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••••• A••• C•••••• L•

Former SEC-registered adviserNewtown, PennsylvaniaCRD 306381SEC 801-122141websiteIAPD
Latest filing Mar 24, 2025
First filing on the tape Jul 22, 2021 · 6 filings
SEC status approved since Aug 20, 2021
RAUM
$198M
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
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$198M as of Mar 24, 2025
Mar 28, 2022$180M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2025
Mar 28, 20220 then
Employees (5.A)8 as of Mar 24, 2025
Mar 28, 20229 then
Private funds1 as of Mar 24, 2025
Mar 28, 20221 then
RAUM +9.8% over the last fiscal year+3.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 24, 2025; 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
$39.7MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
67%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
+9.8%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$38.2M, 1 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
  • Sovereign wealth funds$133M67%
  • Pooled investment vehicles$61.8M31%
  • Corporations and businesses$3.3M1.6%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
$38.2M for 1 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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T••••• A••• G••••• M••••• F••• L•Hedge Fund$67.0M32Mar 18, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • D•••••• D•••••• D• · Foundercontrol
        since 07/2019 · owns 75% or more
      • Z•••• S•••••• C•••••• · Chief Compliance Officercontrol
        since 07/2019 · owns less than 5%
      • D•••••• D•••••• D• · Membercontrol
        since 07/2019 · owns 75% or more of T••••• A••• C•••••• G• L••
      Entity owners
      • T••••• A••• C•••••• G• L•• · General Partner
        direct · owns less than 5%
      Related persons
      Schedule D 7.A
      • T••••• A••• G••••• G• L••
        pooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $40.2M to $38.2M
        Mar 28, 2024 to Mar 24, 2025
      • Financial planning clients · unset to
        Mar 28, 2024 to Mar 24, 2025
      • Discretionary RAUM · $181M to $198M
        Mar 28, 2024 to Mar 24, 2025
      • Pooled vehicle RAUM · $67.0M to $61.8M
        Mar 28, 2024 to Mar 24, 2025
      • RAUM · $181M to $198M
        Mar 28, 2024 to Mar 24, 2025
      • Related adviser · false to true
        Mar 28, 2024 to Mar 24, 2025
      • Accounts · 4 to 5
        Mar 28, 2023 to Mar 28, 2024
      • Corporate clients · unset to 1.0
        Mar 28, 2023 to Mar 28, 2024
      • Assets in custody · $28.6M to $40.2M
        Mar 28, 2023 to Mar 28, 2024
      • Discretionary RAUM · $123M to $181M
        Mar 28, 2023 to Mar 28, 2024
      • Pooled vehicle RAUM · $47.3M to $67.0M
        Mar 28, 2023 to Mar 28, 2024
      • RAUM · $123M to $181M
        Mar 28, 2023 to Mar 28, 2024
      • Advisory employees · 7 to 6
        Apr 30, 2022 to Mar 28, 2023
      • Assets in custody · $39.8M to $28.6M
        Apr 30, 2022 to Mar 28, 2023
      • Employees · 9 to 8
        Apr 30, 2022 to Mar 28, 2023
      • Discretionary RAUM · $180M to $123M
        Apr 30, 2022 to Mar 28, 2023
      • Pooled vehicle RAUM · $77.3M to $47.3M
        Apr 30, 2022 to Mar 28, 2023
      • RAUM · $180M to $123M
        Apr 30, 2022 to Mar 28, 2023
      • Accounts · 3 to 4
        Jul 22, 2021 to Mar 28, 2022
      • Advisory activities · 1 to 2
        Jul 22, 2021 to Mar 28, 2022
      • Assets in custody · $42.1M to $39.8M
        Jul 22, 2021 to Mar 28, 2022
      • Private funds · 2 to 1
        Jul 22, 2021 to Mar 28, 2022
      • Discretionary RAUM · $81.2M to $180M
        Jul 22, 2021 to Mar 28, 2022
      • Pooled vehicle RAUM · $81.2M to $77.3M
        Jul 22, 2021 to Mar 28, 2022
      • RAUM · $81.2M to $180M
        Jul 22, 2021 to Mar 28, 2022
      Signals
      2 dated events
      • T••••• A••• C•••••• L• no longer on the SEC adviser roster (last listed 2025-09-02, RAUM $198.5M)
        Dec 20, 2025 · Left the SEC roster · derived
      • T••••• A••• C•••••• L• filed its initial SEC registration (Form ADV)
        Jul 22, 2021 · 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