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

S••••••• W••••• I••••••••• P••••••••• L••

Former SEC-registered adviserEdinburgh, CRD 111259SEC 801-46564IAPD

Latest filing May 13, 2014

First filing on the tape Mar 30, 2012 · 6 filings

RAUM

$242B

reported, Item 5.F

Discretionary

98%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

482

82 advisory (5.B.1)

Offices

n/a

beyond the principal office

Private funds

$1.1B gross assets

History

6 filings and snapshots on the tape

RAUM$242B as of Mar 28, 2014

Mar 30, 2012$212B then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 28, 2014

Mar 28, 20130 then

Employees (5.A)482 as of Mar 28, 2014

Mar 28, 2013472 then

Private funds9 as of Mar 28, 2014

Mar 30, 201222 then

RAUM +5.1% over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of May 13, 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: $324MderivedRAUM over accounts (5.F.2.f)
Discretionary: 98%derivedof RAUM
Institutional: 0.0%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: +5.1%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

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: 748reported
Financial planning clients: 0reported
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 departure Every arrival

Private funds

24 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S••• P••••••• T••••no longer reported	Other Private Fund	$3.7B	1,579	Mar 28, 2013
S••• S••••••• C••••• A•••••••• F•••no longer reported	Other Private Fund	$1.8B	124	Mar 28, 2013
S••• C•••••• T••••no longer reported	Other Private Fund	$1.7B	500	Mar 30, 2012
L••••• I••••••••• F•••• L•••••• H••• I••••• F•••	Other Private Fund	$540M	4,659	Mar 30, 2012
S••• E••••••• M•••••• F•••no longer reported	Other Private Fund	$326M	200	Mar 30, 2012
L••••••••• G••• F••• L••••••	Other Private Fund	$218M	6,253	Mar 30, 2012
S••• U• O••••••••• F•••no longer reported	Other Private Fund	$190M	3,500	Mar 30, 2012
S••• P•• E••••••• S•••••• C•••••••• F•••no longer reported	Other Private Fund	$145M	534	Mar 30, 2012
L••••• G••• F••• L••••••	Other Private Fund	$113M	3,914	Mar 30, 2012
S••• U• I••••• F•••no longer reported	Other Private Fund	$101M	3,700	Mar 30, 2012
S••• E••••••• F•••no longer reported	Other Private Fund	$83.7M	1,150	Mar 30, 2012
S••• U• S•••••• C•••••••• F•••no longer reported	Other Private Fund	$73.5M	2,400	Mar 30, 2012
L••••• I••••••••• F•••• L•••••• I••••••••• F•••	Other Private Fund	$44.0M	1,242	Mar 30, 2012
L••••• I••••••••• F•••• L•••••• S••••••• B••• F•••	Other Private Fund	$38.0M	629	Mar 30, 2012
S••• N•••• A••••••• F•••no longer reported	Other Private Fund	$38.0M	598	Mar 30, 2012
L••••• I••••••••• F•••• L•••••• U• F•••	Other Private Fund	$36.0M	904	Mar 30, 2012
S••• G••••• F•••no longer reported	Other Private Fund	$30.6M	1,500	Mar 30, 2012
L••••• I••••••••• F•••• L•••••• E••••••• F•••	Other Private Fund	$28.0M	887	Mar 30, 2012
S••• U• F••••••• S••••••• F•••no longer reported	Other Private Fund	$20.7M	49	Mar 30, 2012
L••••• T•• O••••••• F•••• L•••••• • C•••••• G••••• F•••no longer reported	Other Private Fund	$20.0M	350	Mar 30, 2012
S••• F•••••••• F•••no longer reported	Other Private Fund	$19.2M	500	Mar 30, 2012
L••••• I••••••••• F•••• L•••••• E••• H••• I••••• F•••	Other Private Fund	$18.0M	362	Mar 30, 2012
L••••• I••••••••• F•••• L•••••• N•••• A••••••• F•••	Other Private Fund	$15.0M	568	Mar 30, 2012
S••• J••••••• F•••no longer reported	Other Private Fund	$8.6M	250	Mar 30, 2012

Owners and control persons

Schedule A and B, latest filing

B••••• J•••• M•••••• · Directorcontrol
since 04/2014 · owns less than 5%
G••••••• M•••••• J•••• · Director And Chief Executivecontrol
since 04/2014 · owns less than 5%
L•••••• J•••••••• R•••••• · Directorcontrol
since 04/2014 · owns less than 5%
M•••••• R•••••••• M••••• · Directorcontrol
since 04/2014 · owns less than 5%
M•••••••• G•••• R••••• · Directorcontrol
since 04/2014 · owns less than 5%
O••••• A••••••• P••• · Chief Operating Officercontrol
since 04/2008 · owns less than 5%
R•••••••• A•••• H•••• · Directorcontrol
since 04/2014 · owns less than 5%
S••••••• B•••••• · Chief Compliance Officer & Director Of Riskcontrol
since 03/2013 · owns less than 5%

