DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

S••••••• I••••••••• M••••••••• N•••• A•••••• L••

CRD 106585

LONDON

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Search this name across graphsid dfx:ria:176550d9-82d9-cf51-32d4-f7789207f31b

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:38 AM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 9
On other graphs: 3
Observed: Dec 2, 2011 to Mar 31, 2026
40 observations

Across DFX

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

Private Equityidentity

S••••••• I••••••••• M••••••••• N•••• A•••••• I••

Intermediary · shared crd

RIA / Wealth Managementidentity

S••••••• I••••••••• M••••••••• N•••• A•••••• I••

Registered adviser · shared crd

Private Creditidentity

S••••••• I••••••••• M••••••••• N•••• A•••••• I••

Private credit manager · 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=0.81 institutional_share=0.19 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $83B••• Locked
Discretionary RAUM: $81B
Private client RAUM: $47.7Mderived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 300

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••••• P•••• J••••	Director	Na	yes	10/2012	Nov 7, 2012	Mar 29, 2024
M•••••• A•••••• L••••	Director	Na	yes	01/2020	Mar 31, 2020	Mar 29, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
S••••••• I••••••••• M••••••••• N•••• A•••••• I••	n/a	Asset manager	$150B	N	yes	n/a
S••••••• I••••••••• M••••••••• ••••••• S•••	n/a	n/a	n/a	N	yes

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Zurich	n/a	Switzerland	9	no
Queensway	n/a	Hong Kong	4	no
S••••••••	n/a	Singapore	4	no

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	$83B	$71B	16.4%	$83B	-0.2%	300	683	3	3

Relationships

Affiliated with (6)

← S••••••• I••••••••• M••••••••• •••••• L••••••Registered adviserother investment adviser, bank, common control
factForm ADV
→ S••••••• I••••••••• M••••••••• N•••• A•••••• I••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← S••••••• I••••••••• M••••••••• N•••• A•••••• I••Registered adviserother investment adviser, bank, common control
factForm ADV
← S•••••••• C•••••• M••••••••• ••• I•••

Dated events

Occurred
Apr 3, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2021
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$27.2B
Occurred
Mar 31, 2020
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 31, 2020
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:176550d9-82d9-cf51-32d4-f7789207f31b
First observed: Dec 2, 2011
Last observed: Mar 31, 2026 5 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.