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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SEC-registered adviser
M••••• S•••••• I••••••••• M••••••••• L••••••
Latest filing Jun 11, 2026
First filing on the tape Mar 30, 2012 · 40 filings
SEC status approved since Apr 15, 1986
RAUM
$175B
reported, Item 5.F
Discretionary
87%
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
222
97 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
3
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$175B as of Jun 11, 2026
Mar 30, 2012$42B then
HNW client RAUM$0 as of Jun 11, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 11, 2026
Mar 28, 20130 then
Employees (5.A)222 as of Jun 11, 2026
Mar 28, 2013208 then
Private funds3 as of Jun 11, 2026
Mar 30, 20124 then
RAUM +5.6% over the last fiscal year+4.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 11, 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
- $1.3BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 87%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +5.6%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $992M, 3 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$94B61%
- Investment companies$30B19%
- Insurance companies$7.7B5.0%
- Pension and profit-sharing plans$7.5B4.9%
- Other investment advisers$5.5B3.5%
- Sovereign wealth funds$5.3B3.4%
- State and municipal entities$2.8B1.8%
- Corporations and businesses$1.9B1.2%
- Charitable organizations$47.1M0.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 21reported
- Charitable clients
- 1reported
- Accounts
- 134reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $236M managedreported
- Custody of client assets
- $992M for 3 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.74 institutional_share=0.13 related_bd=true related_bank=true bd_reps=1.0derived
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 |
|---|---|---|---|---|
| M••••• S•••••• I••••••••• M••••••••• I••••••••• S•••• C•• T••••no longer reported | Other Private Fund | $90.9M | 3 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- K••••• F••••• C•••••• · Director & Managing Directorcontrolsince 10/2018 · owns less than 5%
- L•••••••• R••••••• A••••• · Director & Managing Directorcontrolsince 11/2018 · owns less than 5%
- O•••••••• R••••• · Director & Managing Directorcontrolsince 04/2017 · owns less than 5%
- P•••••• Z••• V••••••• W••••••• · Directorcontrolsince 03/2022 · owns less than 5%
- H••••• E•••••• R•••••• · Chief Legal Officersince 05/2023 · owns less than 5%
- J•••••••• B•••••••• J••• · Chief Compliance Officersince 02/2024 · owns less than 5%
Entity owners
- M••••• S•••••• I••••••••• ••• · Direct Owner Of M••••• S•••••• Investment Management Ltd.direct · owns 75% or more
- M••••• S•••••• · Beneficial Ownerindirect · owns 75% or more of M••••• S•••••• I••••••••• H••••••• I••• · public reporting company
- M••••• S•••••• I••••••••• H••••••• I••• · Beneficial Ownerindirect · owns 75% or more of M••••• S•••••• I••••••••• L••••••
- M••••• S•••••• I••••••••• L•••••• · Beneficial Ownerindirect · owns 75% or more of M••••• S•••••• I••••••••• •••
Related persons
Schedule D 7.A
- A•••••• C••••••investment advisernRAUM $29B
- B••••• M••••••••• A•• R•••••••investment advisernRAUM $155B
- C•••••• R••••••• A•• M•••••••••investment advisernRAUM $40B
- E•••••• C•••••• M••••••••• L••investment advisernRAUM $7.4B
- E•••• V•••• A••••••• I••••••••• L•••investment advisernRAUM $36B
- E•••• V•••• M•••••••••investment advisernRAUM $97B
- M••••• S•••••• • C•• I••••••••• P••broker-dealerinvestment advisern
- M••••• S•••••• A•• G• L•investment adviserbankpooled vehicle sponsornRAUM $41B
- M••••• S•••••• F•••• I••••• G• I•••pooled vehicle sponsorn
- M••••• S•••••• I••••••••• M••••••••• •••• L••••••investment adviserpooled vehicle sponsorn
- M••••• S•••••• I••••••••• M••••••••• •••••• C••• L•••investment advisernRAUM $3.5B
- M••••• S•••••• I••••••••• M••••••••• C••••••investment advisernRAUM $11B
- M••••• S•••••• I••••••••• M••••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $702B
- M••••• S•••••• M••• S••••••••• C••• L•••broker-dealern
- M••••• S•••••• P•••••• T•••••• L••••••n
- M••••• S•••••• R••• E••••• A••••••• I•••investment adviserpooled vehicle sponsorn
- M••••• S•••••• S•••• A•••••broker-dealerinvestment advisern
- M• C•••••• P••••••• A•••••• I•••investment adviserpooled vehicle sponsornRAUM $39B
- M••• D••••••• G• I•••pooled vehicle sponsorn
- M••• F••• M••••••••• •••••••• L••••••investment adviserpooled vehicle sponsorn
- M••• G• I•••pooled vehicle sponsorn
- M•••• R••• E••••• A••••••• I•••investment adviserpooled vehicle sponsornRAUM $16B
- P••••••••• P•••••••• A•••••••••investment advisernRAUM $685B
Advisers that list M••••• S•••••• I••••••••• M••••••••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom9 employees
