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.
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Latest filing Jun 30, 2026
First filing on the tape Jan 31, 2012 · 50 filings
SEC status approved since May 12, 1989
RAUM
$7.1B
reported, Item 5.F
Discretionary
83%
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
35
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$7.1B as of Jun 30, 2026
Jan 31, 2012$3.5B then
HNW client RAUM$0 as of Jun 30, 2026
Jan 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 30, 2026
Jan 29, 20130 then
Employees (5.A)35 as of Jun 30, 2026
Jan 29, 201322 then
Private funds1 as of Jan 30, 2014
Jan 31, 20121 then
RAUM -3.2% over the last fiscal year-6.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2026; 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
- $228MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 83%derivedof RAUM
- Institutional
- 30%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
- -3.2%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 assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.4B48%
- Corporations and businesses$1.3B19%
- Pension and profit-sharing plans$1.0B14%
- State and municipal entities$960M14%
- Investment companies$280M4.0%
- Charitable organizations$110M1.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 9reported
- Charitable clients
- 1reported
- Accounts
- 31reported
- Financial planning clients
- 11-25reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.52 institutional_share=0.3 related_bd=true related_bank=true bd_reps=0.0derived
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
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••• I••••••••• T••••no longer reported | Other Private Fund | $621M | 27 | Jan 31, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• S••••••• N•• · Directorcontrolsince 01/2022 · owns less than 5%
- C•••••••• S••••• N•• · Executive Directorcontrolsince 08/2023 · owns less than 5%
- C••••••• A••••••• N••••••• · Chief Executive Officercontrolsince 01/2011 · owns less than 5%
- D•••••• W••••••• N•• · Directorcontrolsince 01/2022 · owns less than 5%
- L••••• D••••• N•• · Directorcontrolsince 01/2022 · owns less than 5%
- M•••••••• D•••••• P•••••• · Directorcontrolsince 08/2024 · owns less than 5%
- N••••••• L•••• J••••• · Directorcontrolsince 05/2015 · owns less than 5%
- S•••••• P•••• J••••• · Executive Directorcontrolsince 11/2023 · owns less than 5%
- B••••••• D•••••• J•••• · Head Of Compliancesince 12/2023 · owns less than 5%
Entity owners
- C••••••• T••••••••• I••••••••• U• I••••••••• L•••••• · Shareholderdirect · owns 75% or more
- A••••••••• F••••••••• I••• · Sole Shareholder Of C••••••• T••••••••• Investments Uk International L••••••indirect · owns 75% or more of C••••••• T••••••••• I••••••••• U• I••••••••• L•••••• · public reporting company
Related persons
Schedule D 7.A
- A••••••••• C•••••• I•••••••• C••••••real estaten
- C••••••• M••••••••• I••••••••• A•••••••• L••investment adviserbankpooled vehicle sponsornRAUM $502B
- C••••••• T••••••••• F••• M••••••••• L••••••investment advisern
- C••••••• T••••••••• M••••••••• L••investment advisern
- C••••••• T••••••••• N••••••••• B•••investment advisern
- C••••••• T••••••••• ••• I••••••••• L••••••investment adviserpooled vehicle sponsorn
- C••••••• T••••••••• I••••••••• B••••••• L••••••investment advisern
- Bmo Global Asset Managementinvestment adviserbanknRAUM $90B
- C••••••• T••••••••• R••• E••••• P••••••• L••investment companyn
- C••••••• T••••••••• R•• A• P••investment advisern
- T••••• R•••• C•••••• L••investment advisern
- T••••••••• A•••• M••••••••• L••••••investment advisern
- T••••••••• I••••••••• S••••••• L••••••broker-dealern
- T••••••••• M••••••••• L••••••••• S••investment adviserpooled vehicle sponsorn
- T••••••••• P••••••• L••••••investment advisern
Advisers that list P•••••• I••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 33 to 31Nov 17, 2025 to Mar 26, 2026
- Corporate clients · 9 to 8Nov 17, 2025 to Mar 26, 2026
- Pension plan clients · 10 to 9Nov 17, 2025 to Mar 26, 2026
- Discretionary RAUM · $6.4B to $5.9BNov 17, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $908M to $1.2BNov 17, 2025 to Mar 26, 2026
