DFX Intelligence

RIA Intelligence

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SEC-registered adviser

T•••• B•• A•••• M••••••••• L•

Asset manager (funds and pooled vehicles)Stamford, ConnecticutCRD 317104SEC 801-122648website IAPD

Latest filing Mar 23, 2026

First filing on the tape Oct 7, 2021 · 13 filings

SEC status approved since Nov 5, 2021

RAUM

$514M

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

5 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

13 filings and snapshots on the tape

RAUM$514M as of Mar 23, 2026

Mar 11, 2022$203M then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 23, 2026

Mar 11, 20220 then

Employees (5.A)10 as of Mar 23, 2026

Mar 11, 20226 then

Private funds1 as of Mar 23, 2026

Mar 11, 20221 then

RAUM +4.3% over the last fiscal year+9.0% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Mar 23, 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: $64.2MderivedRAUM 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: +4.3%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
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)
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

Pooled investment vehicles$514M100%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: n/areported
Charitable clients: n/areported
Accounts: 8reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
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

Every departure Every arrival

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
T•••• B•• M•••••••• B••• O••••••••• M••••• F••• L•	Hedge Fund	$194M	56	Mar 29, 2018

Owners and control persons

Schedule A and B, latest filing

F•••••••• K••••• E••• · Limited Partner/Portfolio Managercontrol
since 09/2021 · owns 50% to 75%
H•••• W••••••• G• · Limited Partner/Coo/Cfocontrol
since 09/2021 · owns 50% to 75%
F•••••••• K••••• E••• · Membercontrol
since 09/2021 · owns 50% to 75% of T•••• B•• C•••••• G• L••
H•••• W••••••• G• · Membercontrol
since 09/2021 · owns 50% to 75% of T•••• B•• C•••••• G• L••
D••••••••• J•••••• M•••••• · Chief Compliance Officer
since 11/2021 · owns less than 5%

Entity owners

T•••• B•• C•••••• G• L•• · General Partner
direct · owns less than 5%

Related persons

Schedule D 7.A

T•••• B•• C•••••• L••
investment adviserpooled vehicle sponsory

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 7 to 8
May 9, 2025 to Mar 23, 2026
Pooled vehicle clients · 7 to 8
May 9, 2025 to Mar 23, 2026
Discretionary RAUM · $492M to $514M
May 9, 2025 to Mar 23, 2026
Pooled vehicle RAUM · $492M to $514M
May 9, 2025 to Mar 23, 2026
RAUM · $492M to $514M
May 9, 2025 to Mar 23, 2026
Financial planning clients · unset to
Mar 27, 2025 to May 9, 2025
Accounts · 3 to 7
May 14, 2024 to Mar 27, 2025
Advisory employees · 4 to 5
May 14, 2024 to Mar 27, 2025
Pooled vehicle clients · 6 to 7
May 14, 2024 to Mar 27, 2025
Employees · 9 to 10
May 14, 2024 to Mar 27, 2025
Discretionary RAUM · $438M to $492M
May 14, 2024 to Mar 27, 2025
Pooled vehicle RAUM · $438M to $492M
May 14, 2024 to Mar 27, 2025
RAUM · $438M to $492M
May 14, 2024 to Mar 27, 2025
Related insurance company · false to true
May 14, 2024 to Mar 27, 2025
Advisory employees · 5 to 4
Jun 16, 2023 to Mar 25, 2024
Employees · 7 to 9
Jun 16, 2023 to Mar 25, 2024
Discretionary RAUM · $396M to $438M
Jun 16, 2023 to Mar 25, 2024
Pooled vehicle RAUM · $396M to $438M
Jun 16, 2023 to Mar 25, 2024
RAUM · $396M to $438M
Jun 16, 2023 to Mar 25, 2024
Pooled vehicle clients · 5 to 6
Nov 23, 2022 to Mar 17, 2023
Discretionary RAUM · $203M to $396M
Nov 23, 2022 to Mar 17, 2023
Pooled vehicle RAUM · $203M to $396M
Nov 23, 2022 to Mar 17, 2023
RAUM · $203M to $396M
Nov 23, 2022 to Mar 17, 2023
Advisory employees · 4 to 5
Mar 11, 2022 to Nov 23, 2022
Employees · 6 to 7
Mar 11, 2022 to Nov 23, 2022
Discretionary RAUM · $198M to $203M
Jan 3, 2022 to Mar 11, 2022
Pooled vehicle RAUM · $198M to $203M
Jan 3, 2022 to Mar 11, 2022
RAUM · $198M to $203M
Jan 3, 2022 to Mar 11, 2022
Accounts · 0 to 3
Oct 11, 2021 to Jan 3, 2022
Pooled vehicle clients · unset to 5.0
Oct 11, 2021 to Jan 3, 2022
HQ city · NEWTOWN to STAMFORD
Oct 11, 2021 to Jan 3, 2022
HQ state · PA to CT
Oct 11, 2021 to Jan 3, 2022
Private funds · unset to 1
Oct 11, 2021 to Jan 3, 2022
Discretionary RAUM · $0 to $198M
Oct 11, 2021 to Jan 3, 2022
Pooled vehicle RAUM · unset to 197870288.0
Oct 11, 2021 to Jan 3, 2022
RAUM · $0 to $198M
Oct 11, 2021 to Jan 3, 2022

Signals

2 dated events

T•••• B•• A•••• M••••••••• L• reported RAUM $396.4M, up 95% from $203.2M (2022-11-23 to 2023-03-17)
Mar 17, 2023 · RAUM change · derived
T•••• B•• A•••• M••••••••• L• filed its initial SEC registration (Form ADV)
Oct 7, 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

Firm profile: linkedin.com/company/towerbayassetmanagementreportedpublic record, Form ADV, Sep 21, 2026
Website: t•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 203-610-8806reportedpublic record, Form ADV, Mar 23, 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