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
R••••• C••••••• M••••••••• L••••••
Latest filing Jun 30, 2026
First filing on the tape Mar 21, 2012 · 42 filings
SEC status approved since Jul 27, 1994
RAUM
$114B
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
87
37 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$114B as of Jun 30, 2026
Jun 28, 2012$31B then
HNW client RAUM$0 as of Jun 30, 2026
Jun 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 30, 2026
Jun 28, 20120 then
Employees (5.A)87 as of Jun 30, 2026
Jun 26, 201360 then
Private funds: no history
RAUM +12% over the last fiscal year+11% a year over threeIARs 0 to 0offices 3 to 2
Practice profile
derived from the filing of Jun 30, 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
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
- 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
- $604MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 78%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -1.2%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-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, publications, educational seminarsreportedItem 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$43B38%
- Pension and profit-sharing plans$42B37%
- Pooled investment vehicles$16B14%
- Corporations and businesses$9.1B7.9%
- Charitable organizations$3.1B2.8%
- Investment companies$145M0.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 16reported
- Charitable clients
- 7reported
- Accounts
- 189reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.14 institutional_share=0.78 related_bd=true related_bank=true 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A•••••• T•••••• A•••• Q••••••••• · Director, Head Of Salescontrolsince 05/2024 · owns less than 5%
- A••••• K••••• J••• · Directorcontrolsince 02/2022 · owns less than 5%
- L•••••• G••••• M••••• · Chief Compliance Officercontrolsince 07/2012 · owns less than 5%
- T•••••••• D•••••• E••••••••• · Ciocontrolsince 04/2021 · owns less than 5%
- W••••••••• S•••••• · Director, Head Of Client Onboardingcontrolsince 05/2024 · owns less than 5%
- W••••• J••• H•••••• J•••• · Chief Executive Officer / Directorcontrolsince 04/2023 · owns less than 5%
- R•••••• N•••• P•••• · Ex-Chairmancontrolsince 03/2023 · owns 25% to 50% of R••••• P••
Entity owners
- R••••• P•• · Parent Company (100% Owner)direct · owns 75% or more
Related persons
Schedule D 7.A
- R•• S••••••••• G•••broker-dealern
- R••••• A•••• M••••••••• G•••investment advisern
- R••••• C••••••• M••••••••• I••investment adviserbanknRAUM $20B
- T•••• I••••••••• G••••investment adviserbankpooled vehicle sponsorn
Advisers that list R••••• C••••••• M••••••••• L•••••• as a related person
- 171338 n
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom19 employees
What changed
consecutive filings, newest first
- Accounts · 146 to 189Mar 10, 2026 to Jun 30, 2026
- Advisory employees · 39 to 37Mar 10, 2026 to Jun 30, 2026
- Corporate clients · unset to 21.0Mar 10, 2026 to Jun 30, 2026
- Pension plan clients · 15 to 16Mar 10, 2026 to Jun 30, 2026
- Pooled vehicle clients · 109 to 132Mar 10, 2026 to Jun 30, 2026
- Employees · 86 to 87Mar 10, 2026 to Jun 30, 2026
- Other offices · 3 to 2Mar 10, 2026 to Jun 30, 2026
- Discretionary RAUM · $101B to $114BMar 10, 2026 to Jun 30, 2026
- Pension RAUM · $38B to $42BMar 10, 2026 to Jun 30, 2026
- Pooled vehicle RAUM · $15B to $16BMar 10, 2026 to Jun 30, 2026
- RAUM · $101B to $114BMar 10, 2026 to Jun 30, 2026
- Accounts · 122 to 146Mar 6, 2025 to Jun 27, 2025
- Advisory employees · 38 to 39Mar 6, 2025 to Jun 27, 2025
- Charity clients · 8 to 7Mar 6, 2025 to Jun 27, 2025
- Pension plan clients · 19 to 15Mar 6, 2025 to Jun 27, 2025
- Pooled vehicle clients · 81 to 109Mar 6, 2025 to Jun 27, 2025
- Employees · 85 to 86Mar 6, 2025 to Jun 27, 2025
- Financial planning clients · unset to Mar 6, 2025 to Jun 27, 2025
- Discretionary RAUM · $102B to $101BMar 6, 2025 to Jun 27, 2025
- Pension RAUM · $37B to $38BMar 6, 2025 to Jun 27, 2025
- Pooled vehicle RAUM · $12B to $15BMar 6, 2025 to Jun 27, 2025
- RAUM · $102B to $101BMar 6, 2025 to Jun 27, 2025
