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
S•••••• A•••• M••••••••• L••••••
Latest filing Mar 19, 2026
First filing on the tape Mar 15, 2012 · 45 filings
SEC status approved since Jun 6, 2003
RAUM
$555M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
70%
$390M individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$277M
derived; firm RAUM over IAPD count
Employees
7
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$555M as of Mar 19, 2026
Mar 15, 2012$564M then
HNW client RAUM$390M as of Mar 19, 2026
Mar 8, 2018$424M then
State-registered IARs (5.B.3)1 as of Mar 19, 2026
Mar 15, 20120 then
Employees (5.A)7 as of Mar 19, 2026
Mar 8, 201312 then
Private funds: no history
RAUM -4.2% over the last fiscal year-0.0% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 19, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $277MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 59derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $3.3MderivedHNW RAUM over HNW clients
- Average account
- $4.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 14%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 3.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -4.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -11%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$390M73%
- Charitable organizations$71.6M13%
- Corporations and businesses$66.1M12%
- Pension and profit-sharing plans$7.2M1.4%
- Individual clients
- 0reported
- HNW clients
- 118reported
- Pension plan clients
- 3reported
- Charitable clients
- 4reported
- Accounts
- 139reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.7 fund_share=0.0 institutional_share=0.14 related_bd=false related_bank=true bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| N••••••• A••••• J••• W••• | L••••• | Sep 13, 2006 | 28 y | 0 |
| A••••• C•••• S•••••• | Austin, Tx | Dec 7, 2015 | 33 y | 1 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B••••• M••••••• J•••• G••••• · Chief Executive Officercontrolsince 11/2000 · owns less than 5%
- C••••••• P•••••• A••• J•••• · Co-Chief Investment Officercontrolsince 01/2022 · owns less than 5%
- T•••••• J•••••• M•••• · Co-Chief Investment Officercontrolsince 01/2022 · owns less than 5%
- S••••• D••••• J••••• · Shareholdercontrolsince 07/2017 · owns 25% to 50% of J• I••••••••• H••••••• L••••••
- S••••• J••••• J••••• · Shareholdercontrolsince 07/2017 · owns 25% to 50% of J• I••••••••• H••••••• L••••••
- S••••• V•••• · Shareholdercontrolsince 07/2017 · owns 75% or more of J• I••••••••• H••••••• L••••••
- J••••••• R••••••• W•••••• · Chief Compliance Officersince 01/2020 · owns less than 5%
- L••••••• E••••• S•••• · Chief Legal Officersince 08/2017 · owns less than 5%
- T•••••• T••••••• J•••• · Partner And Chief Operating Officersince 07/2016 · owns less than 5%
Entity owners
- S•••••• • P•••••••• L•• L••••• · Shareholderdirect · owns 75% or more
- B••• J• S•••• S•••••• L••• B•••• · Shareholderindirect · owns 75% or more of S•••••• A•• B••••
- J• S•••• H••••••• I••••••••• ••••••••• S••• · Shareholderindirect · owns 75% or more of J• S•••• S•••••• H•••••• A•
- J• S•••• H••••••• L••••••••• S••• · Shareholderindirect · owns 75% or more of J• S•••• H••••••• I••••••••• ••••••••• S•••
- J• S•••• S•••••• H•••••• A• · Shareholderindirect · owns 75% or more of B••• J• S•••• S•••••• L••• B••••
- J• I••••••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of J• S•••• H••••••• L••••••••• S•••
- S••••• P••••••••• ••••••• L•••• L••••• · Memberindirect · owns 75% or more of S•••••• • P•••••••• L•• L•••••
- S•••••• A•• B•••• · Shareholder-Ordinary And Deferred Sharesindirect · owns 75% or more of S•••••• ••••• L•••••• L•••••
- S•••••• ••••• L•••••• L••••• · Shareholderindirect · owns 50% to 75% of S••••• P••••••••• ••••••• L•••• L•••••
Related persons
Schedule D 7.A
- B••• J• S•••• S•••••• L••• B••••custodiany
- S•••••• • P••••••• L••investment advisery
- S•••••• F•••• M••••••••• •••••••• L••••••bankpooled vehicle sponsorn