- B•••••, MA1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- private fund count surgeChange between filings · filing Mar 27, 2026private funds (Schedule D 7.B.1) moved from 2.0 to 3.0 (+50.0%) between the annual amendments of 2025-03-27 and 2026-03-27; the peer median change was +5.0% (318 comparable advisers, 93.0th percentile of changes)peers: asset managers, $20B and over (318) · 93% percentile
What changed
consecutive filings, newest first
- Accounts · 135 to 134Aug 7, 2025 to Mar 27, 2026
- Advisory employees · 100 to 97Aug 7, 2025 to Mar 27, 2026
- BD registered reps · 2 to 1Aug 7, 2025 to Mar 27, 2026
- Charity clients · 0 to 1Aug 7, 2025 to Mar 27, 2026
- Pension plan clients · 22 to 21Aug 7, 2025 to Mar 27, 2026
- Pooled vehicle clients · 39 to 42Aug 7, 2025 to Mar 27, 2026
- Assets in custody · $0 to $992MAug 7, 2025 to Mar 27, 2026
- Employees · 197 to 222Aug 7, 2025 to Mar 27, 2026
- Private funds · 2 to 3Aug 7, 2025 to Mar 27, 2026
- Discretionary RAUM · $144B to $152BAug 7, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $21B to $22BAug 7, 2025 to Mar 27, 2026
- Pension RAUM · $6.3B to $7.5BAug 7, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $90B to $94BAug 7, 2025 to Mar 27, 2026
- RAUM · $165B to $175BAug 7, 2025 to Mar 27, 2026
- Wrap assets (manager) · unset to 235883144.0Aug 7, 2025 to Mar 27, 2026
- Wrap assets (sponsor) · unset to 0.0Aug 7, 2025 to Mar 27, 2026
- Financial planning clients · unset to Mar 27, 2025 to Jun 18, 2025
- Accounts · 1,602 to 135Mar 27, 2024 to Mar 27, 2025
- Advisory employees · 95 to 100Mar 27, 2024 to Mar 27, 2025
- Charity clients · 1 to 0Mar 27, 2024 to Mar 27, 2025
- Corporate clients · 17 to 16Mar 27, 2024 to Mar 27, 2025
- Pension plan clients · 29 to 22Mar 27, 2024 to Mar 27, 2025
- Pooled vehicle clients · 50 to 39Mar 27, 2024 to Mar 27, 2025
- Employees · 189 to 197Mar 27, 2024 to Mar 27, 2025
- HQ state · unset to Mar 27, 2024 to Mar 27, 2025
- Private funds · unset to 2Mar 27, 2024 to Mar 27, 2025
- Discretionary RAUM · $147B to $144BMar 27, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $19B to $21BMar 27, 2024 to Mar 27, 2025
- Pension RAUM · $7.3B to $6.3BMar 27, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $91B to $90BMar 27, 2024 to Mar 27, 2025
- RAUM · $166B to $165BMar 27, 2024 to Mar 27, 2025
- Wrap assets (manager) · 587396161.0 to unsetMar 27, 2024 to Mar 27, 2025
- Wrap assets (sponsor) · 0.0 to unsetMar 27, 2024 to Mar 27, 2025
- Accounts · 1,017 to 1,602Mar 7, 2024 to Mar 27, 2024
- Advisory employees · 85 to 95Mar 7, 2024 to Mar 27, 2024
- BD registered reps · 7 to 2Mar 7, 2024 to Mar 27, 2024
- Corporate clients · 18 to 17Mar 7, 2024 to Mar 27, 2024
- Pension plan clients · 31 to 29Mar 7, 2024 to Mar 27, 2024
- Pooled vehicle clients · 59 to 50Mar 7, 2024 to Mar 27, 2024
- Custody of client assets · false to trueMar 7, 2024 to Mar 27, 2024
Signals
11 dated events
- D•••• H•••• (Director And Managing Director) no longer on Schedule A of M••••• S•••••• I••••••••• M••••••••• L•••••• (listed 2023-04-11, absent 2023-05-05)May 5, 2023 · Control person left · inference
- M••••• S•••••• I••••••••• M••••••••• L•••••• reported RAUM $151.6B, down 29% from $212.9B (2022-10-13 to 2023-04-05)Apr 5, 2023 · RAUM change · derived
- V••••••• W••••••• Zoe P••••• (Director) appeared on Schedule A of M••••• S•••••• I••••••••• M••••••••• L••••••Apr 5, 2023 · Control person joined · fact
- M••••• S•••••• I••••••••• M••••••••• L•••••• reported RAUM $201.3B, up 30% from $154.7B (2020-10-07 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- M••••• S•••••• I••••••••• M••••••••• L•••••• reported RAUM $154.7B, up 142% from $63.9B (2019-07-12 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- D•••• H•••• (Director And Managing Director) appeared on Schedule A of M••••• S•••••• I••••••••• M••••••••• L••••••Mar 30, 2020 · Control person joined · fact
- Paul Price (Director & Managing Director) no longer on Schedule A of M••••• S•••••• I••••••••• M••••••••• L•••••• (listed 2019-07-12, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- C•••••• F•••• K•••• (Director & Managing Director) appeared on Schedule A of M••••• S•••••• I••••••••• M••••••••• L••••••Mar 29, 2019 · Control person joined · fact
- A••••• R•••••• L••••••• (Director & Managing Director) appeared on Schedule A of M••••• S•••••• I••••••••• M••••••••• L••••••Mar 29, 2019 · Control person joined · fact
- A••••• Onslow (Director & Managing Director) no longer on Schedule A of M••••• S•••••• I••••••••• M••••••••• L•••••• (listed 2018-03-29, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- M••••• S•••••• I••••••••• M••••••••• L•••••• reported RAUM $73.8B, up 33% from $55.6B (2017-09-29 to 2018-02-15)Feb 15, 2018 · RAUM change · derived
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
- Principal office phone
- 44-20-7425-8000reportedpublic record, Form ADV, Jun 11, 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
- Asset manager (funds and pooled vehicles)deriveda 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