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

A•••• A•••••••• L••••••

Former SEC-registered adviserSydney Nsw, CRD 110753SEC 801-25821IAPD
Latest filing Feb 22, 2023
First filing on the tape Dec 20, 2011 · 41 filings
RAUM
$2.4B
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
50
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$2.4B as of Mar 30, 2022
Dec 20, 2011$18B then
HNW client RAUM: $59.3M
State-registered IARs (5.B.3)0 as of Mar 30, 2022
Dec 20, 20110 then
Employees (5.A)50 as of Mar 30, 2022
Dec 19, 201271 then
Private funds: no history
RAUM -49% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 22, 2023; 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
$104MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
8.8%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
-49%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 vehicles, portfolio management for investment companiesreportedItem 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)
  • 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)
  • an independent public accountant performs a surprise examination (9.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.0B85%
  • State and municipal entities$211M8.8%
  • Investment companies$156M6.6%
  • Other investment advisers$1.5M0.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
23reported
Financial planning clients
n/areported
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
      • B••••••••• R••• · Chief Executive Officer - A••• P••••••control
        since 04/2021 · owns less than 5%
      • J•••••• B•••• · Director And Managing Director A••••••••control
        since 04/2008 · owns less than 5%
      • K•••••••• A•••••• D••••• · Director And Head Of Operational Oversight - A••••••••control
        since 02/2022 · owns less than 5%
      • P•••••• R•••••• A••••• · Director And Chief Compliance Officercontrol
        since 12/2019 · owns less than 5%
      Entity owners
      • A•••• A••• L•••••• · Parent
        direct · owns 75% or more
      • A•••• P•• · Shareholder
        direct · owns 75% or more
      • A•••• A••• L•••••• · Shareholder
        indirect · owns 75% or more of A•••• A••• L••••••
      • A•••• H••••••• L•••••• · Shareholder
        indirect · owns 75% or more of A•••• A••• L••••••
      • A•••• P•• · Indirect Owner
        indirect · owns 75% or more of A•••• H••••••• L••••••
      Related persons
      Schedule D 7.A
      • A••••••• A•• L••
        pooled vehicle sponsorn
      • A••••••• A••• I• ••••••• P••••••• S•••
        pooled vehicle sponsorn
      • A••••••• A•••• I••••••••• L••••••
        investment advisern
      • A••••••• A•••• M••••••••• ••••••••• L••••••
        investment advisery
      • A••••••• A•••• M••••••••• D•••••• A••
        investment advisern
      • A••••••• A•••• M••••••••• F•••••• O•
        investment advisern
      • A••••••• A•••• M••••••••• G•••••• S••
        investment advisern
      • A••••••• A•••• M••••••••• H•••••• A••••••••• Z••
        investment advisern
      • A••••••• A•••• M••••••••• L••• A•• P••••••• L••••••
        real estaten
      • A••••••• A•••• M••••••••• N••••• A•
        investment advisern
      • A••••••• A•••• M••••••••• O••••••••• A•
        insurancen
      • A••••••• A•••• M••••••••• S••••••• L••••••
        investment advisern
      • A••••••• A•••• M••••••••• U• G• C•••••• L••
        pooled vehicle sponsorn
      • A••••••• A•••• M••••• E••• L••••••
        broker-dealern
      • Highvista P•••••• Capital Management LLC
        investment advisernRAUM $6.5B
      • A••••••• C•••••• M••••••• G• L••
        pooled vehicle sponsorn
      • A••••••• C••••• A••••••••• I••
        n
      • A••••••• D• B••••• G••••• D• R••••••• L•••
        investment advisern
      • A••••••• E••••• • R•••••••• C•••••• I•• L••
        pooled vehicle sponsorn
      • A••••••• E••••• • R•••••••• C•••••• V• L••
        pooled vehicle sponsorn
      • A••••••• E••••••• B••••••• P••••••• F••• S••••
        pooled vehicle sponsorn
      • A••••••• E••••••• I••••••••• C•••• G• L••••••
        pooled vehicle sponsorn
      • A••••••• E••••••• I••••••••• G• I• L••••••
        pooled vehicle sponsorn
      • A••••••• E••••••• I••••••••• G• I•• L••••••
        pooled vehicle sponsorn
      • A••••••• E••••••• I••••••••• G• L••••••
        pooled vehicle sponsorn
      • A••••••• F••••• S•
        n
      • A••••••• F••• D••••••••• L••
        broker-dealern
      • A••••••• F••• M••••••••• I• O•
        pooled vehicle sponsorn
      • A••••••• F••• M••••••••• N••••• A••
        investment advisern
      • A••••••• F••• M••••••••• O•
        pooled vehicle sponsorn
      Advisers that list A•••• A•••••••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 30 to 23
        Jan 31, 2022 to Mar 30, 2022
      • Advisory employees · 10 to 11
        Jan 31, 2022 to Mar 30, 2022
      • Corporate clients · 1.0 to unset
        Jan 31, 2022 to Mar 30, 2022
      • Pooled vehicle clients · unset to 20.0
        Jan 31, 2022 to Mar 30, 2022
      • Discretionary RAUM · $4.5B to $2.4B
        Jan 31, 2022 to Mar 30, 2022