- Pension RAUM · $1.3B to $1.0BNov 17, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $3.1B to $3.4BNov 17, 2025 to Mar 26, 2026
- RAUM · $7.3B to $7.1BNov 17, 2025 to Mar 26, 2026
- Accounts · 42 to 33Aug 19, 2024 to Mar 26, 2025
- Corporate clients · 15 to 9Aug 19, 2024 to Mar 26, 2025
- Pension plan clients · 11 to 10Aug 19, 2024 to Mar 26, 2025
- Employees · 33 to 35Aug 19, 2024 to Mar 26, 2025
- Financial planning clients · unset to 11-25Aug 19, 2024 to Mar 26, 2025
- HQ state · unset to Aug 19, 2024 to Mar 26, 2025
- Discretionary RAUM · $7.9B to $6.4BAug 19, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $708M to $908MAug 19, 2024 to Mar 26, 2025
- Pension RAUM · $1.9B to $1.3BAug 19, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $3.2B to $3.1BAug 19, 2024 to Mar 26, 2025
- RAUM · $8.6B to $7.3BAug 19, 2024 to Mar 26, 2025
- Accounts · 36 to 42Dec 11, 2023 to Mar 25, 2024
- Advisory employees · 14 to 13Dec 11, 2023 to Mar 25, 2024
- Corporate clients · 9 to 15Dec 11, 2023 to Mar 25, 2024
- Pension plan clients · 14 to 11Dec 11, 2023 to Mar 25, 2024
- Employees · 40 to 33Dec 11, 2023 to Mar 25, 2024
- Discretionary RAUM · $8.1B to $7.9BDec 11, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $546M to $708MDec 11, 2023 to Mar 25, 2024
- Pension RAUM · $1.9B to $1.9BDec 11, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $3.7B to $3.2BDec 11, 2023 to Mar 25, 2024
- RAUM · $8.6B to $8.6BDec 11, 2023 to Mar 25, 2024
- Accounts · 104 to 36Oct 3, 2022 to Mar 21, 2023
- Corporate clients · 15 to 9Oct 3, 2022 to Mar 21, 2023
- Employees · 38 to 40Oct 3, 2022 to Mar 21, 2023
- Discretionary RAUM · $12B to $8.1BOct 3, 2022 to Mar 21, 2023
- Non-discretionary RAUM · $652M to $546MOct 3, 2022 to Mar 21, 2023
- Pension RAUM · $2.6B to $1.9BOct 3, 2022 to Mar 21, 2023
- Pooled vehicle RAUM · $5.0B to $3.7BOct 3, 2022 to Mar 21, 2023
- RAUM · $12B to $8.6BOct 3, 2022 to Mar 21, 2023
- Accounts · 46 to 104Nov 26, 2021 to Jan 28, 2022
- Pooled vehicle clients · 9 to 8Nov 26, 2021 to Jan 28, 2022
- Discretionary RAUM · $11B to $12BNov 26, 2021 to Jan 28, 2022
Signals
13 dated events
- Agnes Nora O'Mahony (Director) no longer on Schedule A of P•••••• I••••••••• L•• (listed 2024-05-22, absent 2024-08-05)Aug 5, 2024 · Control person left · inference
- P•••••• D••••• Mcdonagh (Director) appeared on Schedule A of P•••••• I••••••••• L••Aug 5, 2024 · Control person joined · fact
- Joseph Paul Simons (Executive Director) appeared on Schedule A of P•••••• I••••••••• L••Nov 21, 2023 · Control person joined · fact
- Toby Maude (Chief Financial Officer) no longer on Schedule A of P•••••• I••••••••• L•• (listed 2023-08-23, absent 2023-09-27)Sep 27, 2023 · Control person left · inference
- Drew Newman (Director) no longer on Schedule A of P•••••• I••••••••• L•• (listed 2023-03-21, absent 2023-08-17)Aug 17, 2023 · Control person left · inference
- Scott Cavanagh (Executive Director) appeared on Schedule A of P•••••• I••••••••• L••Aug 17, 2023 · Control person joined · fact
- P•••••• I••••••••• L•• reported RAUM $8.6B, down 30% from $12.2B (2022-10-03 to 2023-03-21)Mar 21, 2023 · RAUM change · derived
- David Logan (Director) appeared on Schedule A of P•••••• I••••••••• L••Feb 2, 2022 · Control person joined · fact
- Stewart Bennett (Director) appeared on Schedule A of P•••••• I••••••••• L••Feb 2, 2022 · Control person joined · fact
- O'Mahony Nora (Director) appeared on Schedule A of P•••••• I••••••••• L••Feb 2, 2022 · Control person joined · fact
- W•••••• D••••• (Director) appeared on Schedule A of P•••••• I••••••••• L••Jan 28, 2022 · Control person joined · fact
- Lynne Kristi Mitchem (Director) no longer on Schedule A of P•••••• I••••••••• L•• (listed 2021-01-29, absent 2021-11-15)Nov 15, 2021 · Control person left · inference
- Lynne Kristi Mitchem (Director) appeared on Schedule A of P•••••• I••••••••• L••Jun 3, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 00-44-200-350-8400reportedpublic record, Form ADV, Jun 30, 2026
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
- Other 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