DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

A••••••• A•••• M••••••••• I••••••••• S••••••• L••••••

CRD 107302

LONDON

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Search this name across graphsid dfx:ria:7c0cc8d4-1b6c-0220-07b6-405c353113a9

Data as of Dec 22, 2011 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 4:33 AM UTC and rebuilt at most every 15 minutes.

Relationships: 13
Dated events: 0
On other graphs: 0
Observed: Dec 22, 2011 to Dec 22, 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: $22B••• Locked
Discretionary RAUM: $22B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 71
SEC number

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••••• A•••• M••••••••• P••	Shareholder	E	yes	12/2005	Dec 22, 2011	Dec 22, 2011
L••••• A•••••• A•••••	DIRECTOR AND CHIEF OPERATING OFFICER	Na	yes	12/2005	Dec 22, 2011	Dec 22, 2011

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
A••••••• A•••• M••••••••• I••	n/a	Other adviser	$41B	N	yes	n/a
A••••••• A•••• M••••••••• A••• L••••••	n/a	Asset manager	$40B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Edinburgh	n/a	United Kingdom	n/a	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Dec 22, 2011	$22B	$22B	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	$22B	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

Affiliated with (3)

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

Owns (4)

← G••••••••• P•••• T•••••Owner

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:7c0cc8d4-1b6c-0220-07b6-405c353113a9
First observed: Dec 22, 2011
Last observed: Dec 22, 2011 179 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.