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.

Former SEC-registered adviser

Credit Suisse (Bermuda) Limited

Former SEC-registered adviserNew York, New YorkCRD 111720SEC 801-56260IAPD
Latest filing Apr 1, 2013
First filing on the tape Nov 22, 2011 · 6 filings
RAUM
$303M
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
5
5 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$303M as of Apr 1, 2013
Mar 30, 2012$119M then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 5
Private funds: 1
RAUM +155% over the last fiscal year
Practice profile
derived from the filing of Apr 1, 2013; 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
$303MderivedRAUM 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
+155%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 assetsreportedItem 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
  • buys or sells securities as principal to or from clients (8.A.2)
  • 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)
  • 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
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Credit Suisse Private Equity Asia Partners, L.P.Private Equity Fund$122M26Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B Ivy Dodes · Vice President & Directorcontrol
        since 10/2005 · owns less than 5%
      • John Kenneth Lohsen · President And Directorcontrol
        since 05/2012 · owns less than 5%
      • Emidio Morizio · Chief Compliance Officercontrol
        since 11/2011 · owns less than 5%
      Entity owners
      • Credit Suisse Ag · Shareholder
        direct · owns 75% or more · public reporting company
      • Credit Suisse Group Ag · Shareholder
        indirect · owns 75% or more of Credit Suisse Ag · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Credit Suisse (Bermuda) Limited as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Hamilton, Bermuda
      What changed
      consecutive filings, newest first
      • Accounts · 3 to 1
        Mar 30, 2012 to Apr 1, 2013
      • Advisory employees · unset to 5.0
        Mar 30, 2012 to Apr 1, 2013
      • BD registered reps · unset to 0.0
        Mar 30, 2012 to Apr 1, 2013
      • Employees · unset to 5.0
        Mar 30, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Mar 30, 2012 to Apr 1, 2013
      • Private funds · 1 to unset
        Mar 30, 2012 to Apr 1, 2013
      • Discretionary RAUM · $119M to $303M
        Mar 30, 2012 to Apr 1, 2013
      • RAUM · $119M to $303M
        Mar 30, 2012 to Apr 1, 2013
      • Accounts · 26 to 3
        Dec 8, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 8, 2011 to Mar 30, 2012
      • Private funds · unset to 1
        Dec 8, 2011 to Mar 30, 2012
      • Discretionary RAUM · $974M to $119M
        Dec 8, 2011 to Mar 30, 2012
      • RAUM · $974M to $119M
        Dec 8, 2011 to Mar 30, 2012
      • Related bank · false to true
        Dec 8, 2011 to Mar 30, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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