DFX Intelligence

C••••••••• A•••• M••••••••• P••••••••• 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

C••••••••• A•••• M••••••••• P••••••••• L••

CRD 110907

CLAREMONT, CAPE TOWN

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Data as of Dec 10, 2019 (this record's last observation) from federal regulator filings. Page built Sep 23, 2026, 8:55 PM UTC and rebuilt at most every 15 minutes.

Relationships: 15
Dated events: 3
On other graphs: 0
Observed: Mar 13, 2012 to Dec 10, 2019
14 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: $28B••• Locked
Discretionary RAUM: $28B
Private client RAUM: $0derived••• Locked
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 25
Advisory employees

Private funds

••• Locked

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
C••••••••• L••• A•••••••• F••• C•• L••	Hedge Fund	$522M	May 31, 2013	32	May 31, 2013	dropped	021-193603
C••••••••• E••••• F••• •••• T•••••	Hedge Fund	$494M

Owners and control persons

••• Locked

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
B••••••• M•••• R•••••	CHIEF COMPLIANCE OFFICER/HEAD OF GLOBAL RISK AND COMPLIANCE	Na	yes	02/2013	May 31, 2013	Dec 10, 2019
C••••••• N••••••• J••••	PORTFOLIO MANAGER	Na	yes	08/2000	Mar 13, 2012	Dec 10, 2019

Affiliates (Item 7.A)

••• Locked

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
C••••••••• G••••• F••• M••••••• •••••••• L••••••	n/a	Asset manager	$9.9B	N	yes	n/a
C••••••••• I••••••••• M••••••••• I••••••••• •••• L••	n/a	Asset manager	$6.6B	N	yes

Regulatory AUM by fiscal year

••• Locked

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2019

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	$28B	$31B	-9.8%	n/a	n/a	25	25	0	0

Relationships

Affiliated with (3)

→ C••••••••• G••••• F••• M••••••• •••••••• L••••••Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ C••••••••• I••••••••• M••••••••• I••••••••• •••• L••Registered adviserother investment adviser, common control
factForm ADV
← C••••••••• T••••••• C•••••• •••• L••Registered adviserother investment adviser, control, common control
factForm ADV

Controls (10)

Dated events

Order

Occurred
10 Dec 2019
Control person joined
••• Locked
Form ADV
Occurred
10 Dec 2019
Control person left
••• Locked
Form ADV
Occurred
24 Jan 2017
First Form ADV filing
••• Locked
Form ADV

Provenance

Graph: RIA / Wealth Management
Canonical id
First observed: Mar 13, 2012
Last observed: Dec 10, 2019 82 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.