DFX Intelligence

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

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RIA / WealthRegistered adviserindependent wealth managerSEC registeredRAUM 1b 10b

I••••••••• C•••••• L••••••

CRD 312174

LONDON, GREATER LONDON

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Search this name across graphsid dfx:ria:8c9535c8-0dbc-95b4-3c99-f14e1d4e1722

Data as of Mar 25, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 7:08 PM UTC and rebuilt at most every 15 minutes.

Relationships: 7
Dated events: 5
On other graphs: 0
Observed: Jan 4, 2021 to Mar 25, 2026
9 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: independent wealth managerderivedprivate_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0
Regulatory AUM: $1.6B••• Locked
Discretionary RAUM: $503M
Private client RAUM: $1.6Bderived••• Locked
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 16

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• G•••• P••••••	Director	Na	yes	08/2020	Mar 25, 2026	Mar 25, 2026
H•••••••• A•••••• N••••	Director	Na	yes	10/2012	Mar 25, 2026	Mar 25, 2026

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2025	Mar 25, 2026

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2025	$1.6B	$1.1B	53.3%	$926M	20.4%	16	13	0	0

Relationships

Controls (5)

← M•••••••• J•••••• M••••••OwnerDIRECTOR, ownership code D, individual
Jan 4, 2021 to Mar 28, 2024factForm ADV
← H•••••••• A•••••• N••••OwnerDIRECTOR, ownership code NA, individual
Jan 4, 2021 to Mar 28, 2024factForm ADV
← C••••• G•••• P••••••OwnerDIRECTOR, ownership code D, individual
Jan 4, 2021 to Mar 28, 2024factForm ADV
← H••••• E••••• L•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 28, 2024 to Mar 28, 2024fact

Dated events

Occurred
Mar 25, 2026
Regulatory AUM changed
I••••••••• C•••••• L•••••• reported RAUM $1.6B, up 53% from $1.1B (2025-04-02 to 2026-03-25)
Form ADVobserved 7 days ago
$563M
Occurred
Mar 28, 2024
Control person joined
L••••• E•••• H•••• (Chief Compliance Officer) appeared on Schedule A of I••••••••• C•••••• L••••••
Form ADVobserved 7 days ago
Occurred
Mar 28, 2024
Control person left
Rozalia Agata Shorten (Chief Compliance Officer) no longer on Schedule A of I••••••••• C•••••• L•••••• (listed 2023-03-31, absent 2024-03-28)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8c9535c8-0dbc-95b4-3c99-f14e1d4e1722
First observed: Jan 4, 2021
Last observed: Mar 25, 2026 6 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.