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
C••••• I••••••••• M••••••••• L••
Latest filing Sep 17, 2026
First filing on the tape Mar 30, 2012 · 18 filings
SEC status approved since Mar 1, 1999
RAUM
$37B
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
10
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$37B as of Jul 2, 2026
Jun 29, 2012$8.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 2, 2026
Jun 29, 20120 then
Employees (5.A)10 as of Jul 2, 2026
Jun 28, 20137 then
Private funds5 as of Jul 2, 2026
Jun 29, 20126 then
RAUM +72% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 17, 2026; 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
- $1.1BderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +140%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 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$37B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 33reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
10 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••• I••••••••• P••••••• V•••• L••• | Private Equity Fund | $9.1B | 231 | Jun 29, 2020 |
| C••••• I••••••••• P••••••• V••• L••• | Private Equity Fund | $7.3B | 200 | Jun 26, 2015 |
| C••••• I••••••••• P••••••• I•• L••• | Private Equity Fund | $4.2B | 243 | Jul 22, 2024 |
| C••••• I••••••••• P••••••• V•• L••• | Private Equity Fund | $1.1B | 215 | Mar 30, 2012 |
| C•• V••• C••••••••• V•••••• 3• L••• | Private Equity Fund | $130M | 6 | Jun 29, 2022 |
| C••••• I••••••••• P••••••• V••• L••• | Private Equity Fund | $67.1M | 233 | Mar 30, 2012 |
| C••••• I••••••••• P••••••• I••• L•••no longer reported | Private Equity Fund | $5.8M | 35 | Mar 30, 2012 |
| C••••• I••••••••• P••••••• I••••• L•••no longer reported | Private Equity Fund | $1.3M | 5 | Mar 30, 2012 |
| C••••• I••••••••• P••••••• I•••• L•••no longer reported | Private Equity Fund | $0 | 139 | Mar 30, 2012 |
| C••••• I••••••••• P••••••• I•••• L•••no longer reported | Private Equity Fund | $0 | 16 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• J•••••• J••••• · Directorcontrolsince 09/1995 · owns less than 5%
- H••••••• J••••• · Directorcontrolsince 09/2022 · owns less than 5%
- L•••• H••••• L••••• · Directorcontrolsince 12/2021 · owns less than 5%
- L• P••••••• R•••••• · Directorcontrolsince 07/2021 · owns less than 5%
- L• T••••••• R••••• A••• · Directorcontrolsince 05/1999 · owns less than 5%
- L••••• C••••••••• F••••• L••••• · Directorcontrolsince 04/2016 · owns less than 5%
- L•••••••• J•••• C••••••• · Directorcontrolsince 08/2010 · owns less than 5%
- M••••• C••••• J••••• · Directorcontrolsince 05/1999 · owns less than 5%
- O••••••••• F•••• · Chief Compliance Officercontrolsince 09/2013 · owns less than 5%
- C•••••• J•••••• J••••• · Ownercontrolsince 10/1993 · owns 75% or more of C•••• L••••••
Entity owners
- C•••• L•••••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- C••••• C•••••• •••• K•••• L••••••investment advisern
- C••••• C•••••• I••investment advisernRAUM $12B
- C••••• C•••••• L••••••investment advisern
- C••••• I••••••••• G•••••• P•••••• I•• L•••pooled vehicle sponsorn
- C••••• I••••••••• G•••••• P•••••• V• L•••investment adviserpooled vehicle sponsory
- C••••• I••••••••• G•••••• P•••••• V•• L•••investment adviserpooled vehicle sponsory
- C••••• I••••••••• G•••••• P•••••• V••• L•••investment adviserpooled vehicle sponsory
- C••••• I••••••••• G•••••• P•••••• V•••• L•••investment adviserpooled vehicle sponsory
- C••••• I••••••••• P••••••• I• L••••••••• G•• S•••••••pooled vehicle sponsorn
- C••••• I••••••••• P••••••• V• L••••••••• S•• R•••investment adviserpooled vehicle sponsory
- C••••• I••••••••• P••••••• V•• L••••••••• G•• S•• R•••pooled vehicle sponsory
- C••••• I••••••••• P••••••• V••• L••••••••• G•• S•• R•••pooled vehicle sponsorn
Advisers that list C••••• I••••••••• M••••••••• L•• as a related person
- 158102 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetJul 2, 2026 to Sep 17, 2026
- HQ state · to unsetJul 2, 2026 to Sep 17, 2026
