DFX Intelligence

A••••••• C•••••• U• 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

A••••••• C•••••• U• L••••••

CRD 160898

LONDON

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Search this name across graphsid dfx:ria:5318a608-ec35-45d2-2013-0d260229c90e

Data as of Jul 2, 2012 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:38 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Feb 9, 2012 to Jul 2, 2012
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: $102M••• Locked
Discretionary RAUM: $102M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 7
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• C•••••• L••••••	Shareholder	E	yes	12/2008	Feb 9, 2012	Jul 2, 2012
A••••••• H••••••• ••••••••• L••••••	Shareholder	E	yes	04/2011	Feb 21, 2012	Jul 2, 2012

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B••••• C•••••• A••••••• L••••••	n/a	Asset manager	$97.7M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2012	Jul 2, 2012	$102M	$102M	n/a	n/a	n/a	n/a	n/a

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2012	$102M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (1)

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

Controls (7)

← S••••••• M•••••• T•••••OwnerSHAREHOLDER, ownership code C, individual
Feb 9, 2012 to presentfactForm ADV
← M•••• P•••• R•••••OwnerSHAREHOLDER, ownership code C, individual
Feb 9, 2012 to presentfactForm ADV
← H••••• D•••••• J•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:5318a608-ec35-45d2-2013-0d260229c90e
First observed: Feb 9, 2012
Last observed: Jul 2, 2012 173 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.