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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

C••••••••• A•••• M••••••••• P••••••••• L••

Former SEC-registered adviserClaremont, Cape Town, CRD 110907SEC 801-109918IAPD
Latest filing Dec 10, 2019
First filing on the tape Mar 13, 2012 · 14 filings
RAUM
$28B
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
25
16 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$28B as of Dec 10, 2019
Mar 13, 2012$36B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 10, 2019
Mar 13, 20120 then
Employees (5.A)25 as of Dec 10, 2019
Dec 21, 2012152 then
Private funds: 1
RAUM -9.8% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 10, 2019; 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
$89.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
46%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
-9.8%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 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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$15B54%
  • Pension and profit-sharing plans$13B46%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
293reported
Charitable clients
n/areported
Accounts
309reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C••••••••• L••• A•••••••• F••• C•• L••no longer reportedHedge Fund$522M32May 31, 2013
      C••••••••• E••••• F••• •••• T•••••no longer reportedHedge Fund$494M4,040Dec 21, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• M•••• R••••• · Chief Compliance Officer/Head Of Global Risk And Compliancecontrol
        since 02/2013 · owns less than 5%
      • C••••••• N••••••• J•••• · Portfolio Managercontrol
        since 08/2000 · owns less than 5%
      • K••••••••• P•••••• J••••••• · Head Of Retail And Member Of The Executive Committeecontrol
        since 09/2013 · owns less than 5%
      • L••••••••• K•••• F•••••• · Chief Investment Officercontrol
        since 04/2008 · owns less than 5%
      • M•••••••• M••••••••• D•••••••• · Chief Financial Officer/Directorcontrol
        since 06/2019 · owns less than 5%
      • P•••••• A••••• C••••••• · Chief Executive Officer/Director And Member Of The Executive Committeecontrol
        since 01/2006 · owns less than 5%
      • S••••• L••••••••• P•••• · Chief Operating Officer And Member Of The Executive Committeecontrol
        since 09/2013 · owns less than 5%
      • T••••••• K•••••• •••• · Head Of Institutional Business And Member Of The Executive Committeecontrol
        since 04/2003 · owns less than 5%
      Entity owners
      • C••••••••• I••••••••• M••••••••• S• •••• L•• · Shareholder
        direct · owns 75% or more
      • C••••••••• F••• M••••••• L•• · Holding Company (Listed In The J•••••••Burg Stock Exchange)
        indirect · owns 75% or more of C••••••••• I••••••••• M••••••••• S• •••• L••
      Related persons
      Schedule D 7.A
      Advisers that list C••••••••• A•••• M••••••••• P••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 315 to 309
        Dec 24, 2018 to Dec 10, 2019
      • Advisory activities · 1 to 2
        Dec 24, 2018 to Dec 10, 2019
      • Pension plan clients · 295 to 293
        Dec 24, 2018 to Dec 10, 2019
      • Pooled vehicle clients · 20 to 16
        Dec 24, 2018 to Dec 10, 2019
      • Discretionary RAUM · $31B to $28B
        Dec 24, 2018 to Dec 10, 2019
      • Pension RAUM · $14B to $13B
        Dec 24, 2018 to Dec 10, 2019
      • Pooled vehicle RAUM · $16B to $15B
        Dec 24, 2018 to Dec 10, 2019
      • RAUM · $31B to $28B
        Dec 24, 2018 to Dec 10, 2019
      • Accounts · 501 to 315
        Jan 2, 2018 to Dec 24, 2018
      • Pension plan clients · 477 to 295
        Jan 2, 2018 to Dec 24, 2018
      • Pooled vehicle clients · 24 to 20
        Jan 2, 2018 to Dec 24, 2018
      • Other offices · 2 to 0
        Jan 2, 2018 to Dec 24, 2018
      • Discretionary RAUM · $34B to $31B
        Jan 2, 2018 to Dec 24, 2018
      • Pension RAUM · $13B to $14B
        Jan 2, 2018 to Dec 24, 2018
      • Pooled vehicle RAUM · $20B to $16B
        Jan 2, 2018 to Dec 24, 2018
      • RAUM · $34B to $31B
        Jan 2, 2018 to Dec 24, 2018
      • Accounts · 278 to 501
        Feb 6, 2017 to Jan 2, 2018
      • Pension plan clients · unset to 477.0
        Feb 6, 2017 to Jan 2, 2018
      • Pooled vehicle clients · unset to 24.0
        Feb 6, 2017 to Jan 2, 2018
      • Other offices · unset to 2.0
        Feb 6, 2017 to Jan 2, 2018
      • Discretionary RAUM · $31B to $34B
        Feb 6, 2017 to Jan 2, 2018
      • Pension RAUM · unset to 13077400000.0
        Feb 6, 2017 to Jan 2, 2018
      • Pooled vehicle RAUM · unset to 20422600000.0
        Feb 6, 2017 to Jan 2, 2018
      • RAUM · $31B to $34B
        Feb 6, 2017 to Jan 2, 2018
      • Accounts · 29 to 278
        Dec 18, 2015 to Jan 24, 2017
      • Advisory activities · 2 to 1
        Dec 18, 2015 to Jan 24, 2017
      • Discretionary RAUM · $794M to $31B
        Dec 18, 2015 to Jan 24, 2017
      • RAUM · $794M to $31B
        Dec 18, 2015 to Jan 24, 2017
      • Accounts · 20 to 29
        Dec 3, 2014 to Dec 18, 2015
      • Discretionary RAUM · $932M to $794M
        Dec 3, 2014 to Dec 18, 2015
      • RAUM · $932M to $794M
        Dec 3, 2014 to Dec 18, 2015
      • Accounts · 873 to 20
        Jan 24, 2014 to Dec 3, 2014
      • Advisory employees · 63 to 16
        Jan 24, 2014 to Dec 3, 2014
      • Advisory activities · 3 to 2
        Jan 24, 2014 to Dec 3, 2014
      • Employees · 170 to 25
        Jan 24, 2014 to Dec 3, 2014
      • Discretionary RAUM · $49B to $932M
        Jan 24, 2014 to Dec 3, 2014
      • Non-discretionary RAUM · $414M to $0
        Jan 24, 2014 to Dec 3, 2014
      • RAUM · $49B to $932M
        Jan 24, 2014 to Dec 3, 2014
      • Accounts · 834 to 873
        May 31, 2013 to Dec 20, 2013
      • Advisory employees · 59 to 63
        May 31, 2013 to Dec 20, 2013
      Signals
      3 dated events
      • Dimakatso Mary-Anne Musekiwa (Chief Financial Officer/Director) appeared on Schedule A of C••••••••• A•••• M••••••••• P••••••••• L••
        Dec 10, 2019 · Control person joined · fact
      • Ashley John Snalam (Chief Financial Officer/Director) no longer on Schedule A of C••••••••• A•••• M••••••••• P••••••••• L•• (listed 2018-12-24, absent 2019-12-10)
        Dec 10, 2019 · Control person left · inference
      • C••••••••• A•••• M••••••••• P••••••••• L•• filed its initial SEC registration (Form ADV)
        Jan 24, 2017 · First SEC registration · fact
      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