- Private funds · 5 to unsetJul 2, 2026 to Sep 17, 2026
- Succession · false to unsetJul 2, 2026 to Sep 17, 2026
- Accounts · 32 to 33Jun 27, 2025 to Jul 2, 2026
- Pooled vehicle clients · 32 to 33Jun 27, 2025 to Jul 2, 2026
- Discretionary RAUM · $29B to $37BJun 27, 2025 to Jul 2, 2026
- Pooled vehicle RAUM · $29B to $37BJun 27, 2025 to Jul 2, 2026
- RAUM · $29B to $37BJun 27, 2025 to Jul 2, 2026
- Employees · 9 to 10Jul 22, 2024 to Jun 27, 2025
- Financial planning clients · unset to Jul 22, 2024 to Jun 27, 2025
- HQ state · unset to Jul 22, 2024 to Jun 27, 2025
- Private funds · 6 to 5Jul 22, 2024 to Jun 27, 2025
- Discretionary RAUM · $51B to $29BJul 22, 2024 to Jun 27, 2025
- Pooled vehicle RAUM · $51B to $29BJul 22, 2024 to Jun 27, 2025
- RAUM · $51B to $29BJul 22, 2024 to Jun 27, 2025
- Accounts · 25 to 32Jun 29, 2023 to Jul 22, 2024
- Pooled vehicle clients · 25 to 32Jun 29, 2023 to Jul 22, 2024
- Private funds · 5 to 6Jun 29, 2023 to Jul 22, 2024
- Discretionary RAUM · $21B to $51BJun 29, 2023 to Jul 22, 2024
- Pooled vehicle RAUM · $21B to $51BJun 29, 2023 to Jul 22, 2024
- RAUM · $21B to $51BJun 29, 2023 to Jul 22, 2024
- Accounts · 23 to 25Jun 29, 2022 to Jun 29, 2023
- Pooled vehicle clients · 23 to 25Jun 29, 2022 to Jun 29, 2023
- Discretionary RAUM · $23B to $21BJun 29, 2022 to Jun 29, 2023
- Pooled vehicle RAUM · $23B to $21BJun 29, 2022 to Jun 29, 2023
- RAUM · $23B to $21BJun 29, 2022 to Jun 29, 2023
- Accounts · 19 to 23Jun 29, 2021 to Jun 29, 2022
- Pooled vehicle clients · 19 to 23Jun 29, 2021 to Jun 29, 2022
- Employees · 8 to 9Jun 29, 2021 to Jun 29, 2022
- Private funds · 4 to 5Jun 29, 2021 to Jun 29, 2022
- Discretionary RAUM · $23B to $23BJun 29, 2021 to Jun 29, 2022
- Pooled vehicle RAUM · $23B to $23BJun 29, 2021 to Jun 29, 2022
- RAUM · $23B to $23BJun 29, 2021 to Jun 29, 2022
- Accounts · 17 to 19Jun 29, 2020 to Jun 29, 2021
- Pooled vehicle clients · 17 to 19Jun 29, 2020 to Jun 29, 2021
- Employees · 9 to 8Jun 29, 2020 to Jun 29, 2021
- Discretionary RAUM · $19B to $23BJun 29, 2020 to Jun 29, 2021
- Pooled vehicle RAUM · $19B to $23BJun 29, 2020 to Jun 29, 2021
- RAUM · $19B to $23BJun 29, 2020 to Jun 29, 2021
Signals
10 dated events
- C••••• I••••••••• M••••••••• L•• reported RAUM $36.7B, up 26% from $29.0B (2025-06-27 to 2026-07-02)Jul 2, 2026 · RAUM change · derived
- C••••• I••••••••• M••••••••• L•• reported RAUM $29.0B, down 43% from $51.2B (2024-07-22 to 2025-06-27)Jun 27, 2025 · RAUM change · derived
- C••••• I••••••••• M••••••••• L•• reported RAUM $51.2B, up 140% from $21.3B (2023-06-29 to 2024-07-22)Jul 22, 2024 · RAUM change · derived
- Thane Maden Andrew Hitchon (Director) no longer on Schedule A of C••••• I••••••••• M••••••••• L•• (listed 2022-06-29, absent 2023-06-29)Jun 29, 2023 · Control person left · inference
- Jeremy Hollier (Director) appeared on Schedule A of C••••• I••••••••• M••••••••• L••Jun 29, 2023 · Control person joined · fact
- Paul Mcdonald (Director) no longer on Schedule A of C••••• I••••••••• M••••••••• L•• (listed 2021-06-29, absent 2022-06-29)Jun 29, 2022 · Control person left · inference
- Louise Helen Lamb (Director) appeared on Schedule A of C••••• I••••••••• M••••••••• L••Jun 29, 2022 · Control person joined · fact
- Roxanne Allen (Director) appeared on Schedule A of C••••• I••••••••• M••••••••• L••Jun 29, 2022 · Control person joined · fact
- Michael Peter Hutton (Director) no longer on Schedule A of C••••• I••••••••• M••••••••• L•• (listed 2020-06-29, absent 2021-06-29)Jun 29, 2021 · Control person left · inference
- C••••• I••••••••• M••••••••• L•• reported RAUM $19.4B, up 29% from $15.0B (2019-06-28 to 2020-06-29)Jun 29, 2020 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- C••••• I••••••••• M••••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- +44 1481 745001reportedpublic record, Form ADV, Sep 17, 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
- Asset manager (funds and pooled vehicles)deriveda 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