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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
Former SEC-registered adviser
I•••• I••••••••• S••••••• L••••••
Latest filing Oct 9, 2014
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$109B
reported, Item 5.F
Discretionary
82%
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
388
98 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$109B as of Mar 28, 2014
Mar 30, 2012$118B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Mar 27, 20130 then
Employees (5.A)388 as of Mar 28, 2014
Mar 27, 2013402 then
Private funds8 as of Mar 27, 2013
Mar 30, 201211 then
RAUM -1.8% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 9, 2014; 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
- $184MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 82%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.8%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 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
- 590reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
Private funds
13 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•••• U• P••••••• F•••no longer reported | Other Private Fund | $1.5B | 1,322 | Mar 27, 2013 |
| I•••• A••••••• E••••••• I••••• F•••no longer reported | Other Private Fund | $523M | 1,284 | Mar 30, 2012 |
| I•••• C•••••••• B••• F•••no longer reported | Other Private Fund | $454M | 14,910 | Mar 30, 2012 |
| I•••• M•••••• P•••••••• F•••no longer reported | Other Private Fund | $296M | 21,518 | Mar 30, 2012 |
| I•••• B••••••• G••••• F•••no longer reported | Other Private Fund | $224M | 8,222 | Mar 30, 2012 |
| I•••• A••••••• G••••• F•••no longer reported | Other Private Fund | $150M | 1,596 | Mar 30, 2012 |
| I•••• S•••••• C•••••••• F•••no longer reported | Other Private Fund | $137M | 2,202 | Mar 30, 2012 |
| I•••• U• E••••• I••••• F•••no longer reported | Other Private Fund | $134M | 8,665 | Mar 30, 2012 |
| I•••• P•••••• G••••• F•••no longer reported | Other Private Fund | $101M | 884 | Mar 30, 2012 |
| I•••• E••••••• G••••• F•••no longer reported | Other Private Fund | $83.1M | 1,579 | Mar 27, 2013 |
| I•••• G••••• G••••• F•••no longer reported | Other Private Fund | $54.1M | 1,065 | Mar 30, 2012 |
| I•••• S••••• I••••••••• V•••• F••• L•••no longer reported | Hedge Fund | $1,000 | 1 | Mar 30, 2012 |
| I•••• S••••• I••••••••• V•••• T••••no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••• J••••• B•••• · Directorcontrolsince 07/2014 · owns less than 5%
- B••••••• R•••••• G••• · General Counsel & Chief Risk Officercontrolsince 01/2011 · owns less than 5%
- C••••• C••••• M••••• · Directorcontrolsince 07/2014 · owns less than 5%
- F••••••••• C••••••••• J•••• · Director & Chief Investment Officercontrolsince 01/2010 · owns less than 5%
- P••••• R•••••••• L•••• · Directorcontrolsince 07/2014 · owns less than 5%
- S•••••• N•••••• K•••• · Chief Executive Officercontrolsince 07/2014 · owns less than 5%
- W••••••• C••••• R•••••• · Directorcontrolsince 07/2014 · owns less than 5%
- H•••••• G••••• T••••• · Chief Financial Officersince 09/2012 · owns less than 5%
Entity owners
- I•••• A•••• M••••••••• L•••••• · Holding Companydirect · owns 75% or more
- S••••••• L••• I••••••••• ••••••••• L•••••• · 100% Equity Ownerindirect · owns 75% or more of I•••• I••••••••• S••••••• L••••••
- S••••••• L••• P•• · 100% Equity Ownerindirect · owns 75% or more of I•••• I••••••••• S••••••• L••••••
Related persons
Schedule D 7.A
- I•••• F••• M••••••• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom
What changed
consecutive filings, newest first
- Accounts · 509 to 590Mar 27, 2013 to Mar 28, 2014
- Advisory employees · 73 to 98Mar 27, 2013 to Mar 28, 2014
- Employees · 402 to 388Mar 27, 2013 to Mar 28, 2014
- Private funds · 8 to unsetMar 27, 2013 to Mar 28, 2014
- Discretionary RAUM · $95B to $90BMar 27, 2013 to Mar 28, 2014
- Non-discretionary RAUM · $16B to $19BMar 27, 2013 to Mar 28, 2014
- RAUM · $111B to $109BMar 27, 2013 to Mar 28, 2014
- Accounts · 545 to 509Nov 29, 2012 to Mar 27, 2013
- Advisory employees · 55 to 73Nov 29, 2012 to Mar 27, 2013
- Employees · 560 to 402Nov 29, 2012 to Mar 27, 2013
- Private funds · 11 to 8Nov 29, 2012 to Mar 27, 2013
- Discretionary RAUM · $110B to $95BNov 29, 2012 to Mar 27, 2013
- Non-discretionary RAUM · $7.6B to $16BNov 29, 2012 to Mar 27, 2013
- RAUM · $118B to $111BNov 29, 2012 to Mar 27, 2013
- Related bank · true to falseNov 29, 2012 to Mar 27, 2013
- Advisory employees · unset to 55.0Mar 30, 2012 to Nov 29, 2012
- Employees · unset to 560.0Mar 30, 2012 to Nov 29, 2012
- State-registered IARs · unset to 0.0Mar 30, 2012 to Nov 29, 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