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CRD 288616
SAN FRANCISCO, CA
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
Dated 2026-05-27 (filing); first seen by DFX 2026-09-15.
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.
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| DARGAN, BARRY, PATRICK | SHAREHOLDER AND DIRECTOR | E | yes | 03/2017 | May 23, 2017 | Mar 26, 2024 |
| INSIGNIA FINANCIAL LIMITED | Shareholder | E | yes | 05/2021 | Mar 28, 2022 | Mar 26, 2024 |
| INTERMEDE SECURITIES (GUERNSEY) LIMITED | Shareholder | D | yes | 03/2017 | May 23, 2017 | Mar 26, 2024 |
| KIM, JAMES, HYUNMIN | Director | Na | yes | 03/2017 | May 23, 2017 | Mar 26, 2024 |
| MACGREGOR, DAVID, IAN | NON-EXECUTIVE DIRECTOR | Na | yes | 04/2019 | Apr 29, 2019 | Mar 26, 2024 |
| MAHON, RUPERT, THOMAS GEORGE | CHIEF COMPLIANCE OFFICER/DIRECTOR | Na | yes | 03/2017 | May 23, 2017 | Mar 26, 2024 |
| MLC ASSET MANAGEMENT HOLDINGS LIMITED | Shareholder | C | yes | 03/2017 | Apr 6, 2021 | Mar 26, 2024 |
| MLC WEALTH LIMITED | Shareholder | E | yes | 03/2017 | Apr 6, 2021 | Mar 26, 2024 |
| SCA GLOBAL ADVISORS LIMITED | Shareholder | D | yes | 03/2017 | May 23, 2017 | Mar 26, 2024 |
| INTERMEDE HOLDINGS LIMITED | PARENT COMPANY | E | no | 03/2017 | May 23, 2017 | Mar 26, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| INTERMEDE INVESTMENT PARTNERS LIMITED | n/a | Institutional manager | $4.0B | N | yes | n/a |
| MLC ASSET MANAGEMENT US LLC | n/a | Asset manager | $2.8B | N | yes | n/a |
| INSIGNIA FINANCIAL LIMITED | n/a | n/a | n/a | Y | yes | n/a |
| INTERMEDE GENERAL PARTNER INC | n/a | n/a | n/a | N | yes | n/a |
| IOOF INVESTMENT SERVICES LTD | n/a | n/a | n/a | N | yes | n/a |
| MLC ASSET MANAGEMENT PTY LTD | n/a | n/a | n/a | Y | yes | n/a |
| MLC INVESTMENTS LIMITED | n/a | n/a | n/a | N | yes | n/a |
| City | State | Country | Employees | Also broker-dealer |
|---|---|---|---|---|
| NEW YORK | NY | United States | 1 | no |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 7, 2026 | $370M | $370M | 4 | 4 | 1 | n/a | n/a |
| 2024 | Mar 28, 2025 | $3.2B | $3.2B | 4 | 4 | 1 | n/a | n/a |
| 2023 | Mar 26, 2024 | $3.2B | $3.2B | 4 | 4 | 1 | n/a | n/a |
| 2022 | Mar 23, 2023 | $2.9B | $2.9B | 4 | 4 | 1 | n/a | n/a |
| 2021 | Mar 28, 2022 | $3.6B | $3.6B | 4 | 4 | 1 | n/a | n/a |
| 2020 | Mar 25, 2021 | $1.6B | $0 | 2 | 2 | 0 | n/a | n/a |
| 2019 | Mar 27, 2020 | $1.1B | $0 | 2 | 2 | 0 | n/a | n/a |
| 2018 | Mar 21, 2019 | $578M | $0 | 1 | 1 | 0 | n/a | n/a |
| 2017 | Mar 22, 2018 | $607M | $0 | 1 | 1 | 0 | n/a | n/a |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $2.1B | $3.2B | -33.9% | $2.9B | -9.3% | 4 | 4 | 1 | 1 |