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

Lgm Investments

Former SEC-registered adviserLondon, CRD 107494SEC 801-40889IAPD
Legal name Lloyd George Investment Management (Bermuda) Ltd
Latest filing Jan 27, 2017
First filing on the tape Mar 30, 2012 · 24 filings
RAUM
$27.0M
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
17
14 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$27.0M as of Jan 27, 2017
Mar 30, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 27, 2017
Jan 28, 20130 then
Employees (5.A)17 as of Jan 27, 2017
Jan 28, 201370 then
Private funds2 as of Jan 28, 2015
Mar 30, 20125 then
RAUM -11% over the last fiscal year-60% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jan 27, 2017; 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
$13.5MderivedRAUM 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
-11%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 vehiclesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
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
2reported
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
      Every departureEvery arrival
      Private funds
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Lg Asian Natural Resources Fundno longer reportedOther Private Fund$35.0M20Mar 30, 2012
      Lg Asian Smaller Companies Fund Limitedno longer reportedOther Private Fund$18.1M25Mar 30, 2012
      Lg India Fund Limitedno longer reportedOther Private Fund$13.7M31Mar 30, 2012
      Lg Antenna Fund Limitedno longer reportedOther Private Fund$10.4M25Mar 30, 2012
      Lg Asian Plus Limitedno longer reportedOther Private Fund$5.6M45Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Alexander James Bodi · Alternate Directorcontrol
        since 01/2016 · owns less than 5%
      • Kate Janita Burke · Alternate Directorcontrol
        since 01/2016 · owns less than 5%
      • Christina Sarah Demerling · Directorcontrol
        since 01/2016 · owns less than 5%
      • Ruth Alison Dyer-Fagundo · Directorcontrol
        since 01/2016 · owns less than 5%
      • Joseph Scott Matthews · Directorcontrol
        since 10/2013 · owns less than 5%
      • Toby Maude · Cfocontrol
        since 03/2015 · owns less than 5%
      • David Nigel Parry · Chief Compliance Officercontrol
        since 07/2015 · owns less than 5%
      • Charles Richard Wilson · Chief Executive Officer & Directorcontrol
        since 11/2014 · owns less than 5%
      • Merritt Barry Cooper · Director
        since 04/2011 · owns less than 5%
      Entity owners
      • Lgm (Bermuda) Limited · Shareholder
        direct · owns 75% or more
      • Bank Of Montreal · Sole Shareholder Of Lgm (Bermuda) Limited
        indirect · owns 75% or more of Lgm (Bermuda) Limited · public reporting company
      Related persons
      Schedule D 7.A
      • Bank Of Montreal
        y
      • Bmo Asset Management Corp.
        investment adviserbankpooled vehicle sponsornRAUM $6.2B
      • Bmo Asset Management Inc
        investment adviserbankpooled vehicle sponsorn
      • Bmo Capital Markets Corp.
        broker-dealerinvestment advisernRAUM $1.2B
      • Bmo Capital Markets Limited
        broker-dealerinvestment advisern
      • Lgm Investments
        investment adviserpooled vehicle sponsornRAUM $1.0B
      • Bmo Global Tax Advantage Funds, Inc.
        pooled vehicle sponsorn
      • Bmo Harris Bank N.A.
        n
      • Bmo Harris Financial Advisors, Inc
        broker-dealerinvestment adviserreal estatenRAUM $5.1B
      • Bmo Investment Distributors, LLC
        broker-dealern
      • Bmo Investments Inc.
        pooled vehicle sponsorn
      • Bmo Nesbitt Burns Securities Ltd.
        investment advisernRAUM $1.2B
      • Bmo Nesbitt Burns Securities Ltd.
        broker-dealerpooled vehicle sponsorn
      • Bmo Nesbitt Burns, Inc
        broker-dealerpooled vehicle sponsorn
      • Bmo Private Investment Counsel Inc.
        investment advisernRAUM $40B
      • Bmo Rep Asset Management Plc
        investment advisern
      • Bmo Trust Company
        n
      • Bmo Family Office, LLC
        investment adviserbankpooled vehicle sponsornRAUM $10.0B
      • F&C Asset Managers Ltd
        investment advisern
      • F&C Aurora (Gp) Limited
        pooled vehicle sponsorn
      • F&C Climate Opportunity Partners (Gp) Limited
        pooled vehicle sponsorn
      • F&C European Capital Partners (Gp) Limited
        pooled vehicle sponsorn
      • F&C Fund Management Limited
        investment advisern
      • F&C Investment Business Limited
        investment advisern
      • Bmo Global Asset Management
        investment advisernRAUM $90B
      • F&C Managers Limited
        investment advisern
      • F&C Netherlands B.V.
