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

I••••••• A•••• M••••••••• U• L•••

Former SEC-registered adviserLondon, CRD 110894SEC 801-39266IAPD
Latest filing Jun 30, 2014
First filing on the tape Mar 29, 2012 · 8 filings
RAUM
$3.2B
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
369
102 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
6
$2.4B gross assets
History
8 filings and snapshots on the tape
RAUM$3.2B as of Jun 30, 2014
Mar 29, 2012$1.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 30, 2014
Mar 29, 20120 then
Employees (5.A)369 as of Jun 30, 2014
Jun 28, 2013319 then
Private funds6 as of Jun 30, 2014
Mar 29, 20124 then
RAUM +14% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2014; 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
$243MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
+14%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$2.3B, 7 clientsreportedItem 9.A
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
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
13reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$2.3B for 7 clientsreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • D• T•••• H••••••• J•••••• · Chief Executive, Directorcontrol
        since 01/2000 · owns less than 5%
      • F•••••••• A•••• J•••• · General Counselcontrol
        since 12/2010 · owns less than 5%
      • G••••••••• A••• · Chief Compliance Officercontrol
        since 10/1997 · owns less than 5%
      • G••••••• R••••••• D••••• · Managing Directorcontrol
        since 10/2006 · owns less than 5%
      • G••••• J•••• C••••• · Global Head Of Client Groupcontrol
        since 01/2010 · owns less than 5%
      • M••••••••• K••• M••• · Chief Financial And Operations Officer, Directorcontrol
        since 11/2000 · owns less than 5%
      Entity owners
      • I••••••• A•••• M••••••••• L•••••• · Shareholder
        direct · owns 75% or more
      • I••••••• 1• L•• · Shareholder
        indirect · owns 75% or more of I••••••• A•••• M••••••••• L••••••
      • I••••••• P•• · Shareholder
        indirect · owns 75% or more of I••••••• 1• L••
      Related persons
      Schedule D 7.A
      • I••••••• A•••• M••••••••• •••• L••••••
        investment advisern
      • I••••••• A•••• M••••••••• A••• L••
        investment advisern
      • I••••••• A•••• M••••••••• A•••••••• P•• L••
        investment advisern
      • I••••••• A•••• M••••••••• G••••••• L••
        investment adviserbankpooled vehicle sponsorn
      • Ninety One Uk L••••••
        investment adviserbankyRAUM $130B
      • I••••••• B••• P••
        n
      • I••••••• P••
        y
      • I••••••• S••••••••• ••• L••
        broker-dealern
      • I••••••• S••••••••• L••
        broker-dealern
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Accounts · 28 to 13
        Nov 27, 2013 to Jun 30, 2014
      • Advisory employees · 92 to 102
        Nov 27, 2013 to Jun 30, 2014
      • BD registered reps · 0 to 3
        Nov 27, 2013 to Jun 30, 2014
      • Assets in custody · $1.6B to $2.3B
        Nov 27, 2013 to Jun 30, 2014
      • Custody of client assets · false to true
        Nov 27, 2013 to Jun 30, 2014
      • Employees · 319 to 369
        Nov 27, 2013 to Jun 30, 2014
      • Private funds · 5 to 6
        Nov 27, 2013 to Jun 30, 2014
      • Discretionary RAUM · $2.8B to $3.2B
        Nov 27, 2013 to Jun 30, 2014
      • RAUM · $2.8B to $3.2B
        Nov 27, 2013 to Jun 30, 2014
      • Private funds · 4 to 5
        Jun 28, 2013 to Nov 27, 2013
      • Accounts · 17 to 28
        Apr 24, 2013 to Jun 28, 2013
      • Advisory employees · 67 to 92
        Apr 24, 2013 to Jun 28, 2013
      • Advisory activities · 2 to 3
        Apr 24, 2013 to Jun 28, 2013
      • Assets in custody · $788M to $1.6B
        Apr 24, 2013 to Jun 28, 2013
      • Employees · 89 to 319
        Apr 24, 2013 to Jun 28, 2013
      • Discretionary RAUM · $1.7B to $2.8B
        Apr 24, 2013 to Jun 28, 2013
      • RAUM · $1.7B to $2.8B
        Apr 24, 2013 to Jun 28, 2013
      • Related bank · false to true
        Apr 24, 2013 to Jun 28, 2013
      • Advisory employees · unset to 67.0
        Jun 29, 2012 to Nov 13, 2012
      • Employees · unset to 89.0
        Jun 29, 2012 to Nov 13, 2012
      • Assets in custody · unset to 788044748.0
        Apr 17, 2012 to Jun 29, 2012
      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