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•• P•••• C•••••• L••
Latest filing Mar 27, 2026
First filing on the tape Sep 16, 2024 · 5 filings
SEC status approved since Oct 16, 2024
RAUM
$175M
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
5
5 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$175M as of Mar 27, 2026
Feb 13, 2025$202M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Feb 13, 20250 then
Employees (5.A)5 as of Mar 27, 2026
Feb 13, 20255 then
Private funds1 as of Mar 27, 2026
Feb 13, 20251 then
RAUM -14% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $175MderivedRAUM 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
- -14%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
- $175M, 1 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)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$175M100%
- 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
- $175M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- O••••••••• K••••• F•••••• · Ccocontrolsince 09/2024 · owns less than 5%
- P••••••••• W••••••• M•••• · Membercontrolsince 09/2024 · owns 75% or more
Related persons
Schedule D 7.A
- P••••••• C•••••• M••••••••• L••investment advisernRAUM $2.8B
- P••••••• C•••••• M••••••••• L••investment advisern
- P••••••• P• I••••••••• M•••• L••••••investment adviserbankn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- custody status changedChange between filings · filing Mar 27, 2026custody of client assets (Item 9.A): no on the filing of 2025-07-11, yes on the filing of 2026-03-27peers: asset managers, $100M to $500M (1,568)
What changed
consecutive filings, newest first
- Assets in custody · unset to 174595739.0Jul 11, 2025 to Mar 27, 2026
- Custody of client assets · false to trueJul 11, 2025 to Mar 27, 2026
- Discretionary RAUM · $202M to $175MJul 11, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $202M to $175MJul 11, 2025 to Mar 27, 2026
- RAUM · $202M to $175MJul 11, 2025 to Mar 27, 2026
- Financial planning clients · unset to Apr 30, 2025 to Jul 11, 2025
- Advisory employees · 4 to 5Sep 16, 2024 to Feb 13, 2025
- Accounts · unset to 1.0Sep 16, 2024 to Feb 13, 2025
- Pooled vehicle clients · unset to 1.0Sep 16, 2024 to Feb 13, 2025
- Private funds · unset to 1Sep 16, 2024 to Feb 13, 2025
- Discretionary RAUM · unset to 202250000.0Sep 16, 2024 to Feb 13, 2025
- Non-discretionary RAUM · unset to 0.0Sep 16, 2024 to Feb 13, 2025
- Pooled vehicle RAUM · unset to 202250000.0Sep 16, 2024 to Feb 13, 2025
- RAUM · unset to 202250000.0Sep 16, 2024 to Feb 13, 2025
Signals
1 dated events
- T•• P•••• C•••••• L•• filed its initial SEC registration (Form ADV)Sep 16, 2024 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- T•• P•••• C•••••• L•• · Independent Sponsorsshared crd · capital_provider
- T•• P•••• C•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 1-212-207-6820reportedpublic record, Form ADV, Mar 27, 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