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•••• C•••••• L••

Former SEC-registered adviserSan Francisco, CaliforniaCRD 326742SEC 801-128164IAPD
Latest filing May 23, 2023
First filing on the tape May 16, 2023 · 2 filings
RAUM
$2.8M
reported, Item 5.F
Discretionary
20%
of RAUM
Private clients
40%
$1.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$2.8M as of May 23, 2023
May 16, 2023$2.8M then
HNW client RAUM$925,146 as of May 23, 2023
May 16, 2023$925,146 then
State-registered IARs (5.B.3)2 as of May 23, 2023
May 16, 20232 then
Employees (5.A)10 as of May 23, 2023
May 16, 202310 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 23, 2023; every figure names its basis
RAUM per advisor
$1.4MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$132,164derivedHNW RAUM over HNW clients
Average account
$251,412derivedRAUM over accounts (5.F.2.f)
Discretionary
20%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.0derivedItem 5.A over advisors
Advisors per office
2.0derived1 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 individuals, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$925,14633%
  • Pooled investment vehicles$831,77130%
  • Corporations and businesses$823,13330%
  • Individuals$185,4876.7%
Individual clients
n/areported
HNW clients
7reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
11reported
Financial planning clients
0reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      T•••• C••••••Private Equity Fund$296,38234Jul 25, 2023
      Owners and control persons
      Schedule A and B, latest filing
      • S••••• J•••• C•••••••• · Ccocontrol
        since 04/2023 · owns 75% or more
      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
      • Discretionary RAUM · $322,581 to $553,107
        May 16, 2023 to May 23, 2023
      • Non-discretionary RAUM · $2.4M to $2.2M
        May 16, 2023 to May 23, 2023
      Signals
      1 dated events
      • T•••• C•••••• L•• filed its initial SEC registration (Form ADV)
        May 16, 2023 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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