        investment advisern
      • F&C Portugal, Gestao De Patrimonios, S.A.
        investment advisern
      • Fosca Managers Sarl
        investment advisern
      • Columbia Threadneedle (Em) Investments Limited
        investment adviserpooled vehicle sponsornRAUM $2.9B
      Advisers that list Lgm Investments as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 2
        May 6, 2016 to Jan 27, 2017
      • Advisory employees · 11 to 14
        May 6, 2016 to Jan 27, 2017
      • Discretionary RAUM · $30.2M to $27.0M
        May 6, 2016 to Jan 27, 2017
      • RAUM · $30.2M to $27.0M
        May 6, 2016 to Jan 27, 2017
      • Accounts · 10 to 3
        Nov 10, 2015 to Jan 29, 2016
      • Advisory employees · 0 to 11
        Nov 10, 2015 to Jan 29, 2016
      • Employees · 0 to 17
        Nov 10, 2015 to Jan 29, 2016
      • HQ city · HONG KONG to LONDON
        Nov 10, 2015 to Jan 29, 2016
      • Private funds · 2 to unset
        Nov 10, 2015 to Jan 29, 2016
      • Discretionary RAUM · $216M to $30.2M
        Nov 10, 2015 to Jan 29, 2016
      • Non-discretionary RAUM · $84.9M to $0
        Nov 10, 2015 to Jan 29, 2016
      • RAUM · $300M to $30.2M
        Nov 10, 2015 to Jan 29, 2016
      • Employees · 63 to 0
        Dec 15, 2014 to Jan 28, 2015
      • Accounts · 14 to 10
        Dec 15, 2014 to Jan 28, 2015
      • Advisory employees · 25 to 0
        Dec 15, 2014 to Jan 28, 2015
      • Discretionary RAUM · $336M to $216M
        Dec 15, 2014 to Jan 28, 2015
      • Non-discretionary RAUM · $91.6M to $84.9M
        Dec 15, 2014 to Jan 28, 2015
      • RAUM · $427M to $300M
        Dec 15, 2014 to Jan 28, 2015
      • Business name · LLOYD GEORGE INVESTMENT MANAGEMENT (BERMUDA) LTD to LGM INVESTMENTS
        May 29, 2014 to Jul 1, 2014
      • Accounts · 25 to 14
        Oct 28, 2013 to Jan 29, 2014
      • Advisory employees · 27 to 25
        Oct 28, 2013 to Jan 29, 2014
      • Employees · 70 to 63
        Oct 28, 2013 to Jan 29, 2014
      • Legal name · LLOYD GEORGE INVESTMENT MANAGEMENT BERMUDA LTD to LLOYD GEORGE INVESTMENT MANAGEMENT (BERMUDA) LTD
        Oct 28, 2013 to Jan 29, 2014
      • Private funds · 3 to 2
        Oct 28, 2013 to Jan 29, 2014
      • Discretionary RAUM · $1.2B to $336M
        Oct 28, 2013 to Jan 29, 2014
      • Non-discretionary RAUM · $0 to $91.6M
        Oct 28, 2013 to Jan 29, 2014
      • RAUM · $1.2B to $427M
        Oct 28, 2013 to Jan 29, 2014
      • Accounts · 27 to 25
        Sep 25, 2012 to Jan 28, 2013
      • Advisory employees · unset to 27.0
        Sep 25, 2012 to Jan 28, 2013
      • Employees · unset to 70.0
        Sep 25, 2012 to Jan 28, 2013
      • State-registered IARs · unset to 0.0
        Sep 25, 2012 to Jan 28, 2013
      • Private funds · 5 to 3
        Sep 25, 2012 to Jan 28, 2013
      • Discretionary RAUM · $1.3B to $1.2B
        Sep 25, 2012 to Jan 28, 2013
      • RAUM · $1.3B to $1.2B
        Sep 25, 2012 to Jan 28, 2013
      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