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••••••• F••• M••••••••• L•
Latest filing Mar 20, 2026
First filing on the tape Nov 4, 2021 · 7 filings
SEC status approved since Jan 4, 2022
RAUM
$33.7M
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
5
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$33.7M as of Mar 20, 2026
Mar 6, 2023$26.0M then
HNW client RAUM: $9.5M
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Mar 6, 20230 then
Employees (5.A)5 as of Mar 20, 2026
Mar 6, 20235 then
Private funds1 as of Mar 20, 2026
Mar 6, 20231 then
RAUM -19% over the last fiscal year+9.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 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
- $16.9MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -19%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, publicationsreportedItem 5.G
- Custody
- $33.7M, 2 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$33.7M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- 1-10reported
- Wrap fee programs
- noreported
- Custody of client assets
- $33.7M for 2 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=false bd_reps=3.0derived
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•• T••••• C••••••• F••• M••••• L• | Hedge Fund | $11.0M | 8 | Nov 4, 2021 |
Owners and control persons
Schedule A and B, latest filing
- A•••• J••••• S•••••• · Chief Operating Officercontrolsince 11/2016 · owns less than 5%
- N••••••••• A••• A•• · Ccocontrolsince 04/2016 · owns less than 5%
- S•••••••• V••••••• T••••• · Chief Investment Officercontrolsince 03/2015 · owns 10% to 25%
- T•••••• D•••• L••••• · Ownercontrolsince 03/2015 · owns 75% or more of D•• H••••••• L••
Entity owners
- D•• H••••••• L•• · Limited Partnerdirect · owns 75% or more
- T••••• C••••••• F••• M••••••••• L•• · General Partnerdirect · owns less than 5%
Related persons
Schedule D 7.A
- T••••• A••••••• G•••• L••broker-dealern
- T••••• C••••••• F••• M••••••••• G• L•pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- , 1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- business activity changedChange between filings · filing Mar 20, 2026financial planning (Item 5.G.1): yes on the filing of 2025-03-03, no on the filing of 2026-03-20peers: asset managers, under $100M (329)
What changed
consecutive filings, newest first
- Accounts · 6 to 2Mar 3, 2025 to Mar 20, 2026
- Advisory activities · 4 to 3Mar 3, 2025 to Mar 20, 2026
- Assets in custody · $32.3M to $33.7MMar 3, 2025 to Mar 20, 2026
- Discretionary RAUM · $41.5M to $33.7MMar 3, 2025 to Mar 20, 2026
- HNW RAUM · 9500000.0 to unsetMar 3, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $32.0M to $33.7MMar 3, 2025 to Mar 20, 2026
- RAUM · $41.5M to $33.7MMar 3, 2025 to Mar 20, 2026
- Accounts · 2 to 6Mar 1, 2024 to Mar 3, 2025
- Advisory activities · 3 to 4Mar 1, 2024 to Mar 3, 2025
- Assets in custody · $29.9M to $32.3MMar 1, 2024 to Mar 3, 2025
- Financial planning clients · 1-10 to 1-10Mar 1, 2024 to Mar 3, 2025
- Discretionary RAUM · $29.0M to $41.5MMar 1, 2024 to Mar 3, 2025
- HNW RAUM · unset to 9500000.0Mar 1, 2024 to Mar 3, 2025
- Pooled vehicle RAUM · $29.0M to $32.0MMar 1, 2024 to Mar 3, 2025
- RAUM · $29.0M to $41.5MMar 1, 2024 to Mar 3, 2025
- Assets in custody · $26.0M to $29.9MMar 6, 2023 to Mar 1, 2024
- Discretionary RAUM · $26.0M to $29.0MMar 6, 2023 to Mar 1, 2024
- Pooled vehicle RAUM · $26.0M to $29.0MMar 6, 2023 to Mar 1, 2024
- RAUM · $26.0M to $29.0MMar 6, 2023 to Mar 1, 2024
- Assets in custody · $27.0M to $26.0MDec 16, 2021 to Mar 6, 2023
- Discretionary RAUM · $27.0M to $26.0MDec 16, 2021 to Mar 6, 2023
- Pooled vehicle RAUM · $27.0M to $26.0MDec 16, 2021 to Mar 6, 2023
- RAUM · $27.0M to $26.0MDec 16, 2021 to Mar 6, 2023
Signals
2 dated events
- Stanley Jerry Arzu (Chief Operating Officer) appeared on Schedule A of T••••• C••••••• F••• M••••••••• L•Mar 1, 2024 · Control person joined · fact
- T••••• C••••••• F••• M••••••••• L• filed its initial SEC registration (Form ADV)Nov 4, 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.
How to reach
public business contact points only, each with its source
- Principal office phone
- 212-973-9700reportedpublic record, Form ADV, Mar 20, 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