DFX Intelligence

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

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RIA / WealthRegistered adviserasset managerSEC registeredRAUM 10b 100b

N••••• I••••••••• M••••••••• L••

CRD 111208

LONDON

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Search this name across graphsid dfx:ria:a9c2f15e-922b-6a36-3db7-6211434255e8

Data as of Jul 22, 2026 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 6:54 PM UTC and rebuilt at most every 15 minutes.

Relationships: 57
Dated events: 20
On other graphs: 0
Observed: Nov 14, 2011 to Jul 22, 2026
63 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: asset managerderivedprivate_client_share=0.0 fund_share=0.92 institutional_share=0.07 related_bd=true related_bank=true bd_reps=0.0
Regulatory AUM: $42B••• Locked
Discretionary RAUM: $42B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 63

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•• M••••• I••• L••	Owner	E	yes	04/2017	Jul 6, 2017	Aug 20, 2024
B•• M••••• I••••••••• A•••• M••••••••• G•••• L••••••	Owner	E	yes	01/1992	Mar 29, 2012	Aug 20, 2024

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
M••••• I••••••••• C•••••••••	n/a	Asset manager	$874B	N	yes	n/a
B•• M••••• I••••••••• A••••••• I•••	n/a	Asset manager	$419B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV

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	$42B	$39B	8.1%	$47B	-3.7%	63	238	0	0

Relationships

Affiliated with (43)

→ B•• M••••• I••••••••• A••••••• I•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ M••••• I••••••••• C•••••••••Registered adviserother investment adviser, bank, common control
factForm ADV
→ B•• M••••• A•••••••• I•••Registered adviserother investment adviser, bank, common control
factForm ADV
→ I•••••• I•••••••••Registered adviserother investment adviser, bank, common control

Dated events

Occurred
Mar 31, 2023
Regulatory AUM changed
N••••• I••••••••• M••••••••• L•• reported RAUM $47.4B, down 26% from $64.2B (2022-11-10 to 2023-03-31)
Form ADVobserved 7 days ago
$-16.7B
Occurred
Mar 31, 2023
Control person joined
Randolph John Miller (Independent Non Executive Director) appeared on Schedule A of N••••• I••••••••• M••••••••• L••
Form ADVobserved 7 days ago
Occurred
Mar 31, 2023
Control person joined
Morecroft James Helby (Chief Risk Officer & Director) appeared on Schedule A of N••••• I••••••••• M••••••••• L••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a9c2f15e-922b-6a36-3db7-6211434255e8
First observed: Nov 14, 2011
Last observed: Jul 22, 2026 2 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.

Controls (14)

← F•••••• S•••••OwnerINDEPENDENT NON-EXECUTIVE DIRECTOR, ownership code NA, individual
Jan 11, 2022 to Aug 20, 2024factForm ADV
← C•••••• K••••• J••••OwnerINDEPENDENT NON-EXECUTIVE DIRECTOR, ownership code NA, individual
Mar 5, 2019 to Aug 20, 2024factForm ADV
← S••••• H••••••• ••••OwnerNON-EXECUTIVE DIRECTOR, ownership code NA, individual
Aug 17, 2016 to Aug 20, 2024factForm ADV
← H••••• J••••• M••••••••OwnerCHIEF RISK OFFICER & DIRECTOR, ownership code NA, individual
Mar 29, 2012 to Aug 20, 2024factForm ADV
← M•••••• J•••• R•••••••OwnerINDEPENDENT NON EXECUTIVE DIRECTOR, ownership code NA, individual
Mar 31, 2023 to Aug 20, 2024factForm ADV
← M••••••••• J•••OwnerINDEPENDENT NON-EXECUTIVE DIRECTOR, ownership code NA, individual
Aug 8, 2022 to Aug 20, 2024factForm ADV
← R••••• E••••••••• A•••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 11, 2020 to Aug 20, 2024factForm ADV
← M••••• E•••• G•••••OwnerCHIEF EXECUTIVE OFFICER & DIRECTOR, ownership code NA, individual
Jul 8, 2021 to Aug 20, 2024factForm ADV
← B•• M••••• I••• L••OwnerOWNER, ownership code E, domestic entity
Jul 6, 2017 to Aug 20, 2024factForm ADV
← B•• M••••• I••••••••• A•••• M••••••••• G•••• L••••••OwnerOWNER, ownership code E, foreign entity
Mar 29, 2012 to Aug 20, 2024factForm ADV
← B•• M••••• I••••••••• M••••••••• ••••••• L••••••OwnerOWNER, ownership code E, foreign entity
Mar 28, 2014 to Aug 20, 2024factForm ADV
← M•• I••••••••• C•••••••••OwnerOWNER, ownership code E, domestic entity
Nov 14, 2011 to Aug 20, 2024factForm ADV
← N••••• M••••••••• L••••••OwnerOWNER, ownership code E, foreign entity
Nov 14, 2011 to Aug 20, 2024factForm ADV
← T•• B••• O• N•• Y••• M••••• C•••••••••OwnerOWNER, ownership code E, domestic entity
Nov 14, 2011 to Aug 20, 2024factForm ADV