DFX Intelligence

B•••••••• C•••••• M••••••••• ••• 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

B•••••••• C•••••• M••••••••• ••• L••

CRD 289587

LONDON

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Search this name across graphsid dfx:ria:d5d86a30-30a1-b1d5-be8a-f4889a294959

Data as of Jun 6, 2018 (this record's last observation) from federal regulator filings. Page built Sep 22, 2026, 8:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 23
Dated events: 1
On other graphs: 0
Observed: Aug 17, 2017 to Jun 6, 2018
3 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: $87B••• Locked
Discretionary RAUM: $87B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 0
Advisory employees

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
A••••• S••••••• •••••••• L••••••	Trustee	F	yes	05/2010	Aug 17, 2017	Jun 6, 2018
B• C••••• C••••••••• T••••	Shareholder	E	yes	11/2008	Aug 17, 2017	Jun 6, 2018

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
B•••••••• C•••••• M••••••••• L••••••	n/a	Former SEC adviser	$87B	Y	yes	n/a
B•••••••• C•••••• M••••••••• ••• Y•••• L•	n/a	Former SEC adviser	$81B	N	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 29, 2018	$87B	$87B	0	0	0	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
2017	$87B	n/a	n/a	n/a	n/a	0	n/a	0	n/a

Relationships

Affiliated with (5)

← M•••••• U•• L••Registered adviserother investment adviser, bank, common control
factForm ADV
→ B•••••••• C•••••• M••••••••• L••••••Registered adviserother investment adviser, bank, control, common control
factForm ADV
→ B•••••••• C•••••• M••••••••• ••• Y•••• L•Registered adviserother investment adviser, bank, common control
factForm ADV
← B•••••••• C•••••• M••••••••• L••••••Registered adviser

Dated events

Occurred
Aug 17, 2017
First Form ADV filing
••• Locked
Form ADVobserved 7 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:d5d86a30-30a1-b1d5-be8a-f4889a294959
First observed: Aug 17, 2017
Last observed: Jun 6, 2018 101 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.