DFX Intelligence

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C••••••• C•••••• M••••••••• L••••••

Former SEC-registered adviserFormer SEC adviser· London

Former SEC-registered adviser, based in London, reporting $23B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2014-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Last reported RAUM: $23B
RAUM change, 1 year: +33%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2014-03-27 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 27 Mar 2014, RAUM $17.6B to $23.5B (+33.2%) on the Form ADV filed 27 Mar 2014.

Every filed figure, and the identifiersCRD 110797 · SEC 801-58187 · 4 filingsShow

CRD 110797SEC 801-58187First filing on the tape Mar 29, 2012, latest Mar 27, 2014IAPD

RAUM

$23B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

103

94 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

reported on Schedule D

History

4 filings and snapshots on the tape

RAUM +33% over the last fiscal year · the tape starts Mar 29, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$23B as of Mar 27, 2014

Mar 29, 2012$16B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 27, 2014

Mar 27, 20130 then

Employees (5.A)103 as of Mar 27, 2014

Mar 27, 2013104 then

Private funds: no history

RAUM +33% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 27, 2014; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $2.2MderivedRAUM 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: unknownderived6 offices incl. principal (1.F.5)
RAUM growth, one year: +33%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, fixed fees, performance-based, commissionsreportedItem 5.E
Advisory activities: financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, publications, educational seminarsreportedItem 5.G
Custody: $22B, 10,512 clientsreportedItem 9.A
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

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)
has custody of client cash or bank accounts (9.A.1.a)
has custody of client securities (9.A.1.b)
an independent public accountant performs a surprise examination (9.C.1)
the adviser acts as qualified custodian (9.D.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow

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: 10,572reported
Financial planning clients: 251-500reported
Wrap fee programs: noreported
Custody of client assets: $22B for 10,512 clientsreported
Compensation: % of AUM, fixed, performance, commissionsreported
Class basis: absent from the latest SEC rosterderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

A•••••• D••••• J••• · Officer-Managercontrol
since 12/2006 · owns less than 5%
D•••• M•••••••• · Officer - Managercontrol
since 11/2001 · owns less than 5%
H•••••••• P•••• · Directorcontrol
since 07/2013 · owns less than 5%
H•••••• J•••••• V••••• · Officer - Managercontrol
since 12/2009 · owns less than 5%
J••••••• R••••••• S•••••• · Directorcontrol
since 01/2009 · owns less than 5%

All 9 control persons

M••••••••• P•••••• S•••••• A••••• · Directorcontrol
since 07/2013 · owns less than 5%
R•••• A•••••• J••• S•••••• · Directorcontrol
since 11/2001 · owns less than 5%
S•••• C•••••• · Directorcontrol
since 05/2007 · owns less than 5%
T•••••••• J•••••• W•••••• J••• · Directorcontrol
since 06/2005 · owns less than 5%

Entity owners

C•• H••••••• L•••••• · Parent Company
direct · owns 75% or more
S••••••• P•• · Shareholder
indirect · owns 75% or more of C•• H••••••• L••••••

Related persons

Schedule D 7.A

C••••••• C•••••• M••••••••• A••• L••••••
investment advisery
C••••••• C•••••• M••••••••• J••••• L••••••
investment advisery

Offices

Schedule D 1.F, the 25 largest

Central, Hong Kong
Chester, United Kingdom
Edinburgh, United Kingdom
Oxford, United Kingdom
St Helier, Jersey

What changed

consecutive filings, newest first

Accounts · 9,988 to 10,572
Aug 7, 2013 to Mar 27, 2014
Advisory employees · 90 to 94
Aug 7, 2013 to Mar 27, 2014
Assets in custody · $16B to $22B
Aug 7, 2013 to Mar 27, 2014
Employees · 104 to 103
Aug 7, 2013 to Mar 27, 2014
Discretionary RAUM · $18B to $23B
Aug 7, 2013 to Mar 27, 2014

Full history · 15 changes

Non-discretionary RAUM · $15.8M to $675,267
Aug 7, 2013 to Mar 27, 2014
RAUM · $18B to $23B
Aug 7, 2013 to Mar 27, 2014
Accounts · 9,510 to 9,988
Mar 29, 2012 to Mar 27, 2013
Advisory employees · unset to 90.0
Mar 29, 2012 to Mar 27, 2013
Assets in custody · $15B to $16B
Mar 29, 2012 to Mar 27, 2013
Employees · unset to 104.0
Mar 29, 2012 to Mar 27, 2013
State-registered IARs · unset to 0.0
Mar 29, 2012 to Mar 27, 2013
Discretionary RAUM · $15B to $18B
Mar 29, 2012 to Mar 27, 2013
Non-discretionary RAUM · $1.4B to $15.8M
Mar 29, 2012 to Mar 27, 2013
RAUM · $16B to $18B
Mar 29, 2012 to Mar 27, 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

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026