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••••••• I••••••••• P••••••• L••••••
Latest filing Apr 1, 2026
First filing on the tape Mar 30, 2012 · 23 filings
SEC status approved since Nov 30, 1990
RAUM
$49B
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
133
43 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
27
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$49B as of Apr 1, 2026
Mar 30, 2012$66B then
HNW client RAUM$102M as of Mar 29, 2022
Mar 28, 2018$71.9M then
State-registered IARs (5.B.3)0 as of Apr 1, 2026
Mar 15, 20130 then
Employees (5.A)133 as of Apr 1, 2026
Mar 15, 2013140 then
Private funds27 as of Apr 1, 2026
Mar 30, 201219 then
RAUM +19% over the last fiscal year+4.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $418MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 61%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
- +19%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$25B50%
- Investment companies$9.3B19%
- Pooled investment vehicles$7.9B16%
- Pension and profit-sharing plans$5.0B10%
- Other investment advisers$1.7B3.4%
- Corporations and businesses$326M0.7%
- Charitable organizations$310M0.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 16reported
- Charitable clients
- 6reported
- Accounts
- 118reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $1.6B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.38 institutional_share=0.61 related_bd=false related_bank=false 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
39 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- D••••••• E••••••••• A••• · Chief Investment Officer International Equities / Director / Deputy Chief Executive Officercontrolsince 07/2009 · owns less than 5%
- G•••••••• C••••• A••••• · Chief Executive Officer / Group Chief Investment Officer / Directorcontrolsince 11/2007 · owns less than 5%
- K•••••••• O••••• · Chief Investment Officer, S•••• Cap Equities / Directorcontrolsince 03/2022 · owns less than 5%
- L••••••• E•••••• G••••• · Chief Compliance Officercontrolsince 03/2018 · owns less than 5%
- M••••••••• J••••• C•••••• · General Counsel/Company Secretarycontrolsince 06/2017 · owns less than 5%
- M•••••• A•••• · Chief Investment Officer, E••••••• Mkts/Directorcontrolsince 03/2022 · owns less than 5%
- S•••••••• W•••••• D•••• · Chief Operating Officer / Directorcontrolsince 02/2017 · owns less than 5%
Entity owners
- M••••••• I••••••••• P••••••• H••••••• L•••••• · Shareholderdirect · owns 75% or more
- A••••••• V•••• I••••••••• P••••••••• L••• · Shareholderindirect · owns 75% or more of M••••••• I••••••••• P••••••• H••••••• L••••••
- A••• L•••••• · General Partnerindirect · owns F of A••••••• V•••• I••••••••• P••••••••• L•••
Related persons
Schedule D 7.A
- M••••••• I••••••••• G•••• •••••• I•••pooled vehicle sponsorn
- M••••••• I••••••••• P••••••• •••••• I•••investment adviserpooled vehicle sponsorn
- M••••••• I••••••••• P••••••• S•••••••• P•• L••••••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 129 to 118Mar 27, 2025 to Mar 26, 2026
- Advisory employees · 47 to 43Mar 27, 2025 to Mar 26, 2026
- Charity clients · 7 to 6Mar 27, 2025 to Mar 26, 2026
- Corporate clients · 5 to 11Mar 27, 2025 to Mar 26, 2026
- Pension plan clients · 26 to 16Mar 27, 2025 to Mar 26, 2026
- Employees · 137 to 133Mar 27, 2025 to Mar 26, 2026
- Discretionary RAUM · $41B to $49BMar 27, 2025 to Mar 26, 2026
- Pension RAUM · $5.1B to $5.0BMar 27, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $7.3B to $7.9BMar 27, 2025 to Mar 26, 2026
- RAUM · $41B to $49BMar 27, 2025 to Mar 26, 2026
- Wrap assets (manager) · $1.3B to $1.6BMar 27, 2025 to Mar 26, 2026
- Accounts · 124 to 129Mar 28, 2024 to Mar 27, 2025
- Advisory employees · 49 to 47Mar 28, 2024 to Mar 27, 2025
- Charity clients · 6 to 7Mar 28, 2024 to Mar 27, 2025
- Pension plan clients · 25 to 26Mar 28, 2024 to Mar 27, 2025
- Pooled vehicle clients · 39 to 41Mar 28, 2024 to Mar 27, 2025
- Employees · 146 to 137Mar 28, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Mar 28, 2024 to Mar 27, 2025
- HQ state · unset to Mar 28, 2024 to Mar 27, 2025
- Discretionary RAUM · $45B to $41BMar 28, 2024 to Mar 27, 2025
- Pension RAUM · $4.6B to $5.1BMar 28, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $8.9B to $7.3BMar 28, 2024 to Mar 27, 2025
- RAUM · $45B to $41BMar 28, 2024 to Mar 27, 2025
- Wrap assets (manager) · $471M to $1.3BMar 28, 2024 to Mar 27, 2025
- Accounts · 133 to 124Jul 4, 2023 to Mar 28, 2024
- Advisory employees · 50 to 49Jul 4, 2023 to Mar 28, 2024
- Corporate clients · 32 to 5Jul 4, 2023 to Mar 28, 2024
- Pension plan clients · unset to 25.0Jul 4, 2023 to Mar 28, 2024
- Pooled vehicle clients · 42 to 39Jul 4, 2023 to Mar 28, 2024
- Employees · 156 to 146Jul 4, 2023 to Mar 28, 2024
- Private funds · 28 to 27Jul 4, 2023 to Mar 28, 2024
- Discretionary RAUM · $43B to $45BJul 4, 2023 to Mar 28, 2024
- Pension RAUM · $88.1M to $4.6BJul 4, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $9.5B to $8.9BJul 4, 2023 to Mar 28, 2024
- RAUM · $43B to $45BJul 4, 2023 to Mar 28, 2024
- Wrap assets (manager) · unset to 471232409.0Jul 4, 2023 to Mar 28, 2024
- Wrap assets (sponsor) · unset to 0.0Jul 4, 2023 to Mar 28, 2024
- Accounts · 148 to 133Jun 22, 2022 to Mar 31, 2023
- Corporate clients · 36 to 32Jun 22, 2022 to Mar 31, 2023
- Pooled vehicle clients · 43 to 42Jun 22, 2022 to Mar 31, 2023
Signals
4 dated events
- G••••• David Tilles (Executive Chairman) no longer on Schedule A of M••••••• I••••••••• P••••••• L•••••• (listed 2022-06-22, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- A•••• M••••• (Chief Investment Officer, Emerging Mkts/Director) appeared on Schedule A of M••••••• I••••••••• P••••••• L••••••Mar 31, 2023 · Control person joined · fact
- Ormala Krishnan (Chief Investment Officer, Small Cap Equities / Director) appeared on Schedule A of M••••••• I••••••••• P••••••• L••••••Mar 31, 2023 · Control person joined · fact
- Owen Hamish Parker (Director) no longer on Schedule A of M••••••• I••••••••• P••••••• L•••••• (listed 2021-03-29, absent 2022-03-29)Mar 29, 2022 · Control person left · inference
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
- Firm profile
- linkedin.com/company/rothko-investment-strategiesreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- linkedin.com/company/mondrian-investment-partners-limitedreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••://R•••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 011-44-207-477-7000reportedpublic record, Form ADV, Apr 1, 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