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•• A••••••• L•
Latest filing May 4, 2026
First filing on the tape Jun 27, 2024 · 5 filings
SEC status approved since Jul 26, 2024
RAUM
$160M
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
9
9 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$160M as of May 4, 2026
Mar 24, 2025$293M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 4, 2026
Mar 24, 20250 then
Employees (5.A)9 as of May 4, 2026
Mar 24, 20259 then
Private funds1 as of May 4, 2026
Mar 24, 20251 then
RAUM -45% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 4, 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
- $79.9MderivedRAUM 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
- -45%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 pooled vehiclesreportedItem 5.G
- Custody
- $160M, 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)
- 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$144M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 2reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $160M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.9 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• E••••• F••• I• L• | Private Equity Fund | $134M | 50 | Nov 1, 2022 |
Owners and control persons
Schedule A and B, latest filing
- S••••• J••••••• A••• · Managing Directorcontrolsince 06/2020 · owns 10% to 25%
- S••••••••• R••••• · Chief Compliance Officer / Managing Directorcontrolsince 06/2020 · owns 10% to 25%
- S••••• J••••••• A••• · Managercontrolsince 06/2020 · owns 50% to 75% of T••• G• L••
- S••••••••• R••••• · Managercontrolsince 06/2020 · owns 50% to 75% of T••• G• L••
Entity owners
- T••• G• L•• · Ownerdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- T•• I• G• L•pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM down 25 %Change between filings · filing Mar 12, 2026RAUM (Item 5.F) moved from $292,600,000 to $159,800,000 (-45.0%) between the annual amendments of 2025-03-24 and 2026-03-12; the peer median change was +4.0% (1147 comparable advisers, 4.0th percentile of changes)peers: asset managers, $100M to $500M (1,147) · 4.1% percentile
What changed
consecutive filings, newest first
- Assets in custody · $214M to $160MMar 24, 2025 to Mar 12, 2026
- Discretionary RAUM · $293M to $160MMar 24, 2025 to Mar 12, 2026
- Pooled vehicle RAUM · $263M to $144MMar 24, 2025 to Mar 12, 2026
- RAUM · $293M to $160MMar 24, 2025 to Mar 12, 2026
- Advisory employees · 7 to 9Jul 10, 2024 to Mar 24, 2025
- Assets in custody · $166M to $214MJul 10, 2024 to Mar 24, 2025
- Employees · 8 to 9Jul 10, 2024 to Mar 24, 2025
- Financial planning clients · unset to Jul 10, 2024 to Mar 24, 2025
- Discretionary RAUM · $166M to $293MJul 10, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $134M to $263MJul 10, 2024 to Mar 24, 2025
- RAUM · $166M to $293MJul 10, 2024 to Mar 24, 2025
- Private funds · 2 to 1Jun 27, 2024 to Jul 10, 2024
Signals
3 dated events
- T•• A••••••• L• reported RAUM $159.8M, down 45% from $292.6M (2025-03-24 to 2026-03-12)Mar 12, 2026 · RAUM change · derived
- T•• A••••••• L• reported RAUM $292.6M, up 76% from $166.0M (2024-07-10 to 2025-03-24)Mar 24, 2025 · RAUM change · derived
- T•• A••••••• L• filed its initial SEC registration (Form ADV)Jun 27, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T•• A••••••• L• · Independent Sponsorsshared crd · capital_provider
- T•• A••••••• L• · Private Equityshared crd · organization
- T•• A••••••• L• · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- t••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 800-817-4152reportedpublic record, Form ADV, May 4, 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