- HQ city · BERKSHIRE to LONDONJun 27, 2024 to Mar 6, 2025
- HQ state · unset to Jun 27, 2024 to Mar 6, 2025
- Other offices · 2 to 3Jun 27, 2024 to Mar 6, 2025
- Accounts · 114 to 122Jun 28, 2023 to Jun 27, 2024
- Advisory employees · 40 to 38Jun 28, 2023 to Jun 27, 2024
- Charity clients · 9 to 8Jun 28, 2023 to Jun 27, 2024
- Pension plan clients · 17 to 19Jun 28, 2023 to Jun 27, 2024
- Pooled vehicle clients · 68 to 81Jun 28, 2023 to Jun 27, 2024
- Employees · 88 to 85Jun 28, 2023 to Jun 27, 2024
- Discretionary RAUM · $88B to $102BJun 28, 2023 to Jun 27, 2024
- Pension RAUM · $28B to $37BJun 28, 2023 to Jun 27, 2024
- Pooled vehicle RAUM · $11B to $12BJun 28, 2023 to Jun 27, 2024
- RAUM · $88B to $102BJun 28, 2023 to Jun 27, 2024
- Accounts · 91 to 114Nov 30, 2022 to Jun 28, 2023
- Advisory employees · 37 to 40Nov 30, 2022 to Jun 28, 2023
- Charity clients · 7 to 9Nov 30, 2022 to Jun 28, 2023
- Pooled vehicle clients · 49 to 68Nov 30, 2022 to Jun 28, 2023
- Employees · 83 to 88Nov 30, 2022 to Jun 28, 2023
Signals
15 dated events
- P•••• Steven Cullen (Cfo/Director) no longer on Schedule A of R••••• C••••••• M••••••••• L•••••• (listed 2023-06-28, absent 2024-06-27)Jun 27, 2024 · Control person left · inference
- J••• R•••••• V•••• (Director, Chief Technology Officer) no longer on Schedule A of R••••• C••••••• M••••••••• L•••••• (listed 2023-06-28, absent 2024-06-27)Jun 27, 2024 · Control person left · inference
- A•••• Q••••••••• T••••• A••••• (Director, Head Of Sales) appeared on Schedule A of R••••• C••••••• M••••••••• L••••••Jun 27, 2024 · Control person joined · fact
- S•••••• W•••••••• (Director, Head Of Client Onboarding) appeared on Schedule A of R••••• C••••••• M••••••••• L••••••Jun 27, 2024 · Control person joined · fact
- Francoise Leslie Meier (Chief Executive Officer / Director) no longer on Schedule A of R••••• C••••••• M••••••••• L•••••• (listed 2022-11-30, absent 2023-06-28)Jun 28, 2023 · Control person left · inference
- H•••••• J•••• Jan W•••• (Director, Global Head Of Sales) appeared on Schedule A of R••••• C••••••• M••••••••• L••••••Mar 22, 2022 · Control person joined · fact
- J••• R•••••• V•••• (Director, Chief Technology Officer) appeared on Schedule A of R••••• C••••••• M••••••••• L••••••Feb 21, 2022 · Control person joined · fact
- Joel Duncan Sleigh (Chief Operating Officer) no longer on Schedule A of R••••• C••••••• M••••••••• L•••••• (listed 2022-01-07, absent 2022-02-21)Feb 21, 2022 · Control person left · inference
- P•••• W••••• T•••••• E•••••• (Non-Executive Director) no longer on Schedule A of R••••• C••••••• M••••••••• L•••••• (listed 2021-09-17, absent 2021-11-22)Nov 22, 2021 · Control person left · inference
- R••••••• H••••• (Non-Executive Director) no longer on Schedule A of R••••• C••••••• M••••••••• L•••••• (listed 2021-07-27, absent 2021-09-17)Sep 17, 2021 · Control person left · inference
- J••• Rosina Tufnell (Non-Executive Director) no longer on Schedule A of R••••• C••••••• M••••••••• L•••••• (listed 2021-06-29, absent 2021-07-27)Jul 27, 2021 · Control person left · inference
- R••••• C••••••• M••••••••• L•••••• reported RAUM $80.1B, up 38% from $58.1B (2021-04-01 to 2021-06-29)Jun 29, 2021 · RAUM change · derived
- Bob Noyen (Cio/Managing Director) no longer on Schedule A of R••••• C••••••• M••••••••• L•••••• (listed 2020-09-28, absent 2021-04-01)Apr 1, 2021 · Control person left · inference
- E••••••••• D••••• T••••••• (Cio) appeared on Schedule A of R••••• C••••••• M••••••••• L••••••Apr 1, 2021 · Control person joined · fact
- Alistair James David Wood-Collins (Chief Executive Officer / Director) no longer on Schedule A of R••••• C••••••• M••••••••• L•••••• (listed 2019-07-25, absent 2020-06-08)Jun 8, 2020 · 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/R•••••-C•••••••-MANAGEMENTreportedpublic record, Form ADV, Sep 18, 2026
- Website
- R•••••FG.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- (44)2038921300reportedpublic record, Form ADV, Jun 30, 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
- Institutional managerderiveda 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