DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

M••••••••• I••••••••• M••••••• L••••••

CRD 139877

SYDNEY, NEW SOUTH WALES

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Search this name across graphsid dfx:ria:7b683be0-4339-3993-dfa0-5e03c2846937

Data as of Nov 29, 2011 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:13 AM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 0
On other graphs: 0
Observed: Nov 29, 2011 to Nov 29, 2011
1 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: $71.3M••• Locked
Discretionary RAUM: $71.3M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 1
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••• F•••••••• G•••• P•• L••	PARENT COMPANY	E	yes	06/2010	Nov 29, 2011	Nov 29, 2011
M••••••••• P•• L••••••	FOREIGN COMPANY	E	yes	06/2010	Nov 29, 2011	Nov 29, 2011

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••••••• P•• L••••••	Investment Adviser	n/a	n/a	n/a	n/a	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Nov 29, 2011	$71.3M	$71.3M	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
2011	$71.3M	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Controls (5)

← S••••• V••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Nov 29, 2011 to presentfactForm ADV
← W•••• G•••••OwnerSTOCKHOLDER, ownership code E, individual
Nov 29, 2011 to presentfactForm ADV
← S••••••• J•••OwnerEXECUTIVE DIRECTOR, ownership code NA, individual
Nov 29, 2011 to presentfactForm ADV
← A••• F•••••••• G•••• P•• L••OwnerPARENT COMPANY, ownership code E, foreign entity
Nov 29, 2011 to presentfact

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7b683be0-4339-3993-dfa0-5e03c2846937
First observed: Nov 29, 2011
Last observed: Nov 29, 2011 180 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.