DFX Intelligence
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T•••••••• C••••••
Wealth manager with institutional or fund businessSEC-registered1 private funds· La Jolla, Californiawebsite
Wealth manager with institutional or fund business, based in La Jolla, California, reporting $837M of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $837M
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- +11%
- Private clients
- 29% of RAUM, $245M
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 329075 · SEC 801-129175 · 6 filingsShowHide
CRD 329075SEC 801-129175Legal name T•••••••• C••••••• L••First filing on the tape Nov 7, 2023, latest Jun 18, 2026SEC status approved since Dec 6, 2023IAPD
RAUM
$837M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
29%
$245M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$837M as of Jun 18, 2026
Mar 28, 2024$736M then
HNW client RAUM$245M as of Jun 18, 2026
Mar 28, 2024$233M then
State-registered IARs (5.B.3)0 as of Jun 18, 2026
Mar 28, 20240 then
Employees (5.A)10 as of Jun 18, 2026
Mar 28, 20249 then
Private funds1 as of Jun 18, 2026
Mar 27, 20261 then
RAUM +11% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 18, 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
- $122MderivedHNW RAUM over HNW clients
- Average account
- $120MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 9.5%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
- +11%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
- Custody
- $265M, 3 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
- 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)
- 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
- Corporations and businesses$493M59%
- High-net-worth individuals$245M29%
- Charitable organizations$79.7M9.5%
- Pooled investment vehicles$20.4M2.4%
- Individual clients
- 0reported
- HNW clients
- 2reported
- Pension plan clients
- 0reported
- Charitable clients
- 2reported
- Accounts
- 7reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $265M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.29 fund_share=0.02 institutional_share=0.1 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• C•••••• L• | Private Equity Fund | $20.4M | 22 | Jun 18, 2026 |
Owners and control persons
Schedule A and B, latest filing
- O••••••••• K••••••••• N•• J••• · Ceo, Cco, Managercontrolsince 11/2023 · owns less than 5%
- O••••••••• K••••••••• N•• J••• · Co-Trusteecontrolsince 11/2023 · owns F of T•• O•••••••• R•••••••• T••••
- O••••••••• M•••••••• F••••• · Co-Trusteecontrolsince 11/2023 · owns F of T•• O•••••••• R•••••••• T••••
Entity owners
- T•• O•••••••• R•••••••• T•••• · Memberdirect · 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
- Accounts · 6 to 7Mar 27, 2025 to Mar 27, 2026
- Advisory employees · 3 to 4Mar 27, 2025 to Mar 27, 2026
- Advisory activities · 3 to 4Mar 27, 2025 to Mar 27, 2026
- Charity clients · unset to 2.0Mar 27, 2025 to Mar 27, 2026
- Corporate clients · unset to 2.0Mar 27, 2025 to Mar 27, 2026
- HNW clients · unset to 2.0Mar 27, 2025 to Mar 27, 2026
- Pooled vehicle clients · 0 to 1Mar 27, 2025 to Mar 27, 2026
- Assets in custody · $236M to $265MMar 27, 2025 to Mar 27, 2026
- Employees · 9 to 10Mar 27, 2025 to Mar 27, 2026
- Private funds · unset to 1Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $753M to $837MMar 27, 2025 to Mar 27, 2026
- HNW RAUM · $236M to $245MMar 27, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · unset to 20375000.0Mar 27, 2025 to Mar 27, 2026
- RAUM · $753M to $837MMar 27, 2025 to Mar 27, 2026
- Assets in custody · $736M to $236MJun 12, 2024 to Mar 27, 2025
- Financial planning clients · unset to Jun 12, 2024 to Mar 27, 2025
- Discretionary RAUM · $736M to $753MJun 12, 2024 to Mar 27, 2025
- HNW RAUM · $233M to $236MJun 12, 2024 to Mar 27, 2025
- RAUM · $736M to $753MJun 12, 2024 to Mar 27, 2025
- Succession · true to falseJun 12, 2024 to Mar 27, 2025
- Succession · false to trueMar 28, 2024 to Jun 12, 2024
- Accounts · unset to 6.0Nov 7, 2023 to Mar 28, 2024
- Charity clients · 0.0 to unsetNov 7, 2023 to Mar 28, 2024
- Corporate clients · 0.0 to unsetNov 7, 2023 to Mar 28, 2024
- HNW clients · 0.0 to unsetNov 7, 2023 to Mar 28, 2024
- Assets in custody · unset to 736000000.0Nov 7, 2023 to Mar 28, 2024
- Custody of client assets · false to trueNov 7, 2023 to Mar 28, 2024
- Employees · 7 to 9Nov 7, 2023 to Mar 28, 2024
- Discretionary RAUM · unset to 736000000.0Nov 7, 2023 to Mar 28, 2024
- HNW RAUM · unset to 233000000.0Nov 7, 2023 to Mar 28, 2024
- Non-discretionary RAUM · unset to 0.0Nov 7, 2023 to Mar 28, 2024
- RAUM · unset to 736000000.0Nov 7, 2023 to Mar 28, 2024
Signals
3 dated events
- ••• LockedJun 18, 2026 · private fund first reported · fact
- ••• LockedJun 12, 2024 · Succession (Item 4) · fact
- ••• LockedNov 7, 2023 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T•••••••• C•••••• · Independent Sponsorsshared crd · capital_provider
- T•••••••• C•••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- ••• Lockedreportedpublic record, Form ADV, Jun 18, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Jun 18, 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
- Wealth manager with institutional or fund businessderiveda 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