11BMar 21, 2024 to Mar 25, 2025
- Assets in custody · $8.4B to $9.6BJun 1, 2023 to Mar 21, 2024
- Discretionary RAUM · $9.9B to $12BJun 1, 2023 to Mar 21, 2024
- Pooled vehicle RAUM · $9.9B to $12BJun 1, 2023 to Mar 21, 2024
- RAUM · $9.9B to $12BJun 1, 2023 to Mar 21, 2024
- Advisory employees · 5 to 7Mar 16, 2022 to Mar 23, 2023
- Assets in custody · $2.8B to $8.4BMar 16, 2022 to Mar 23, 2023
- Custody of client assets · false to trueMar 16, 2022 to Mar 23, 2023
- Employees · 7 to 9Mar 16, 2022 to Mar 23, 2023
- Discretionary RAUM · $4.7B to $9.9BMar 16, 2022 to Mar 23, 2023
- Pooled vehicle RAUM · $4.7B to $9.9BMar 16, 2022 to Mar 23, 2023
- RAUM · $4.7B to $9.9BMar 16, 2022 to Mar 23, 2023
- Advisory employees · 7 to 5Aug 19, 2021 to Mar 16, 2022
- Assets in custody · unset to 2821310000.0Aug 19, 2021 to Mar 16, 2022
- Discretionary RAUM · $2.5B to $4.7BAug 19, 2021 to Mar 16, 2022
- Pooled vehicle RAUM · $2.5B to $4.7BAug 19, 2021 to Mar 16, 2022
- RAUM · $2.5B to $4.7BAug 19, 2021 to Mar 16, 2022
- HQ city · NEW YORK to PURCHASEMar 29, 2021 to Jul 9, 2021
- Advisory employees · 5 to 7Apr 21, 2020 to Mar 29, 2021
- Employees · 5 to 7Apr 21, 2020 to Mar 29, 2021
- Other offices · 0 to 1Apr 21, 2020 to Mar 29, 2021
- Discretionary RAUM · $1.2B to $2.5BApr 21, 2020 to Mar 29, 2021
- Pooled vehicle RAUM · $1.2B to $2.5BApr 21, 2020 to Mar 29, 2021
- RAUM · $1.2B to $2.5BApr 21, 2020 to Mar 29, 2021
- Accounts · 1 to 4Jul 10, 2019 to Mar 27, 2020
- Pooled vehicle clients · 1 to 4Jul 10, 2019 to Mar 27, 2020
- Private funds · unset to 1Jul 10, 2019 to Mar 27, 2020
- Discretionary RAUM · $752M to $1.2BJul 10, 2019 to Mar 27, 2020
Signals
9 dated events
- T•••••••• C•••••• L• reported RAUM $2.5B, down 77% from $11.1B (2025-03-25 to 2026-03-13)Mar 13, 2026 · RAUM change · derived
- T•••••••• C•••••• L• reported RAUM $9.9B, up 111% from $4.7B (2022-03-16 to 2023-03-23)Mar 23, 2023 · RAUM change · derived
- T•••••••• C•••••• L• reported RAUM $4.7B, up 86% from $2.5B (2021-08-19 to 2022-03-16)Mar 16, 2022 · RAUM change · derived
- Gerard Kenneth Glynn (Chief Financial Officer) no longer on Schedule A of T•••••••• C•••••• L• (listed 2021-08-05, absent 2021-08-19)Aug 19, 2021 · Control person left · inference
- Matthew Greg Rosman (Chief Compliance Officer) appeared on Schedule A of T•••••••• C•••••• L•Aug 5, 2021 · Control person joined · fact
- T•••••••• C•••••• L• reported RAUM $2.5B, up 105% from $1.2B (2020-04-21 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Miles Jon Bartner (Chief Operating Officer) no longer on Schedule A of T•••••••• C•••••• L• (listed 2020-03-27, absent 2020-04-21)Apr 21, 2020 · Control person left · inference
- T•••••••• C•••••• L• reported RAUM $1.2B, up 63% from $752.1M (2019-07-10 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- T•••••••• C•••••• L• filed its initial SEC registration (Form ADV)Dec 21, 2018 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T•••••••• C•••••• L• · Family Officesshared crd · office
How to reach
public business contact points only, each with its source
- Principal office phone
- 914-315-9908reportedpublic record, Form ADV, Mar 13, 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