DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

N••••• A•••• M••••••••• U••• L••••••

CRD 110815

LONDON

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Search this name across graphsid dfx:ria:1be48a5b-fde6-f577-63dc-d975437b1ef5

Data as of Feb 8, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:01 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 16
On other graphs: 0
Observed: Mar 30, 2012 to Feb 8, 2023
30 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
Regulatory AUM: $32B••• Locked
Discretionary RAUM: $31B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 65
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• C•••••••• E•••	CHAIRMAN AND NON EXECUTIVE DIRECTIVE	Na	yes	07/2020	Jun 26, 2020	Feb 8, 2023
c•••• v•••••	CHIEF FINANCIAL OFFICER	Na	yes	03/2020	Jun 26, 2020	Feb 8, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N••••• A•••• M••••••••• C••• L•••	n/a	Asset manager	$602B	Y	yes	n/a
N••••• C•••••••• R••••••• A•• A•••• M••••••••• I••	n/a	Other adviser	$38B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Dubai	n/a	United Arab Emirates	2	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
2022	$32B	$35B	-9.0%	$31B	1.1%	65	71	1	1

Relationships

Affiliated with (9)

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

Dated events

Occurred
Feb 8, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 3, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 24, 2022
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jun 24, 2022
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1be48a5b-fde6-f577-63dc-d975437b1ef5
First observed: Mar 30, 2012
Last observed: Feb 8, 2023 44 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.