DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

E••••• A••••••• L••••••

CRD 130824

LONDON

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Search this name across graphsid dfx:ria:48a83f8c-10f9-f0c5-1fb2-99b5f8f29e4b

Data as of Apr 30, 2024 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:59 AM UTC and rebuilt at most every 15 minutes.

Relationships: 37
Dated events: 12
On other graphs: 1
Observed: Mar 29, 2012 to Apr 30, 2024
38 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

E••••• A••••••• L••••••

Private equity manager · shared crd

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: $1.4B••• Locked
Discretionary RAUM: $1.4B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 17
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
E••••• W•••• • P•••• O••••••••• P••	Other Private Fund	$716M	Mar 30, 2016	150	Apr 30, 2013	dropped	n/a
T••••••• G••••• R••••••••• I••••••••• M••••• F••• L••••••	Liquidity Fund	$75.7M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
E••••• I••••••••• L••	SHREHOLDER COMMON STOCK	E	yes	11/2018	Aug 10, 2020	Apr 30, 2024
F••• I• U•• L••	GENERAL PARTNER	F	yes	01/2014	May 27, 2021	Apr 30, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
T••••••• C•••••• A•••••••• L•••••	n/a	Asset manager	$8.9B	N	yes	n/a
T••••••• I•••• S••••••••• L••	n/a	Former SEC adviser	$719M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2023

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2023	$1.4B	$1.4B	-4.3%	$676M	26.7%	17	18	0	0

Relationships

Affiliated with (8)

← T••••••• C•••••• A•••••••• L•••••Registered adviserother investment adviser, bank, common control
factForm ADV
← E••••• A•••••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
← T•• A•••••••Registered adviserother investment adviser, bank, common control
factForm ADV
→ T••••••• C•••••• A•••••••• L•••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control

Dated events

Occurred
Mar 30, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Mar 30, 2024
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 15, 2023
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Nov 15, 2023
Control person left

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:48a83f8c-10f9-f0c5-1fb2-99b5f8f29e4b
First observed: Mar 29, 2012
Last observed: Apr 30, 2024 29 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.

Controls (14)

← L••••• M•••••• P••••••• L••OwnerMANAGING MEMBER, ownership code E, domestic entity
May 27, 2021 to presentfactForm ADV
← N••••••• B••••• J••OwnerD•••••OR, ownership code NA, individual
Jan 14, 2019 to presentfactForm ADV
← E••••• I••••••••• L••OwnerSHREHOLDER COMMON STOCK, ownership code E, domestic entity
Aug 10, 2020 to presentfactForm ADV
← F••• I• U•• L••OwnerGENERAL PARTNER, ownership code F, domestic entity
May 27, 2021 to presentfactForm ADV
← H••• H••••••• L••OwnerMEMBER, ownership code C, domestic entity
Dec 7, 2018 to presentfactForm ADV
← L• T••••••• H••••••• C••••••••• L••OwnerMEMBER, ownership code C, domestic entity
Dec 7, 2018 to presentfactForm ADV
← L• T••••••• H••••••• L••OwnerMEMBER, ownership code D, domestic entity
Dec 7, 2018 to presentfactForm ADV
← L• T••••••• I••••••••• H••••••• I• C••••••••• L••OwnerMEMBER, ownership code D, domestic entity
Dec 7, 2018 to presentfactForm ADV
← L• T••••••• I••••••••• H••••••• I• L••OwnerMANAGING MEMBER, ownership code D, domestic entity
Dec 7, 2018 to presentfactForm ADV
← L• T••••••• I••••••••• H••••••• I••• I••OwnerMEMBER, ownership code C, domestic entity
Dec 7, 2018 to presentfactForm ADV
← L••••• M•••••• E••••• A••••••• I• L•OwnerGENERAL PARTNER, ownership code F, domestic entity
Dec 7, 2018 to presentfactForm ADV
← L••••• M•••••• E••••• P••••••• I• L•OwnerMEMBER, ownership code D, domestic entity
Dec 7, 2018 to presentfactForm ADV
← T••••••••• B••••••• L•• •••••••• T••••••• B••••••• L•••OwnerSOLE MEMBER, ownership code E, domestic entity
Aug 10, 2020 to presentfactForm ADV
← T••••••••• P••••• H••••• L•• •••••••• T••••••• P••••• H••••• L•••OwnerSOLE MEMBER, ownership code E, domestic entity
Aug 10, 2020 to presentfactForm ADV