      • Non-discretionary RAUM · $138M to $0
        Jan 31, 2022 to Mar 30, 2022
      • Pooled vehicle RAUM · unset to 2013241195.0
        Jan 31, 2022 to Mar 30, 2022
      • RAUM · $4.7B to $2.4B
        Jan 31, 2022 to Mar 30, 2022
      • Business name · A••••••• S••••••• I••••••••• A•••••••• L•••••• to A•••• A•••••••• L••••••
        Oct 6, 2021 to Jan 31, 2022
      • Legal name · A••••••• S••••••• I••••••••• A•••••••• L•••••• to A•••• A•••••••• L••••••
        Sep 27, 2021 to Oct 6, 2021
      • Accounts · 64 to 30
        Mar 30, 2020 to Mar 30, 2021
      • Advisory employees · 17 to 10
        Mar 30, 2020 to Mar 30, 2021
      • Corporate clients · unset to 1.0
        Mar 30, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 23.0 to unset
        Mar 30, 2020 to Mar 30, 2021
      • Employees · 63 to 50
        Mar 30, 2020 to Mar 30, 2021
      • Other offices · 1 to 0
        Mar 30, 2020 to Mar 30, 2021
      • Discretionary RAUM · $6.7B to $4.5B
        Mar 30, 2020 to Mar 30, 2021
      • Non-discretionary RAUM · $37.5M to $138M
        Mar 30, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · 2566682812.0 to unset
        Mar 30, 2020 to Mar 30, 2021
      • RAUM · $6.7B to $4.7B
        Mar 30, 2020 to Mar 30, 2021
      • Accounts · 44 to 64
        Dec 16, 2019 to Mar 30, 2020
      • Advisory employees · 16 to 17
        Dec 16, 2019 to Mar 30, 2020
      • Corporate clients · 2.0 to unset
        Dec 16, 2019 to Mar 30, 2020
      • HNW clients · 2.0 to unset
        Dec 16, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 1 to 23
        Dec 16, 2019 to Mar 30, 2020
      • Assets in custody · $6.3B to $0
        Dec 16, 2019 to Mar 30, 2020
      • Custody of client assets · true to false
        Dec 16, 2019 to Mar 30, 2020
      • Employees · 67 to 63
        Dec 16, 2019 to Mar 30, 2020
      • Discretionary RAUM · $5.1B to $6.7B
        Dec 16, 2019 to Mar 30, 2020
      • HNW RAUM · 59265225.0 to unset
        Dec 16, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $0 to $37.5M
        Dec 16, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $22.0M to $2.6B
        Dec 16, 2019 to Mar 30, 2020
      • RAUM · $5.1B to $6.7B
        Dec 16, 2019 to Mar 30, 2020
      • Other offices · 2 to 1
        Dec 5, 2019 to Dec 16, 2019
      • Accounts · 49 to 44
        Feb 28, 2019 to Mar 28, 2019
      • Advisory employees · 19 to 16
        Feb 28, 2019 to Mar 28, 2019
      • Corporate clients · unset to 2.0
        Feb 28, 2019 to Mar 28, 2019
      • HNW clients · unset to 2.0
        Feb 28, 2019 to Mar 28, 2019
      • Pooled vehicle clients · 16 to 1
        Feb 28, 2019 to Mar 28, 2019
      • Assets in custody · unset to 6337945110.0
        Feb 28, 2019 to Mar 28, 2019
      Signals
      12 dated events
      • Michelle Lopez (Director And Head Of Equities Australia) no longer on Schedule A of A•••• A•••••••• L•••••• (listed 2022-08-15, absent 2022-11-30)
        Nov 30, 2022 · c•••••• person left · inference
      • A•••• A•••••••• L•••••• reported RAUM $2.4B, down 49% from $4.7B (2022-01-31 to 2022-03-30)
        Mar 30, 2022 · RAUM change · derived
      • Duncan Andrew Kophamel (Director And Head Of Operational Oversight - Australia) appeared on Schedule A of A•••• A•••••••• L••••••
        Jan 31, 2022 · c•••••• person joined · fact
      • Hugh Young (Director - Regional Managing Director) no longer on Schedule A of A•••• A•••••••• L•••••• (listed 2021-03-30, absent 2021-04-19)
        Apr 19, 2021 · c•••••• person left · inference
      • R••• B•••••••• (Chief Executive Officer - Asia Pacific) appeared on Schedule A of A•••• A•••••••• L••••••
        Apr 19, 2021 · c•••••• person joined · fact
      • A•••• A•••••••• L•••••• reported RAUM $4.7B, down 31% from $6.7B (2020-03-30 to 2021-03-30)
        Mar 30, 2021 · RAUM change · derived
      • A•••• A•••••••• L•••••• reported RAUM $6.7B, up 33% from $5.1B (2019-12-16 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • Gil Orski (Director And Chief Operating Officer) no longer on Schedule A of A•••• A•••••••• L•••••• (listed 2019-12-05, absent 2019-12-16)
        Dec 16, 2019 · c•••••• person left · inference
      • Michael Stuart James (Director And Head Of Distribution Australia) no longer on Schedule A of A•••• A•••••••• L•••••• (listed 2019-12-05, absent 2019-12-16)
        Dec 16, 2019 · c•••••• person left · inference
      • Samuel Robert Penaloza (Director And Head Of Equities Australia) no longer on Schedule A of A•••• A•••••••• L•••••• (listed 2019-03-28, absent 2019-06-10)
        Jun 10, 2019 · c•••••• person left · inference
      • George Nicholas Bishop (Director And Head Of Fixed Income Australia) no longer on Schedule A of A•••• A•••••••• L•••••• (listed 2018-09-05, absent 2019-02-28)
        Feb 28, 2019 · c•••••• person left · inference
      • A•••• A•••••••• L•••••• reported RAUM $6.2B, down 36% from $9.8B (2018-01-31 to 2018-03-28)
        Mar 28, 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.
      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