DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 100m 1b

A••••••• C•••••• M••••••••• L••

CRD 287812

LONDON, GREATER LONDON

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Search this name across graphsid dfx:ria:400aa950-6eb5-6149-6478-0b55316302ff

Data as of Jun 11, 2025 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 9:03 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 6
On other graphs: 0
Observed: Jun 8, 2022 to Jun 11, 2025
6 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: $186M••• Locked
Discretionary RAUM: $186M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 15
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• C•••••• H••••••• L••	HOLDING COMPANY	E	yes	03/2017	Jun 8, 2022	Feb 28, 2024
A••••••• C•••••• S••••••• L••••••	HOLDING COMPANY	E	yes	03/2017	Jun 8, 2022	Feb 28, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••• C•••••• M••••••••• L•••	n/a	Former SEC adviser	$101M	N	yes	n/a
A••••••• C•••••• ••• L••••••	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2024	Feb 27, 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
2024	$186M	$213M	-12.7%	n/a	n/a	15	16	0	0

Relationships

Affiliated with (1)

→ A••••••• C•••••• M••••••••• L•••Registered adviserother investment adviser, bank, common control
factForm ADV

Controls (5)

← D••••••••• R•••••••• M••••OwnerPARTNER, CHIEF COMPLIANCE OFFICER, MONEY LAUNDERING REPORTING OFFICER, ownership code NA, individual
Jun 8, 2022 to Feb 28, 2024factForm ADV
← L••••• M•••• C•••••••••OwnerPARTNER, PORTFOLIO MANAGER AND HEAD OF RESEARCH, ownership code NA, individual
Nov 9, 2023 to Feb 28, 2024factForm ADV
← A••••••• C•••••• H••••••• L••

Dated events

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

Occurred
Mar 30, 2026
Ria registration change
••• Locked
Form ADVobserved today
Occurred
Nov 9, 2023
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 9, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:400aa950-6eb5-6149-6478-0b55316302ff
First observed: Jun 8, 2022
Last observed: Jun 11, 2025 15 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.