DFX Intelligence

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

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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

O••• P••••••• L••

CRD 157256

LONDON

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Search this name across graphsid dfx:ria:dc64cc2a-553b-5222-0d8f-f9c0da200c23

Data as of Oct 15, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 3:33 PM UTC and rebuilt at most every 15 minutes.

Relationships: 17
Dated events: 5
On other graphs: 2
Observed: Feb 3, 2012 to Oct 15, 2019
24 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Creditidentity

O••• P••••••• L••

Private credit manager · key crd, shared crd

Real Estate Fundsidentity

O••• P••••••• L••

Real estate fund manager · key crd, shared crd

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: $460M••• Locked
Discretionary RAUM: $460M
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 29
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
O••• M•••• M••••• F••• I• L••••••	Hedge Fund	$207M	Feb 24, 2016	2	Jan 30, 2014	dropped	n/a
O••• M•••• F••• I• L••••••	Hedge Fund	$158M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
C••••• S•••••• A•••••	FOUNDING PARTNER	E	yes	10/2004	Feb 3, 2012	Oct 15, 2019
H•••• S••••••• P••••••	CHIEF OPERATING OFFICER - HEDGE FUNDS & HEAD OF REGULATORY REPORTING	Na	yes	05/2018	Jan 29, 2019	Oct 15, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
O••• P••••••• U• L••	n/a	Former SEC adviser	$2.1B	Y	yes	n/a

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2018

Growth

••• Locked

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2018	$460M	$495M	-7.0%	$775M	-15.9%	29	32	0	0

Relationships

Affiliated with (2)

← O••• P••••••• U• L••Registered adviserother investment adviser, bank, control, common control
factForm ADV
→ O••• P••••••• U• L••Registered adviserother investment adviser, bank, control, common control
factForm ADV

Advises (12)

→ O••• S•••••• L•••••• F••• I• L•Private fundOther Private Fund, ERA
Jan 4, 2016 to presentfactForm ADV
→ O••• E•••• F••• L••••••

Dated events

Occurred
Nov 5, 2019
Ria registration change
••• Locked
Form ADVobserved today
Occurred
Oct 15, 2019
Control person left
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 29, 2019
Control person joined
••• Locked
Form ADVobserved 8 days ago
Occurred
Jan 29, 2019
Control person joined

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:dc64cc2a-553b-5222-0d8f-f9c0da200c23
First observed: Feb 3, 2012
Last observed: Oct 15, 2019 84 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.