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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
T••••••• I••••••••• M••••••••• L••
Latest filing Mar 13, 2026
First filing on the tape Dec 19, 2023 · 5 filings
SEC status approved since Jan 18, 2024
RAUM
$172M
reported, Item 5.F
Discretionary
68%
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
13
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$172M as of Mar 13, 2026
Mar 26, 2025$174M then
HNW client RAUM$0 as of Mar 13, 2026
Mar 26, 2025$0 then
State-registered IARs (5.B.3)0 as of Mar 13, 2026
Mar 26, 20250 then
Employees (5.A)13 as of Mar 13, 2026
Mar 26, 202513 then
Private funds2 as of Mar 13, 2026
Mar 26, 20252 then
RAUM -1.3% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 13, 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
- $57.3MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 68%derivedof RAUM
- Institutional
- 17%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
- -1.3%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
- Custody
- $143M, 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
- 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)
- 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$143M83%
- Insurance companies$28.4M17%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 3reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $143M for 2 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.83 institutional_share=0.17 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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T••••••• S•••••••• O••••••••• F•••• L• | Real Estate Fund | $66.0M | 5 | May 17, 2024 |
| A••• T••••••• J• L•• | Real Estate Fund | $62.0M | 5 | May 17, 2024 |
Owners and control persons
Schedule A and B, latest filing
- A••••• J•••••• T••• · Chief Financial Officer & Chief Compliance Officercontrolsince 12/2023 · owns less than 5%
- D•••••• M•••••• •••• · Partner; Managercontrolsince 12/2023 · owns 25% to 50%
- P•••••••• M••••••• J•••• · Partner; Managercontrolsince 12/2023 · owns 25% to 50%
- A•••• D••••• I•••• · Partnersince 12/2023 · owns 10% to 25%
- A••••• V•••••• M••••• · Partnersince 12/2023 · owns 10% to 25%
Related persons
Schedule D 7.A
- T•• P•••••••• H••••••• 1• L••pooled vehicle sponsorn
- T••••••• S•••••••• O••••••••• G•• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Mar 13, 2026institutional share of RAUM of 17% against a peer median of 0% (1568 comparable advisers, 98.0th percentile, 5.6 robust deviations)peers: asset managers, $100M to $500M (1,568) · 98% percentile
What changed
consecutive filings, newest first
- Assets in custody · $149M to $143MDec 18, 2025 to Mar 13, 2026
- Discretionary RAUM · $110M to $117MDec 18, 2025 to Mar 13, 2026
- Non-discretionary RAUM · $64.0M to $54.9MDec 18, 2025 to Mar 13, 2026
- Pooled vehicle RAUM · $149M to $143MDec 18, 2025 to Mar 13, 2026
- RAUM · $174M to $172MDec 18, 2025 to Mar 13, 2026
- Accounts · 2 to 3May 17, 2024 to Mar 26, 2025
- Advisory activities · 1 to 2May 17, 2024 to Mar 26, 2025
- Assets in custody · $128M to $149MMay 17, 2024 to Mar 26, 2025
- Financial planning clients · unset to May 17, 2024 to Mar 26, 2025
- Discretionary RAUM · $66.0M to $110MMay 17, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $62.0M to $64.0MMay 17, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $128M to $149MMay 17, 2024 to Mar 26, 2025
- RAUM · $128M to $174MMay 17, 2024 to Mar 26, 2025
- Accounts · 0 to 2Dec 19, 2023 to May 17, 2024
- Pooled vehicle clients · 0 to 2Dec 19, 2023 to May 17, 2024
- Assets in custody · $0 to $128MDec 19, 2023 to May 17, 2024
- Custody of client assets · false to trueDec 19, 2023 to May 17, 2024
- Private funds · unset to 2Dec 19, 2023 to May 17, 2024
- Discretionary RAUM · $0 to $66.0MDec 19, 2023 to May 17, 2024
- Non-discretionary RAUM · $0 to $62.0MDec 19, 2023 to May 17, 2024
- Pooled vehicle RAUM · $0 to $128MDec 19, 2023 to May 17, 2024
- RAUM · $0 to $128MDec 19, 2023 to May 17, 2024
Signals
1 dated events
- T••••••• I••••••••• M••••••••• L•• filed its initial SEC registration (Form ADV)Dec 19, 2023 · 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
- 646-346-8871reportedpublic record, Form ADV, Mar 13, 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
Across the graphs
T••••••• I••••••••• M••••••••• L•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…