DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

Guardian Baillie Gifford Limited

Former SEC-registered adviserEdinburgh, CRD 105578SEC 801-38077IAPD
Latest filing Apr 29, 2013
First filing on the tape Feb 27, 2012 · 4 filings
RAUM
$3.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$3.0B as of Feb 20, 2013
Feb 27, 2012$2.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 20, 2013
Feb 27, 20120 then
Employees (5.A): 4
Private funds: no history
RAUM +21% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 29, 2013; every figure names its basis
RAUM per advisor
unknownderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$498MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+21%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Edward Hugh Timothy Campbell · Director/Chief Executive Officercontrol
        since 05/2009 · owns less than 5%
      • Forrest John Carnegie · Directorcontrol
        since 05/2009 · owns less than 5%
      • Scott D. Dolfi · Non-Executive Directorcontrol
        since 08/2011 · owns less than 5%
      • Marie Deanna Mulligan · Chairman/Non-Executive Directorcontrol
        since 06/2011 · owns less than 5%
      • Edmond Philip Charles Plowden · Directorcontrol
        since 03/2006 · owns less than 5%
      • William David Salter · Directorcontrol
        since 10/2011 · owns less than 5%
      • George Thomas Sorell · Non-Executive Directorcontrol
        since 05/2003 · owns less than 5%
      • Graham Laybourn · Chief Compliance Officer
        since 10/2004 · owns less than 5%
      • Arthur Jocelyn Saunders · Finance Officer
        since 06/2012 · owns less than 5%
      • L Alison Warden · Group Finance Officer
        since 05/2004 · owns less than 5%
      • Franklin Spencer Adair · Partner
        since 05/2013 · owns F of Baillie Gifford & Co
      • Kennedy James Anderson · Partner
        since 04/1987 · owns F of Baillie Gifford & Co
      • Kenneth Barker · Partner
        since 05/2008 · owns F of Baillie Gifford & Co
      • William Brennan Jonathan Bates · Partner
        since 05/2005 · owns F of Baillie Gifford & Co
      • Maria Larysa Bemko · Partner
        since 05/2012 · owns F of Baillie Gifford International Partnership
      • Taylor Robert Blaikie · Partner
        since 05/2002 · owns F of Baillie Gifford & Co
      • Michael Thomas Brewis · Partner
        since 05/1995 · owns F of Baillie Gifford & Co
      • Gerard Callahan · Partner
        since 05/2002 · owns F of Baillie Gifford & Co
      • Edward Hugh Timothy Campbell · Partner
        since 05/2012 · owns F of Baillie Gifford & Co
      • Noel David Peter Cooke · Partner
        since 05/2003 · owns F of Baillie Gifford & Co
      • Catherine Lynn Dewar · Partner
        since 05/2007 · owns F of Baillie Gifford & Co
      • Andrew Hamish Dingwall · Partner
        since 05/2007 · owns F of Baillie Gifford & Co
      • James Patrick Edwardson · Partner
        since 05/2005 · owns F of Baillie Gifford & Co
      • John Angus Franklin · Partner
        since 05/2012 · owns F of Baillie Gifford & Co
      • Coyne Peter Hadden · Partner
        since 05/2008 · owns F of Baillie Gifford & Co
      • Kathrin Hamilton · Partner
        since 05/2013 · owns F of Baillie Gifford & Co
      • Graham Laybourn · Partner
        since 05/2013 · owns F of Baillie Gifford & Co
      • Graham Malcolm Maccoll · Partner
        since 05/2011 · owns F of Baillie Gifford & Co
      • Miller Reid Michael William Macphee · Partner
        since 05/2000 · owns F of Baillie Gifford & Co
      • Arthur Donald Iain Mccombie · Partner
        since 05/2005 · owns F of Baillie Gifford & Co
      Entity owners
      • Baillie Gifford Overseas Limited · Shareholder
        direct · owns 25% to 50%
      • The Guardian Insurance & Annuity Company Inc · Shareholder
        direct · owns 50% to 75%
      • Baillie Gifford & Co · Owner
        indirect · owns 75% or more of Baillie Gifford Overseas Limited
      • The Guardian Life Insurance Company Of America · Owner
        indirect · owns 75% or more of The Guardian Insurance & Annuity Company, Inc.
      • Baillie Gifford International Partnership · Partner
        indirect · owns F of Baillie Gifford & Co
      Related persons
      Schedule D 7.A
      Advisers that list Guardian Baillie Gifford Limited as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $2.5B to $3.0B
        Oct 31, 2012 to Feb 20, 2013
      • RAUM · $2.5B to $3.0B
        Oct 31, 2012 to Feb 20, 2013
      • Advisory employees · unset to 4.0
        Feb 27, 2012 to Oct 31, 2012
      • Employees · unset to 4.0
        Feb 27, 2012 to Oct 31, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      Provenance
      Form ADV
      SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
      Advisors
      IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
      Class
      Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
      RAUM per advisor
      n/aderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026