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D•• S•••••••• A••••••• L••: registered adviser on the ria / wealth management graph | DFX Data Factory

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

D•• S•••••••• A••••••• L••

CRD 141392

NEW YORK, NY

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Search this name across graphsid dfx:ria:0de30af0-ec83-d234-7a50-a059490c91f5

Data as of Mar 5, 2021 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:17 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 3
On other graphs: 0
Observed: Mar 30, 2012 to Mar 5, 2021
44 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

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

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 5
Advisory employees: 0
Offices: 0Schedule D 1.F, beyond the principal office
Individual clients: 0
High net worth clients: 0

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
D• B••••••••• H•••••• G•••	Shareholder	E	yes	04/2018	Apr 27, 2018	Mar 5, 2021
D••••••• B••• A•	Shareholder	E	yes	04/2018	Mar 30, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
D•• I••••••••• M••••••••• A•••••••• I•••	n/a	Other adviser	$200B	N	yes	n/a
D•• A••••••• L••	n/a	Asset manager	$29B	N	yes

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

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

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	n/a	n/a	n/a	n/a	n/a	5	5	0	1

Relationships

Affiliated with (4)

→ D•• I••••••••• M••••••••• A•••••••• I•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ D•• A••••••• L••Registered adviserother investment adviser, common control
factForm ADV
→ H•••••• G••••• I••••••••• L••••••Registered adviserother investment adviser, common control
factForm ADV
→ D••••••• B••• S••••••••• I•••Registered adviserother investment adviser, broker-dealer, bank, common control

Dated events

Occurred
Feb 5, 2021
Control person left
Antony Luke Oliver (Elected Manager / Chief Executive Officer / Chief Investment Officer) no longer on Schedule A of D•• S•••••••• A••••••• L•• (listed 2020-07-17, absent 2021-02-05)
Form ADVobserved 7 days ago
Occurred
Aug 6, 2019
Control person joined
Antony Luke Oliver (Elected Manager / Chief Executive Officer / Chief Investment Officer) appeared on Schedule A of D•• S•••••••• A••••••• L••
Form ADVobserved 7 days ago
Occurred
Jun 28, 2019
Control person left
Teresa Fiona Bassett (Elected Manager/Chief Executive Officer/Chief Investment Officer) no longer on Schedule A of D•• S•••••••• A••••••• L•• (listed 2019-03-28, absent 2019-06-28)
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:0de30af0-ec83-d234-7a50-a059490c91f5
First observed: Mar 30, 2012
Last observed: Mar 5, 2021 67 months 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.