Entity owners

S••••••• W••••• I••••••••• P••••••••• G•••• L•••••• · Parent Company
direct · owns 75% or more
A••••••• A•••• M••••••••• P•• · Parent Company
indirect · owns 75% or more of S••••••• W••••• I••••••••• P••••••••• G•••• L••••••

Related persons

Schedule D 7.A

Abrdn Investments L••••••
investment advisernRAUM $207B
A••••••• A•••• M••••••••• C••••• L••••••
investment advisern
A••••••• A•••• M••••••••• C••••• L••••••
pooled vehicle sponsorn
A••••••• A•••• M••••••••• F••••• S•
n
Abrdn Inc.
investment adviserbanknRAUM $41B
A••••••• A•••• M••••••••• L••• A•• P••••••• L••••••
real estaten
Abrdn Australia L••••••
investment advisernRAUM $2.4B
A••••••• A•••• M••••••••• S••• B••
investment advisern
A••••••• A•••• M••••••• S••••••••• A•
broker-dealern
A••••••• F••• D••••••••• L••
broker-dealern
A••••••• G•••••• P•••••• C••••• L••••••
pooled vehicle sponsorn
A••••••• G•••••• P•••••• C•••• L••••••
pooled vehicle sponsorn
A••••••• G•••••• P•••••• C•••••••• L••••••
pooled vehicle sponsorn
A••••••• G•••••• P•••••• C•••• I• L••••••
pooled vehicle sponsorn
A••••••• G•••••• P•••••• C•••• L••••••
pooled vehicle sponsorn
A••••••• G••••• E•••••••• C••• G• I••
pooled vehicle sponsorn
A••••••• G••••• S••••••• S•••
investment advisern
A••••••• I••••••••• F••• M••••••• L••••••
investment advisern
A••••••• I••••••••• S••••••••• I••••••••• C••••••••• C•••••• L••
investment advisern
A••••••• P•••••• W••••• M••••••••• L••••••
investment advisern
A••••••• S•• P•••••• E••••• M••••••• L••••••
investment advisern
A••••••• S•• P•••••• E•••• A••••••• L••••••
investment advisern
E•••••••• F••• M••••••• G•••• L••••••
investment advisern
G•••••• I••••••••• M••••••• L••••••
investment advisern
L••••• T•• I••••••••• L••••••
investment advisern
S••••••• W••••• I••••••••• P••••••••• L••
investment advisernRAUM $242B
S••• F••• M••••••••• L••
pooled vehicle sponsorn
S••• M••••••••• F•••• L••••••
pooled vehicle sponsorn

Advisers that list S••••••• W••••• I••••••••• P••••••••• L•• as a related person

111259 n

Offices

Schedule D 1.F, the 25 largest

London, United Kingdom
New York, NY

What changed

consecutive filings, newest first

Accounts · 778 to 748
Mar 28, 2013 to Mar 28, 2014
Advisory employees · 83 to 82
Mar 28, 2013 to Mar 28, 2014
Employees · 472 to 482
Mar 28, 2013 to Mar 28, 2014
Private funds · 13 to 9
Mar 28, 2013 to Mar 28, 2014
Discretionary RAUM · $224B to $236B
Mar 28, 2013 to Mar 28, 2014
Non-discretionary RAUM · $6.7B to $5.8B
Mar 28, 2013 to Mar 28, 2014
RAUM · $230B to $242B
Mar 28, 2013 to Mar 28, 2014
Accounts · 775 to 778
Jun 26, 2012 to Mar 28, 2013
Advisory employees · unset to 83.0
Jun 26, 2012 to Mar 28, 2013
Employees · unset to 472.0
Jun 26, 2012 to Mar 28, 2013
Financial planning clients · unset to 0
Jun 26, 2012 to Mar 28, 2013
State-registered IARs · unset to 0.0
Jun 26, 2012 to Mar 28, 2013
Private funds · 12 to 13
Jun 26, 2012 to Mar 28, 2013
Discretionary RAUM · $212B to $224B
Jun 26, 2012 to Mar 28, 2013
Non-discretionary RAUM · $658M to $6.7B
Jun 26, 2012 to Mar 28, 2013
RAUM · $212B to $230B
Jun 26, 2012 to Mar 28, 2013
Related bank · false to true
Jun 26, 2012 to Mar 28, 2013
Private funds · 22 to 12
Mar 30, 2012 to Jun 26, 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