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

T•• N••••• F••••• P••••••••• L••••••

Former SEC-registered adviserLondon, CRD 112853SEC 801-58221IAPD
Latest filing Mar 20, 2019
First filing on the tape Mar 20, 2012 · 15 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2019
Mar 20, 20120 then
Employees (5.A)3 as of Mar 20, 2019
Mar 25, 20134 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      • C••• W••••••• D••••• · Directorcontrol
        since 07/2013 · owns less than 5%
      • H•••••• A••••••• D•••• · Chief Executivecontrol
        since 09/2012 · owns less than 5%
      • N•••••• D••••• A••••• · Executive Directorcontrol
        since 12/1997 · owns 50% to 75%
      • M••••••••• D•••• · Non-Executive Director
        since 12/2015 · owns less than 5%
      Entity owners
      • A•••••• P•••••• C•••••• L•••••• · Shareholder
        direct · owns 25% to 50%
      • S•• P••••• I••••••••• L•••••• · Shareholder
        direct · owns 50% to 75%
      Related persons
      Schedule D 7.A
      • A•••••• P•••••• C•••••• L••••••
        real estaten
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Corporate clients · 52 to 51
        Mar 20, 2018 to Mar 20, 2019
      • Employees · 4 to 3
        Mar 20, 2018 to Mar 20, 2019
      • Charity clients · unset to 0.0
        May 15, 2017 to Mar 20, 2018
      • Corporate clients · unset to 52.0
        May 15, 2017 to Mar 20, 2018
      • HNW clients · unset to 0.0
        May 15, 2017 to Mar 20, 2018
      • Individual clients · unset to 0.0
        May 15, 2017 to Mar 20, 2018
      • Pension plan clients · unset to 0.0
        May 15, 2017 to Mar 20, 2018
      • Pooled vehicle clients · unset to 0.0
        May 15, 2017 to Mar 20, 2018
      • Other offices · unset to 1.0
        May 15, 2017 to Mar 20, 2018
      • Advisory employees · 4 to 3
        Mar 19, 2014 to Jun 11, 2014
      • Employees · 5 to 4
        Mar 19, 2014 to Jun 11, 2014
      • Advisory employees · 3 to 4
        May 24, 2013 to Aug 1, 2013
      • Employees · 4 to 5
        May 24, 2013 to Aug 1, 2013
      • Advisory employees · unset to 3.0
        Mar 20, 2012 to Mar 25, 2013
      • Employees · unset to 4.0
        Mar 20, 2012 to Mar 25, 2013
      • HQ city · unset to LONDON
        Mar 20, 2012 to Mar 25, 2013
      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