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••• I••••••••• P•••••••• L•
Latest filing Mar 27, 2026
First filing on the tape Dec 19, 2019 · 14 filings
SEC status approved since Jan 17, 2020
RAUM
$727M
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
16
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
10
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$727M as of Mar 27, 2026
Mar 12, 2021$332M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 12, 20210 then
Employees (5.A)16 as of Mar 27, 2026
Mar 12, 202112 then
Private funds10 as of Mar 27, 2026
Mar 12, 20215 then
RAUM +54% over the last fiscal year+24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $55.9MderivedRAUM 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
- +54%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$724M100%
- Other investment advisers$3.1M0.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 13reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 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=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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••• O•••••••• C••••••• L• | Private Equity Fund | $272M | 6 | Dec 19, 2019 |
| T••• O•••••••• C•••••• I•• L• | Private Equity Fund | $50.0M | 7 | Mar 30, 2023 |
| F••••••••• C••••••• L• | Private Equity Fund | $42.7M | 3 | Mar 26, 2024 |
| T••• G••••• F•••••• V••• L• | Private Equity Fund | $24.9M | 2 | Mar 30, 2023 |
| T• G••••• F•••••• I•• L•• | Private Equity Fund | $15.9M | 4 | Oct 11, 2016 |
| T• G••••• F•••••• I•• L•• | Private Equity Fund | $13.8M | 2 | Oct 11, 2016 |
| T• G••••• F•••••• I• F••••••••• L•• | Private Equity Fund | $4.1M | 3 | Dec 19, 2019 |
| T• G••••• F•••••• V• L••no longer reported | Private Equity Fund | $11,092 | 2 | Mar 27, 2018 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• W••••••• H• · Co-Managing Partnercontrolsince 01/2019 · owns 50% to 75%
- R••••• M••••••• K•••• · Ceo, Co-Managing Partnercontrolsince 01/2019 · owns 50% to 75%
- S••••••••• T•••••• N•• · Chief Compliance Officer, Chief Financial Officercontrolsince 01/2019 · owns less than 5%
- M•••••• W••••••• H• · Managing Membercontrolsince 01/2019 · owns 50% to 75% of T••• I••••••••• P••••••• G•• L••
- R••••• M••••••• K•••• · Managing Membercontrolsince 01/2019 · owns 50% to 75% of T••• I••••••••• P••••••• G•• L••
Entity owners
- T••• I••••••••• P••••••• G•• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- F••••••••• A••••••••• L••pooled vehicle sponsorn
- M•••••• F••••• • M•••••n
- R•••• L•• F•••• L••n
- T• G••••• A••••••••• I•• L••pooled vehicle sponsorn
- T• G••••• A••••••••• I•• L••pooled vehicle sponsorn
- T• G••••• A••••••••• V•• L•pooled vehicle sponsorn
- T••• A••••••••• L•pooled vehicle sponsorn
- T••• C•••••• P•••••••• L•pooled vehicle sponsorn
- T••• I••••••••• P••••••• G•• L••pooled vehicle sponsorn
- V•••••••• L•• P•••••••• L••n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 11 to 13May 7, 2025 to Mar 27, 2026
- Advisory employees · 15 to 13May 7, 2025 to Mar 27, 2026
- Pooled vehicle clients · 10 to 12May 7, 2025 to Mar 27, 2026
- Employees · 18 to 16May 7, 2025 to Mar 27, 2026
- Discretionary RAUM · $468M to $724MMay 7, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $468M to $724MMay 7, 2025 to Mar 27, 2026
- RAUM · $471M to $727MMay 7, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 7, 2025
- Accounts · 7 to 11Apr 23, 2024 to Mar 31, 2025
- Advisory employees · 14 to 15Apr 23, 2024 to Mar 31, 2025
