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

I•••••••• D•••••• A••••••

Former SEC-registered adviserStamford, ConnecticutCRD 298965SEC 801-114245IAPD
Legal name I•••••••• D•••••• A••••••• L••
Latest filing Mar 26, 2020
First filing on the tape Oct 4, 2018 · 3 filings
RAUM
$638,316
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$638,316 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM: $638,316
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 26, 2020
Mar 18, 20191 then
Employees (5.A)4 as of Mar 26, 2020
Mar 18, 20195 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 1 to 1
Practice profile
derived from the filing of Mar 26, 2020; every figure names its basis
RAUM per advisor
$638,316derivedRAUM 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
$58,029derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
4.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individualsreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Individuals$638,316100%
Individual clients
11reported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
11reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L•• B•••• •••• · Founder And Chief Investment Officercontrol
        since 10/2018 · owns 75% or more
      • J••••• P•••• T•••• · Chief Investment Officercontrol
        since 11/1980 · owns 75% or more of T•••• G•••• H•••••••• L••
      • R••••••••• T••••••• S••• · Chief Compliance Officer
        since 10/2018 · owns less than 5%
      Entity owners
      • T•••• G•••• H•••••••• L•• · Owner
        indirect · owns 75% or more of T•••• G••••• T••••••• L••
      • T•••• G••••• T••••••• L•• · Investor
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • A••••••• C•••••• M••••••••• L••
        banky
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · unset to 11.0
        Mar 18, 2019 to Mar 26, 2020
      • Individual clients · unset to 11.0
        Mar 18, 2019 to Mar 26, 2020
      • Employees · 5 to 4
        Mar 18, 2019 to Mar 26, 2020
      • Discretionary RAUM · unset to 638316.0
        Mar 18, 2019 to Mar 26, 2020
      • Individual RAUM · unset to 638316.0
        Mar 18, 2019 to Mar 26, 2020
      • Non-discretionary RAUM · unset to 0.0
        Mar 18, 2019 to Mar 26, 2020
      • RAUM · unset to 638316.0
        Mar 18, 2019 to Mar 26, 2020
      • Related bank · false to true
        Oct 4, 2018 to Mar 18, 2019
      Signals
      1 dated events
      • I•••••••• D•••••• A•••••• filed its initial SEC registration (Form ADV)
        Oct 4, 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