DFX Intelligence

R•• G••••• A•••• M••••••••• ••• L••••••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM over $100B

R•• G••••• A•••• M••••••••• ••• L••••••

CRD 168551

LONDON

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Search this name across graphsid dfx:ria:0bb75759-be88-c1a6-f8c9-06b8da4304b2

Data as of Sep 18, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 2:11 PM UTC and rebuilt at most every 15 minutes.

Relationships: 29
Dated events: 18
On other graphs: 1
Observed: Aug 7, 2013 to Sep 18, 2026
50 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Creditidentity

R•• G••••• A•••• M••••••••• ••• L••••••

Private credit manager · key crd, shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: asset managerderivedprivate_client_share=0.0 fund_share=0.74 institutional_share=0.19 related_bd=true related_bank=true bd_reps=0.0 bank_owner=true
Regulatory AUM: $178B••• Locked
Discretionary RAUM: $176B
Private client RAUM: $236Mderived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 471

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
B•••••• G••••• C••••• A•••• L••• S•••• ••••••• F••• L••••••	Hedge Fund	$514M	Sep 18, 2026	50	Feb 28, 2013	reported	021-239657
B•••••• E••••••• M••••• C••••• A•••• ••••••• F••• L••••••	Hedge Fund	$393M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
R•••• B••• O• C•••••	PARENT COMPANY	E	yes	11/2012	Aug 7, 2013	Jun 16, 2024
R•••• B••• O• C••••• H••••••• ••• L••	DIRECT PARENT	E	yes	12/1998	Feb 10, 2014	Jun 16, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
R•• C•••••• M••••••• L••	n/a	National bd RIA	$310B	N	yes	NY
R•• G••••• A•••• M••••••••• ••••• I•••	n/a	Asset manager	$104B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$178B	$138B	29.2%	$55B	48.3%	471	474	0	0

Relationships

Affiliated with (6)

→ R•• G••••• A•••• M••••••••• ••••• I•••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ R•• C•••••• M••••••• L••Registered adviserother investment adviser, broker-dealer, trust company, LP sponsor, custodian, common control
factForm ADV
← R•• C•••••• M••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← R•• P•••••• C•••••• •••• I•••

Dated events

2 bookkeeping events (roster, classification and holdings changes) folded below

Occurred
Sep 18, 2026
Ria p•••••• fund assets change
••• Locked
Form ADVobserved today
$672M
Occurred
Sep 18, 2026
Ria principal change
••• Locked
Form ADVobserved today
Occurred
Sep 18, 2026
Ria principal change
••• Locked
Form ADVobserved today

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0bb75759-be88-c1a6-f8c9-06b8da4304b2
First observed: Aug 7, 2013
Last observed: Sep 18, 2026 5 days ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

Owns (13)

← G••••• E••••• P•••OwnerCHIEF EXECUTIVE OFFICER AND DIRECTOR, ownership code NA, individual
Jan 26, 2022 to Jun 16, 2024factForm ADV
← C•••••••• D•••••• E•••••OwnerDIRECTOR (NON-EXECUTIVE), ownership code NA, individual
Aug 7, 2013 to Jun 16, 2024factForm ADV
← W•••••••• D••••• G••••OwnerDIRECTOR (NON-EXECUTIVE), ownership code NA, individual
Apr 28, 2023 to Jun 16, 2024factForm ADV
← P••••••••• J••••• N••••••OwnerCHAIRMAN AND DIRECTOR (INDEPENDENT NON-EXECUTIVE), ownership code NA, individual
Apr 28, 2023 to Jun 16, 2024factForm ADV
← T•••••• D••••• J•••OwnerDIRECTOR (NON-EXECUTIVE), ownership code NA, individual
Aug 7, 2013 to Jun 16, 2024factForm ADV
← D••••• P••••• J•••OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Apr 28, 2023 to Jun 16, 2024factForm ADV
← B••••••• P•••• F••••••••OwnerCHIEF OPERATING OFFICER, ownership code NA, individual
Apr 28, 2023 to Jun 16, 2024factForm ADV
← C•••••• S••••• R••••••OwnerMONEY LAUNDERING OFFICER, ownership code NA, individual
Oct 14, 2015 to Jun 16, 2024factForm ADV
← B•••• J••••••••• C••••••••• P•••OwnerCHIEF RISK OFFICER, ownership code NA, individual
Apr 28, 2023 to Jun 16, 2024factForm ADV
← P••••••••• A••••••• D••••OwnerHEAD OF BUSINESS DEVELOPMENT, ownership code NA, individual
Apr 28, 2023 to Jun 16, 2024factForm ADV
← B••••••• A•••• M•••• J•••••••• C•OwnerDIRECTOR (INDEPENDENT NON-EXECUTIVE), ownership code NA, individual
Apr 28, 2023 to Jun 16, 2024factForm ADV
← D••••••• M•••• C•••••• D••••OwnerDIRECTOR, CHIEF INVESTMENT OFFICER, FIXED INCOME, ownership code NA, individual
Apr 28, 2023 to Jun 16, 2024factForm ADV
← L••••••••• M•••••• S••••OwnerDIRECTOR (NON-EXECUTIVE), ownership code NA, individual
Apr 28, 2023 to Jun 16, 2024factForm ADV