- Pooled vehicle clients · 7 to 10Apr 23, 2024 to Mar 31, 2025
- Employees · 17 to 18Apr 23, 2024 to Mar 31, 2025
- Private funds · 7 to 10Apr 23, 2024 to Mar 31, 2025
- Discretionary RAUM · $423M to $468MApr 23, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $3.1MApr 23, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $423M to $468MApr 23, 2024 to Mar 31, 2025
- RAUM · $423M to $471MApr 23, 2024 to Mar 31, 2025
- Related adviser · false to trueApr 23, 2024 to Mar 31, 2025
- Accounts · 6 to 7May 11, 2023 to Mar 26, 2024
- Advisory employees · 13 to 14May 11, 2023 to Mar 26, 2024
- Pooled vehicle clients · 6 to 7May 11, 2023 to Mar 26, 2024
- Employees · 16 to 17May 11, 2023 to Mar 26, 2024
- Private funds · 6 to 7May 11, 2023 to Mar 26, 2024
- Discretionary RAUM · $381M to $423MMay 11, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $381M to $423MMay 11, 2023 to Mar 26, 2024
- RAUM · $381M to $423MMay 11, 2023 to Mar 26, 2024
- Accounts · 4 to 6Nov 10, 2022 to Mar 30, 2023
- Advisory employees · 10 to 13Nov 10, 2022 to Mar 30, 2023
- Pooled vehicle clients · 4 to 6Nov 10, 2022 to Mar 30, 2023
- Employees · 12 to 16Nov 10, 2022 to Mar 30, 2023
- Private funds · 4 to 6Nov 10, 2022 to Mar 30, 2023
- Discretionary RAUM · $323M to $381MNov 10, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $323M to $381MNov 10, 2022 to Mar 30, 2023
- RAUM · $323M to $381MNov 10, 2022 to Mar 30, 2023
- Accounts · 5 to 4Jun 8, 2021 to Mar 24, 2022
- Pooled vehicle clients · 5 to 4Jun 8, 2021 to Mar 24, 2022
- HQ city · NEW YORK to STAMFORDJun 8, 2021 to Mar 24, 2022
- HQ state · NY to CTJun 8, 2021 to Mar 24, 2022
- Private funds · 5 to 4Jun 8, 2021 to Mar 24, 2022
- Discretionary RAUM · $332M to $323MJun 8, 2021 to Mar 24, 2022
Signals
9 dated events
- T••• I••••••••• P•••••••• L• reported RAUM $726.8M, up 54% from $471.3M (2025-05-07 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- A•••• J•••••• H•••• (Managing Director) no longer on Schedule A of T••• I••••••••• P•••••••• L• (listed 2022-11-10, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- B•••• D•••• K••••••• (Managing Director) no longer on Schedule A of T••• I••••••••• P•••••••• L• (listed 2022-11-10, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- V•••••• B••••• P••••••• (Managing Director) no longer on Schedule A of T••• I••••••••• P•••••••• L• (listed 2022-11-10, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- B•••• D•••• K••••••• (Managing Director) appeared on Schedule A of T••• I••••••••• P•••••••• L•Mar 24, 2022 · Control person joined · fact
- V•••••• B••••• P••••••• (Managing Director) appeared on Schedule A of T••• I••••••••• P•••••••• L•Mar 24, 2022 · Control person joined · fact
- T••• I••••••••• P•••••••• L• reported RAUM $332.5M, up 92% from $173.3M (2019-12-23 to 2021-03-12)Mar 12, 2021 · RAUM change · derived
- A•••• J•••••• H•••• (Managing Director) appeared on Schedule A of T••• I••••••••• P•••••••• L•Mar 12, 2021 · Control person joined · fact
- T••• I••••••••• P•••••••• L• filed its initial SEC registration (Form ADV)Dec 19, 2019 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T••• I••••••••• P•••••••• L• · Independent Sponsorsshared crd · capital_provider
- T••• I••••••••• P•••••••• L• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- f••• website
- t••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 212-527-9600reportedpublic record, Form ADV, Mar 27, 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