DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC adviserleft the SEC rosterRAUM 1b 10b

F••••••• C•••••• E••••• L••

CRD 138713

LONDON

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Search this name across graphsid dfx:ria:b089b0dc-172f-2a86-a085-0973cadfd30a

Data as of Jun 27, 2024 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 2:15 PM UTC and rebuilt at most every 15 minutes.

Relationships: 4
Dated events: 7
On other graphs: 0
Observed: Mar 30, 2012 to Jun 27, 2024
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: $4.1B••• Locked
Discretionary RAUM: $4.1B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 37
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••••• W•••••	MANAGING MEMBER	D	yes	01/2021	Jan 20, 2021	Jun 27, 2024
L••••••• G••••••• A••••••••	MANAGING MEMBER	B	yes	01/2022	Jan 21, 2022	Jun 27, 2024

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
2024	$4.1B	$4.7B	-12.5%	$5.9B	-11.6%	37	34	0	0

Relationships

Controls (3)

← S••••••• J••••• M••••••OwnerMANAGING MEMBER (4/10) AND CO-HEAD OF GLOBAL TRADING, ownership code A, individual
Mar 30, 2012 to presentfactForm ADV
← C••••••• W•••••OwnerMANAGING MEMBER, ownership code D, individual
Jan 20, 2021 to presentfactForm ADV
← L••••••• G••••••• A••••••••OwnerMANAGING MEMBER, ownership code B, individual
Jan 21, 2022 to presentfactForm ADV

Owns (1)

← M••••••••• K••••••••• R•••••OwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual

Dated events

Occurred
May 2, 2025
Left the SEC roster
F••••••• C•••••• E••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $4.1B)
Form ADVobserved 7 days ago
$4.1B
Occurred
Jan 9, 2023
Control person left
Erik Lars Bane (Managing Member) no longer on Schedule A of F••••••• C•••••• E••••• L•• (listed 2022-06-24, absent 2023-01-09)
Form ADVobserved 7 days ago
Occurred
Jan 21, 2022
Control person joined
A•••••••• G•••••• L•••••• (Managing Member) appeared on Schedule A of F••••••• C•••••• E••••• L••
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:b089b0dc-172f-2a86-a085-0973cadfd30a
First observed: Mar 30, 2012
Last observed: Jun 27, 2024 27 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.