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••••••• I••••••••• M••••••••• L••

Former SEC-registered adviserLondon, CRD 306433SEC 801-130909websiteIAPD
Latest filing Nov 5, 2025
First filing on the tape Jul 12, 2024 · 4 filings
SEC status approved since Aug 9, 2024
RAUM
$241M
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
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$241M as of Nov 5, 2025
May 6, 2025$241M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Nov 5, 2025
May 6, 20250 then
Employees (5.A)8 as of Nov 5, 2025
May 6, 20259 then
Private funds: no history
Practice profile
derived from the filing of Nov 5, 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
$60.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
60%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
unknownderivedbetween 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 businesses and institutions, 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
Also answered yes on Form ADV
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • State and municipal entities$145M60%
  • Pooled investment vehicles$95.8M40%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
reported
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
      • C••••••• O•••••• C••••• C••••••• · Partner And Investment Specialistcontrol
        since 04/2024 · owns less than 5%
      • R••••• A•••••• S•••• · Partner And Research Analystcontrol
        since 05/2017 · owns 5% to 10%
      • S••••••••• A••••••••• N•• · Managing Partner, Chief Investment Officercontrol
        since 02/2017 · owns 75% or more
      • U••••••••• B•••••• · Partnercontrol
        since 02/2017 · owns 5% to 10%
      • W••••••••• S•••••••• · Chief Compliance Officer
        since 06/2022 · owns less than 5%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Employees · 9 to 8
        May 6, 2025 to Nov 5, 2025
      • Advisory employees · 4 to 5
        Dec 13, 2024 to May 6, 2025
      • Employees · 8 to 9
        Dec 13, 2024 to May 6, 2025
      • Financial planning clients · unset to
        Dec 13, 2024 to May 6, 2025
      • HQ state · unset to
        Dec 13, 2024 to May 6, 2025
      • Discretionary RAUM · $224M to $241M
        Dec 13, 2024 to May 6, 2025
      • Pooled vehicle RAUM · $84.0M to $95.8M
        Dec 13, 2024 to May 6, 2025
      • RAUM · $224M to $241M
        Dec 13, 2024 to May 6, 2025
      • Employees · 7 to 8
        Jul 12, 2024 to Dec 13, 2024
      Signals
      2 dated events
      • T••••••• I••••••••• M••••••••• L•• no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $241.1M)
        Jul 1, 2026 · Left the SEC roster · derived
      • T••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 12, 2024 · 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