DFX Intelligence

F••• A••••• 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 10b 100b

F••• A••••• M••••••• L••

CRD 169915

LONDON

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Search this name across graphs

Data as of Dec 14, 2023 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 6:45 PM UTC and rebuilt at most every 15 minutes.

Relationships: 40
Dated events: 26
On other graphs: 2
Observed: Jun 2, 2016 to Dec 14, 2023
13 observations

Across DFX

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

Private Equityidentity

F••• A••••• M••••••• L••

Private equity manager · key_crd, key_sfn_adviser, shared_crd

Private Creditidentity

F••• A••••• M••••••• L••

Private credit manager · key_crd, key_sfn_adviser, 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: $11B••• Locked
Discretionary RAUM: $11B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 95
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••• C•• X• D••	Securitized Asset Fund	$580M	Mar 31, 2026	25	Dec 14, 2023	reported	n/a
C•••••• C•• X• D••	Securitized Asset Fund	$575M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C•••••• M••••••• D•••••	MEMBER OF MANAGEMENT BOARD	Na	yes	06/2016	Jun 2, 2016	Dec 14, 2023
D• R•••••• A•••	MEMBER OF MANAGEMENT BOARD	Na	yes	09/2020	Dec 14, 2023	Dec 14, 2023

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
F••• A••••• M••••••• N•••• A•••••• L••	n/a	Asset manager	$3.4B	N	yes	n/a
F••• A••••• M••••••• •••• L••	n/a	Asset manager	$994M	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	May 15, 2020

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2019	$11B	$3.3B	240.1%	n/a	n/a	95	51	0	1

Relationships

Advises (26)

→ C•••••• C•• V• D••Private fundSecuritized Asset Fund, ERA
Apr 5, 2018 to presentfactForm ADV
→ F••• A••••• G••••• L••• I••••••••• I• P••Private fundSecuritized Asset Fund, ERA
Mar 29, 2023 to presentfactForm ADV
→ C•••••• C•• I• D••Private fundSecuritized Asset Fund, ERA
Mar 28, 2022 to presentfactForm ADV
→ C•••••• C•• X•• D••

Dated events

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

Order

Occurred
31 Mar 2026
Ria private fund assets change
••• Locked
Form ADV
$-10.4B
Occurred
31 Mar 2026
Private fund first reported3 events
Private fund first reported: 3 on 31 Mar 2026
$176M to $466M
- ••• Locked$466M
- ••• Locked$457M
- ••• Locked$176M
Occurred
31 Mar 2026
Private fund no longer reported
••• Locked
Form ADV
$212M
Occurred
31 Mar 2026
Private fund gav change
••• Locked
Form ADV
$256M
Occurred
2 May 2025
Left the SEC roster
••• Locked
Form ADV
$11.1B

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Jun 2, 2016
Last observed: Dec 14, 2023 33 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.

All 25 rows

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C•••••• C•• X•• D••	Securitized Asset Fund	$457M	Mar 31, 2026	22	Mar 31, 2026	reported	n/a
C•••••• C•• V• D••	Securitized Asset Fund	$454M	Mar 31, 2026	28	Apr 4, 2019	reported	n/a
C•••••• C•• I•• B•••	Securitized Asset Fund	$355M	Mar 31, 2021	14	Jun 2, 2016	dropped	n/a
F••• A••••• G••••• L••• I••••••••• I• P••	Securitized Asset Fund	$244M	Mar 31, 2026	112	Mar 29, 2023	reported	n/a
F••• A••••• G••••• L••• I••••••••• P••	Securitized Asset Fund	$231M	Mar 31, 2026	21	May 15, 2020	reported	n/a
N•••••••• L•••• S•••	Securitized Asset Fund	$212M	Dec 14, 2023	6	Jun 29, 2017	dropped	n/a
F••• A••••• G••••• L••• I••••••••• I•• P••	Securitized Asset Fund	$176M	Mar 31, 2026	18	Mar 31, 2026	reported	n/a
N•• P•••• I••••••••• S••• • C••••••••• N•••	Securitized Asset Fund	$121M	Mar 31, 2021	5	Jun 29, 2017	dropped	n/a
D•••••••• E••••••• C•• I• B•••	Securitized Asset Fund	$116M	Sep 10, 2015	0	Mar 26, 2014	dropped	n/a
D•••••••• E••••••• C•• I• B•••	Securitized Asset Fund	$87.7M	Sep 10, 2015	0	Mar 26, 2014	dropped	n/a
F••• A••••• C••••••••• I• S•••	Private Equity Fund	$33.3M	Jul 16, 2019	96	Jun 30, 2017	dropped	n/a
C•••••• C•• I• B•••	Securitized Asset Fund	$9.0M	Mar 29, 2023	4	Apr 5, 2018	reported	n/a
F••• A••••• C••••••••• F••••• I• F•••	Private Equity Fund	$6.5M	Jul 16, 2019	32	Apr 4, 2019	dropped	n/a
D•••••••• E••••••• C•• I• B•••	Securitized Asset Fund	$800,000	Jun 20, 2016	0	Mar 26, 2014	dropped	n/a
F••• A••••• C••••••••• F•••	Private Equity Fund	$210,450	Mar 29, 2023	17	Apr 4, 2019	reported	n/a

All 16 rows

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O••••• U•• G• S•••	n/a	n/a	n/a	N	yes	n/a
R••••••••• • C• B••• A•	n/a	n/a	n/a	N	yes	n/a
R••••••••• • C• I••••••••• M••••••• ••• P• P•••••••••	n/a	n/a	n/a	N	yes	n/a
R••••••••• • C• U• I•••	n/a	n/a	n/a	N	yes	n/a
R••••••••• • C• V••••••••• G•••	n/a	n/a	n/a	N	yes	n/a
R••••••••• • C• W••••• M••••••••• ••• L••••••	n/a	n/a	n/a	N	yes	n/a