DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

O••••• A•••• M••••••••• U•••• L••

CRD 171003

NEW YORK, NY

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Search this name across graphsid dfx:ria:ac0fee31-ae61-9998-f848-ef9d966bc45c

Data as of Sep 11, 2020 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 5:36 PM UTC and rebuilt at most every 15 minutes.

Relationships: 14
Dated events: 16
On other graphs: 0
Observed: May 19, 2014 to Sep 11, 2020
26 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: $0••• Locked
Discretionary RAUM: $0
Private client RAUM: $0derived••• Locked
Advisors on IAPD: 0
Employees: 12
Advisory employees: 9
Offices: 1Schedule D 1.F, beyond the principal office

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B•••	Shareholder	D	yes	07/2009	May 19, 2014	Sep 11, 2020
F••••••• J•••••• F••••••	MANAGING DIRECTOR AND CHIEF OPERATING OFFICER	Na	yes	01/2019	Sep 11, 2020	Sep 11, 2020

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
H•• A• L••	n/a	Former SEC adviser	$18B	N	yes	n/a
M••••• U• L••	n/a	Asset manager	$14B	N	yes	n/a

Offices

••• Locked

City	State	Country	Employees	Also broker-dealer
Paris	n/a	France	3	no

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019	Mar 30, 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	$0	$823M	-100.0%	$412M	n/a	12	50	1	5

Relationships

Affiliated with (5)

→ A••••••••• G••••• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ H•• A•Registered adviserother investment adviser, bank, common control
factForm ADV
→ M••••• U•Registered adviserother investment adviser, common control
factForm ADV
← N•••••• ASSET MANAGEMENT ASIA L••••••Registered adviserother investment adviser, common control

Dated events

Occurred
Sep 11, 2020
Control person joined
F•••••• J••••• F•••••• (Managing Director And Chief Operating Officer) appeared on Schedule A of O••••• A•••• M••••••••• U•••• L••
Form ADVobserved 7 days ago
Occurred
Sep 11, 2020
Control person left
Ibrahima Kobar (Board Member, Chairman) no longer on Schedule A of O••••• A•••• M••••••••• U•••• L•• (listed 2020-07-13, absent 2020-09-11)
Form ADVobserved 7 days ago
Occurred
Jul 13, 2020
Control person left
Thomas Brian Yorke (Chief Executive Officer And Board Member) no longer on Schedule A of O••••• A•••• M••••••••• U•••• L•• (listed 2020-03-30, absent 2020-07-13)
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:ac0fee31-ae61-9998-f848-ef9d966bc45c
First observed: May 19, 2014
Last observed: Sep 11, 2020 73 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.