DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

M•• I••••••••• A•••••••• L••••••

CRD 313907

SYDNEY

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Search this name across graphsid dfx:ria:37e6e58d-f1b6-eb33-074a-a1515cf36035

Data as of Mar 31, 2026 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 1:42 PM UTC and rebuilt at most every 15 minutes.

Relationships: 34
Dated events: 13
On other graphs: 0
Observed: Apr 22, 2021 to Mar 31, 2026
20 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: asset managerderivedprivate_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $4.1B••• Locked
Discretionary RAUM: $4.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 10

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
G•••••• H••••	Director	Na	yes	12/2010	Apr 22, 2021	Dec 19, 2024
H•••• C••••••••• D•••••	CHIEF COMPLIANCE OFFICER & COMPANY SECRETARY	Na	yes	10/2024	Oct 23, 2024	Dec 19, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
N•••••• I•••••••• L••	n/a	Asset manager	$94B	N	yes	n/a
A•• P••••••• L••	n/a	Asset manager	$68B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025

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	$4.1B	$1.3B	229.5%	$757M	76.1%	10	10	2	2

Relationships

Affiliated with (23)

← N•••••• I•••••••• L••Registered adviserother investment adviser, common control
factForm ADV
← M•• S•••••••• L••••••Registered adviserother investment adviser, common control
factForm ADV
← M•• G••••• P•••••• M•••••• •••• I•••Registered adviserother investment adviser, common control
factForm ADV
← A•• P••••••• L••Registered adviserother investment adviser, common control

Dated events

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

Occurred
Mar 31, 2026
Regulatory AUM changed
••• Locked
Form ADVobserved 8 days ago
$2.9B
Occurred
Dec 19, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Dec 19, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:37e6e58d-f1b6-eb33-074a-a1515cf36035
First observed: Apr 22, 2021
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.