DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 1b 10b

S••••• I••••••••• L••••••

CRD 327135

LONDON

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Search this name across graphsid dfx:ria:3c59c3ef-f62e-e1ba-f1cc-8cb6666b3209

Data as of Feb 4, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:47 PM UTC and rebuilt at most every 15 minutes.

Relationships: 3
Dated events: 1
On other graphs: 0
Observed: Jul 20, 2023 to Feb 4, 2026
5 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=0.03 fund_share=0.75 institutional_share=0.22 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.2B••• Locked
Discretionary RAUM: $1.2B
Private client RAUM: $40.0Mderived••• Locked
Private client share: 3%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 19

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••• R••••• P••••	CHIEF COMPLIANCE OFFICER	A	yes	11/1993	Jul 20, 2023	Mar 8, 2024
N•••••••• I••••••••• L••	PRIVATE L•••••• COMPANY	E	yes	06/2001	Jul 20, 2023	Mar 8, 2024

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Feb 4, 2026

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	$1.2B	$1.4B	-10.1%	n/a	n/a	19	18	0	0

Relationships

Controls (3)

← B••••• R••••• P••••OwnerCHIEF COMPLIANCE OFFICER, ownership code A, individual
Jul 20, 2023 to Mar 8, 2024factForm ADV
← S•••••• M•••• W••••••OwnerMEMBER, ownership code E, individual
Jul 20, 2023 to Mar 8, 2024factForm ADV
← N•••••••• I••••••••• L••OwnerPRIVATE L•••••• COMPANY, ownership code E, foreign entity
Jul 20, 2023 to Mar 8, 2024factForm ADV

Dated events

Occurred
Jul 20, 2023
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:3c59c3ef-f62e-e1ba-f1cc-8cb6666b3209
First observed: Jul 20, 2023
Last observed: Feb 4, 2026 7 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.