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•••• B••••• F•••••• M••••••••• C•••••• L••
Latest filing May 5, 2026
First filing on the tape Sep 6, 2024 · 6 filings
SEC status approved since Oct 7, 2024
RAUM
$425M
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
315
24 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$425M as of May 5, 2026
Mar 28, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)20 as of May 5, 2026
Mar 28, 202518 then
Employees (5.A)315 as of May 5, 2026
Mar 28, 2025321 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 18 to 20
Practice profile
derived from the filing of May 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $21.2MderivedRAUM 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
- $425MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 15.8derivedItem 5.A over advisors
- Advisors per office
- 10.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- +11%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$425M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- 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=true related_bank=true bd_reps=67.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• A•••••• J••• · Executive Vice President, General Counsel, And Secretarycontrolsince 09/2024 · owns less than 5%
- K•••• K••••••• A•••• · President And Chief Executive Officercontrolsince 09/2024 · owns less than 5%
- R•••• D••••• M•••• P•••••••• · Board Member, Managing Directorcontrolsince 09/2024 · owns less than 5%
- S•••••• M••••••• L••• · Executive Vice President And Chief Operating Officercontrolsince 09/2024 · owns less than 5%
- V••••• R••••••• M••••• · Board Member, Executive Vice President, And Chief Financial Officercontrolsince 09/2024 · owns less than 5%
- X•••••• G••••• · Global Chief Compliance Officercontrolsince 09/2024 · owns less than 5%
Entity owners
- T•• A•••• M••••••••• C•••••• L•• · Memberdirect · owns 75% or more
- C•••••• A••••••••• C•••• · Shareholderindirect · owns 75% or more of T•• T•• G••••• I•••
- C•••••• G•• L••••• · General Partnerindirect · owns F of C•••••• H••••••• L•••
- C•••••• H••••••• L••• · Shareholderindirect · owns 75% or more of C•••••• I••••••••• C••••
- C•••••• I••••••••• C•••• · Shareholderindirect · owns 75% or more of C•••••• A••••••••• C••••
- N••••• L••• A•••••••• I••• · Shareholderindirect · owns 25% to 50% of C•••••• H••••••• L•••
- N••••• L••• I•••••••• C•••••• · Shareholderindirect · owns 75% or more of N••••• L••• A•••••••• I•••
- T•• T•• G••••• I••• · Shareholderindirect · owns 75% or more of T•• A•••• M••••••••• C•••••• L••
Related persons
Schedule D 7.A
- B• I• A•••••••• L•pooled vehicle sponsorn
- B• V• A•••••••• L••pooled vehicle sponsorn
- B• V• A•••••••• L••pooled vehicle sponsorn
- B••••••• I••••••••• A•••••••• L••pooled vehicle sponsorn
- B••••••• S••••• P•••••••• L•••investment adviserinvestment companypooled vehicle sponsornRAUM $1.6B
- M••••••••• W••• A•••• M••••••••• L••investment adviserbanknRAUM $79B
- N• R••• P••••••• L•••pooled vehicle sponsorn
- N••••• L••• I•••••••• C••••••real estatey
- P••• B••••• T•• I••••••••• M•••••••••investment adviserpooled vehicle sponsorn
- S•••••••• G• L••pooled vehicle sponsorn
- S•••••••• M••••••••• L••investment advisernRAUM $355M
- T•• A••• L••••••broker-dealern
- T•• A•••• M••••••••• ••••• L••••••investment advisern
- T•• A•••• M••••••••• C•••••• I••••••••• L••••••investment adviserpooled vehicle sponsorn
- T•• A•••• M••••••••• C•••••• L••investment adviserbankpooled vehicle sponsoryRAUM $81B
- T•• A•••••••• P•• L••investment advisern
- T•• D•••• G• L••pooled vehicle sponsorn
- T•• E••••• L••••••investment advisern
- T•• F•••• D••••••••• L••broker-dealern
- T•• I••••••••• M••••••••• C•••••• L••investment adviserbankpooled vehicle sponsornRAUM $39B
- T•• I•••• S•• S•••••investment advisern
- T•• J••••• L•••investment advisern
- T•• L••• G• L••pooled vehicle sponsorn
- T•• M••••• N•••••• G•• L••pooled vehicle sponsorn
- T•• M•• I•• G•• L••pooled vehicle sponsorn
- T•• P•••••• F•••• M••••••••• L••pooled vehicle sponsorn
- T•• R••••• F•••••••• G• L••pooled vehicle sponsorn
- T•• R••••• F•••••••• I• G• L••pooled vehicle sponsorn
- T•• S•••••••• A•••• M••••••••• P••• L•••investment advisern
Advisers that list T•• A•••• B••••• F•••••• M••••••••• C•••••• L•• as a related person
- 333068 n
Offices
Schedule D 1.F, the 25 largest
- New York, NY4 employees
- London, United Kingdom2 employees
What changed
consecutive filings, newest first
- Accounts · 0 to 1Aug 4, 2025 to Mar 27, 2026
- Advisory employees · 29 to 24Aug 4, 2025 to Mar 27, 2026
- Advisory activities · 2 to 1Aug 4, 2025 to Mar 27, 2026
- BD registered reps · 64 to 67Aug 4, 2025 to Mar 27, 2026
- Employees · 321 to 315Aug 4, 2025 to Mar 27, 2026
- Insurance-licensed employees · 18 to 20Aug 4, 2025 to Mar 27, 2026
- State-registered IARs · 18 to 20Aug 4, 2025 to Mar 27, 2026
- Discretionary RAUM · $0 to $425MAug 4, 2025 to Mar 27, 2026
- RAUM · $0 to $425MAug 4, 2025 to Mar 27, 2026
- Accounts · unset to 0.0Oct 10, 2024 to Mar 28, 2025
- Advisory employees · 72 to 29Oct 10, 2024 to Mar 28, 2025
- Advisory activities · 1 to 2Oct 10, 2024 to Mar 28, 2025
- BD registered reps · 74 to 64Oct 10, 2024 to Mar 28, 2025
- Employees · 388 to 321Oct 10, 2024 to Mar 28, 2025
- Insurance-licensed employees · 17 to 18Oct 10, 2024 to Mar 28, 2025
- Financial planning clients · unset to Oct 10, 2024 to Mar 28, 2025
- State-registered IARs · 17 to 18Oct 10, 2024 to Mar 28, 2025
- Other offices · 2 to 1Oct 10, 2024 to Mar 28, 2025
- Discretionary RAUM · unset to 0.0Oct 10, 2024 to Mar 28, 2025
- Non-discretionary RAUM · unset to 0.0Oct 10, 2024 to Mar 28, 2025
- RAUM · unset to 0.0Oct 10, 2024 to Mar 28, 2025
Signals
1 dated events
- T•• A•••• B••••• F•••••• M••••••••• C•••••• L•• filed its initial SEC registration (Form ADV)Sep 6, 2024 · 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
- Website
- tcw.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 213-244-0000reportedpublic record, Form ADV, May 5, 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