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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Former SEC-registered adviser

F•••••• F•••••• T•••• • W•••• U• L••••••

Former SEC-registered adviserLondon, CRD 110166SEC 801-71466IAPD
Latest filing May 6, 2015
First filing on the tape Mar 29, 2012 · 8 filings
RAUM
$5.1B
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
24
21 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$5.1B as of Mar 26, 2015
Mar 29, 2012$10B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2015
Apr 1, 20130 then
Employees (5.A)24 as of Mar 26, 2015
Apr 1, 201317 then
Private funds: no history
RAUM -16% over the last fiscal year-21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 6, 2015; 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
$150MderivedRAUM 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
-17%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 assetsreportedItem 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)
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
34reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D• S••••••• M•••• · Chief Financial Officercontrol
        since 11/2011 · owns less than 5%
      • H•••••••• R•••••• T••••• · Chief Executive Officercontrol
        since 04/2013 · owns less than 5%
      • K•••••• D••••• G••••• · Directorcontrol
        since 08/2014 · owns less than 5%
      • L••••••••• D•••••• · Head Of Legalcontrol
        since 07/2010 · owns less than 5%
      • M••••••• R••••• S•• · Chief Compliance Officer, US Regulatory Matterscontrol
        since 10/2010 · owns less than 5%
      • T•••••• A••• · Head Of Compliance Uk
        since 07/2013 · owns less than 5%
      • W•••••••• G•• · Cio & Director
        since 04/2010 · owns less than 5%
      Entity owners
      • B•• P•••••• I••••••••• P••••••• S••• · Shareholder Of Applicant
        direct · owns 75% or more
      • B•••••• G••••••••• · Shareholder
        indirect · owns 25% to 50% of F••••• B••• S••••
      • B•• P•••••• S• · Shareholder
        indirect · owns 50% to 75% of B•• P•••••• Investment Partners Sa
      • B•• P•••••• S• · Shareholder
        indirect · owns 50% to 75% of F••••• B••• S••••
      • F••••• B••• S•••• · Shareholder
        indirect · owns 25% to 50% of B•• P•••••• Investment Partners Sa
      Related persons
      Schedule D 7.A
      Advisers that list F•••••• F•••••• T•••• • W•••• U• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 35 to 34
        Mar 26, 2015 to Mar 31, 2015
      • Discretionary RAUM · $5.1B to $5.1B
        Mar 26, 2015 to Mar 31, 2015
      • RAUM · $5.1B to $5.1B
        Mar 26, 2015 to Mar 31, 2015
      • Accounts · 40 to 35
        Sep 17, 2014 to Mar 26, 2015
      • Advisory employees · 13 to 21
        Sep 17, 2014 to Mar 26, 2015
      • Employees · 18 to 24
        Sep 17, 2014 to Mar 26, 2015
      • Discretionary RAUM · $6.1B to $5.1B
        Sep 17, 2014 to Mar 26, 2015
      • RAUM · $6.1B to $5.1B
        Sep 17, 2014 to Mar 26, 2015
      • Advisory employees · 15 to 13
        Apr 1, 2013 to Mar 28, 2014
      • Employees · 17 to 18
        Apr 1, 2013 to Mar 28, 2014
      • Discretionary RAUM · $9.4B to $6.1B
        Apr 1, 2013 to Mar 28, 2014
      • RAUM · $9.4B to $6.1B
        Apr 1, 2013 to Mar 28, 2014
      • Advisory employees · unset to 15.0
        Mar 29, 2012 to Apr 1, 2013
      • Employees · unset to 17.0
        Mar 29, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Mar 29, 2012 to Apr 1, 2013
      • Discretionary RAUM · $10B to $9.4B
        Mar 29, 2012 to Apr 1, 2013
      • RAUM · $10B to $9.4B
        Mar 29, 2012 to Apr 1, 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