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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

D••••• I• L••

CRD 169063

LONDON

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Search this name across graphsid dfx:ria:228c4438-7f29-9ba3-73fe-48a67443ca53

Data as of Mar 31, 2014 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:18 AM UTC and rebuilt at most every 15 minutes.

Relationships: 12
Dated events: 1
On other graphs: 0
Observed: Sep 16, 2013 to Mar 31, 2014
3 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: $851MItem 5.F on the latest filing (2014-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $851M
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••••• W•• M••••• F••• S•	Hedge Fund	$201M	Mar 31, 2014	1	Mar 31, 2014	reported	n/a

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
A•••• R•••••	HEAD OF INVESTMENT MANAGEMENT	Na	yes	09/2012	Sep 16, 2013	Mar 31, 2014
B••••••••• S••••	GENERAL COUNSEL	Na	yes	10/2012	Sep 16, 2013

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••••• L••	n/a	n/a	n/a	N	yes	n/a

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
2013	Mar 31, 2014	$851M	$851M	53	14	n/a	1	$201M

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
2013	$851M	n/a	n/a	n/a	n/a	53	n/a	n/a	n/a

Relationships

Advises (1)

→ C••••••• W•• M••••• F••• S•Private fundHedge Fund, IA
Mar 31, 2014 to presentfactForm ADV

Controls (11)

← R•••••• C••••••••• P••••• E•••OwnerHEAD OF CLIENT STRATEGY AND MARKETING, ownership code NA, individual
Sep 16, 2013 to presentfactForm ADV
← G••••• V•••••OwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Sep 16, 2013 to presentfactForm ADV
← M••••• D•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

Occurred
Sep 16, 2013
First Form ADV filing
D••••• I• L•• filed its initial SEC registration (Form ADV)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:228c4438-7f29-9ba3-73fe-48a67443ca53
First observed: Sep 16, 2013
Last observed: Mar 31, 2014 151 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.