- S•••••• I••••••••• F•••• L••••••bankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 19, 2026employees (Item 5.A) moved from 11.0 to 7.0 (-36.0%) between the annual amendments of 2025-03-27 and 2026-03-19; the peer median change was +1.0% (25 comparable advisers, 0.0th percentile of changes)peers: affiliated wealth managers (25) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 155 to 139Sep 19, 2025 to Mar 19, 2026
- Advisory employees · 9 to 7Sep 19, 2025 to Mar 19, 2026
- Corporate clients · 11 to 10Sep 19, 2025 to Mar 19, 2026
- HNW clients · 132 to 118Sep 19, 2025 to Mar 19, 2026
- Employees · 11 to 7Sep 19, 2025 to Mar 19, 2026
- Discretionary RAUM · $579M to $555MSep 19, 2025 to Mar 19, 2026
- HNW RAUM · $392M to $390MSep 19, 2025 to Mar 19, 2026
- Pension RAUM · $8.5M to $7.2MSep 19, 2025 to Mar 19, 2026
- RAUM · $579M to $555MSep 19, 2025 to Mar 19, 2026
- Accounts · 169 to 155Mar 29, 2024 to Mar 27, 2025
- Charity clients · 3 to 4Mar 29, 2024 to Mar 27, 2025
- Corporate clients · 12 to 11Mar 29, 2024 to Mar 27, 2025
- HNW clients · 144 to 132Mar 29, 2024 to Mar 27, 2025
- Pension plan clients · 4 to 3Mar 29, 2024 to Mar 27, 2025
- Employees · 12 to 11Mar 29, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 29, 2024 to Mar 27, 2025
- HQ state · unset to Mar 29, 2024 to Mar 27, 2025
- State-registered IARs · 2 to 1Mar 29, 2024 to Mar 27, 2025
- Discretionary RAUM · $603M to $579MMar 29, 2024 to Mar 27, 2025
- HNW RAUM · $428M to $392MMar 29, 2024 to Mar 27, 2025
- Pension RAUM · $8.8M to $8.5MMar 29, 2024 to Mar 27, 2025
- RAUM · $603M to $579MMar 29, 2024 to Mar 27, 2025
- Accounts · 158 to 169Jun 30, 2023 to Mar 29, 2024
- Corporate clients · 13 to 12Jun 30, 2023 to Mar 29, 2024
- HNW clients · 130 to 144Jun 30, 2023 to Mar 29, 2024
- Pension plan clients · 5 to 4Jun 30, 2023 to Mar 29, 2024
- Employees · 13 to 12Jun 30, 2023 to Mar 29, 2024
- State-registered IARs · 3 to 2Jun 30, 2023 to Mar 29, 2024
- Other offices · 1 to 0Jun 30, 2023 to Mar 29, 2024
- Discretionary RAUM · $555M to $603MJun 30, 2023 to Mar 29, 2024
- HNW RAUM · $385M to $428MJun 30, 2023 to Mar 29, 2024
- Pension RAUM · $8.6M to $8.8MJun 30, 2023 to Mar 29, 2024
- RAUM · $555M to $603MJun 30, 2023 to Mar 29, 2024
- Corporate clients · 15 to 13Feb 24, 2022 to Mar 15, 2023
- HNW clients · 126 to 130Feb 24, 2022 to Mar 15, 2023
- State-registered IARs · 1 to 3Feb 24, 2022 to Mar 15, 2023
- Discretionary RAUM · $611M to $555MFeb 24, 2022 to Mar 15, 2023
- HNW RAUM · $425M to $385MFeb 24, 2022 to Mar 15, 2023
- Pension RAUM · $9.5M to $8.6MFeb 24, 2022 to Mar 15, 2023
- RAUM · $611M to $555MFeb 24, 2022 to Mar 15, 2023
Signals
6 dated events
- J•••• T•••••• T••••• (Chief Operating Officer) no longer on Schedule A of S•••••• A•••• M••••••••• L•••••• (listed 2022-02-24, absent 2023-03-15)Mar 15, 2023 · Control person left · inference
- Alec J•••• Philip Collins (Co-Chief Investment Officer) appeared on Schedule A of S•••••• A•••• M••••••••• L••••••Mar 15, 2023 · Control person joined · fact
- Miles Jeremy Thomas (Co-Chief Investment Officer) appeared on Schedule A of S•••••• A•••• M••••••••• L••••••Mar 15, 2023 · Control person joined · fact
- Yacoub Joseph Safra (Shareholder) no longer on Schedule A of S•••••• A•••• M••••••••• L•••••• (listed 2020-11-04, absent 2021-03-01)Mar 1, 2021 · Control person left · inference
- Nicholas Mckinlay Thomas Service (Chairman) no longer on Schedule A of S•••••• A•••• M••••••••• L•••••• (listed 2019-10-04, absent 2020-03-28)Mar 28, 2020 · Control person left · inference
- Elizabeth Caroline Wells (Chief Compliance Officer) no longer on Schedule A of S•••••• A•••• M••••••••• L•••••• (listed 2019-10-04, absent 2020-03-28)Mar 28, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- s•••••••••.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- +(44)(20)7038 7000reportedpublic record, Form ADV, Mar 19, 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
- Bank affiliated wealth managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $277Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026