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

F•••• C•••••• •••• L••••••

Former SEC-registered adviserDouglas, CRD 118090SEC 801-60865IAPD
Latest filing Mar 18, 2022
First filing on the tape Mar 14, 2012 · 36 filings
RAUM
$2.1B
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
68
27 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$617M gross assets
History
36 filings and snapshots on the tape
RAUM$2.1B as of Mar 18, 2022
Mar 14, 2012$2.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 18, 2022
Mar 14, 20120 then
Employees (5.A)68 as of Mar 18, 2022
Mar 21, 201364 then
Private funds1 as of Mar 18, 2022
Mar 14, 20124 then
RAUM -17% over the last fiscal year-7.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 18, 2022; 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
$350MderivedRAUM 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
-17%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 vehicles, selection of other advisers, otherreportedItem 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
  • Pooled investment vehicles$1.8B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
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 departureEvery arrival
      Private funds
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      M•••• U••••••• F••• P•••••••• E••••••• M•••••• D••••••• F•••no longer reportedHedge Fund$328M122Mar 21, 2014
      C••••••••• G••••• O••••••••• L••••••no longer reportedHedge Fund$324M2Mar 14, 2012
      O••• E•••••• E••••••• F•••Hedge Fund$180M82Mar 14, 2012
      M•••• U••••••• F••• P•••••••• E•••••• E••••••• F•••no longer reportedHedge Fund$26.0M59Mar 14, 2012
      M•••• U••••••• F••• P•••••••• L•••• A••••••• F•••no longer reportedHedge Fund$18.8M47Mar 21, 2014
      M•••• U••••••• F••• P•••••••• G••••• E••••••• M•••••• F•••no longer reportedHedge Fund$11.6M33Mar 14, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • F••••• A••••••• •••• · Chief Compliance Officercontrol
        since 10/2021 · owns less than 5%
      • J••••• H••• L•••• · Director Of F•••• C•••••• ••••••• L••••••, F•••• C•••••• •••• L•••••• And F•••• C•••••• ••• L••••••control
        since 10/2018 · owns less than 5%
      • O•••••••• C••••••••• M••• · Director Of F•••• C•••••• •••• L•••••• And F•••• C•••••• ••• L••••••control
        since 10/2020 · owns less than 5%
      • W••••••• A••••••••• A••••••• · Director Of F•••• C•••••• ••••••• L•••••• And F•••• C•••••• •••• L••••••control
        since 10/2018 · owns less than 5%
      Entity owners
      • F•••• C•••••• ••••••• L•••••• · 100% Owner
        direct · owns 75% or more
      • F•••• C•••••• C••••••••• · Shareholder
        indirect · owns 75% or more of F•••• C•••••• ••••••• L••••••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom27 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 39 to 27
        Nov 1, 2021 to Mar 18, 2022
      • Accounts · 10 to 6
        Nov 1, 2021 to Mar 18, 2022
      • Pooled vehicle clients · 3 to 2
        Nov 1, 2021 to Mar 18, 2022
      • Employees · 79 to 68
        Nov 1, 2021 to Mar 18, 2022
      • Private funds · 2 to 1
        Nov 1, 2021 to Mar 18, 2022
      • Discretionary RAUM · $2.5B to $2.1B
        Nov 1, 2021 to Mar 18, 2022
      • Pooled vehicle RAUM · $1.7B to $1.8B
        Nov 1, 2021 to Mar 18, 2022
      • RAUM · $2.5B to $2.1B
        Nov 1, 2021 to Mar 18, 2022
      • Accounts · 12 to 10
        Oct 14, 2020 to Mar 25, 2021
      • Advisory employees · 29 to 39
        Oct 14, 2020 to Mar 25, 2021
      • BD registered reps · 1 to 0
        Oct 14, 2020 to Mar 25, 2021
      • Employees · 80 to 79
        Oct 14, 2020 to Mar 25, 2021
      • Discretionary RAUM · $4.1B to $2.5B
        Oct 14, 2020 to Mar 25, 2021
      • Pooled vehicle RAUM · $2.1B to $1.7B
        Oct 14, 2020 to Mar 25, 2021
      • RAUM · $4.1B to $2.5B
        Oct 14, 2020 to Mar 25, 2021
      • Advisory employees · 30 to 29
        Feb 4, 2020 to Mar 20, 2020
      • Employees · 74 to 80
        Feb 4, 2020 to Mar 20, 2020
      • Discretionary RAUM · $2.7B to $4.1B
        Feb 4, 2020 to Mar 20, 2020
      • Pooled vehicle RAUM · $1.8B to $2.1B
        Feb 4, 2020 to Mar 20, 2020
      • RAUM · $2.7B to $4.1B
        Feb 4, 2020 to Mar 20, 2020
      • Advisory employees · 27 to 30
        Jan 7, 2019 to Mar 27, 2019
      • BD registered reps · 0 to 1
        Jan 7, 2019 to Mar 27, 2019
      • Pooled vehicle clients · 11 to 3
        Jan 7, 2019 to Mar 27, 2019
      • Employees · 72 to 74
        Jan 7, 2019 to Mar 27, 2019
      • Discretionary RAUM · $3.1B to $2.7B
        Jan 7, 2019 to Mar 27, 2019
      • Pooled vehicle RAUM · $2.0B to $1.8B
        Jan 7, 2019 to Mar 27, 2019
      • RAUM · $3.1B to $2.7B
        Jan 7, 2019 to Mar 27, 2019
      • Advisory employees · 29 to 27
        Dec 11, 2017 to Mar 22, 2018
      • Advisory activities · 2 to 4
        Dec 11, 2017 to Mar 22, 2018
      • Business name · C••••••••• C•••••• •••• L•••••• to F•••• C•••••• •••• L••••••
        Dec 11, 2017 to Mar 22, 2018
      • Pooled vehicle clients · unset to 11.0
        Dec 11, 2017 to Mar 22, 2018
      • Employees · 66 to 72
        Dec 11, 2017 to Mar 22, 2018
      • Financial planning clients · 0 to unset
        Dec 11, 2017 to Mar 22, 2018
      • Legal name · C••••••••• C•••••• •••• L•••••• to F•••• C•••••• •••• L••••••
        Dec 11, 2017 to Mar 22, 2018
      • Private funds · 1 to 2
        Dec 11, 2017 to Mar 22, 2018
      • Discretionary RAUM · $3.0B to $3.1B
        Dec 11, 2017 to Mar 22, 2018
      • Pooled vehicle RAUM · unset to 1993362772.0
        Dec 11, 2017 to Mar 22, 2018
      • RAUM · $3.0B to $3.1B
        Dec 11, 2017 to Mar 22, 2018
      • Accounts · 20 to 12
        Mar 29, 2017 to Dec 11, 2017
      • Other offices · unset to 1.0
        Mar 29, 2017 to Dec 11, 2017
      Signals
      12 dated events
      • Mcclane Alexander Williamson (Chief Compliance Officer) no longer on Schedule A of F•••• C•••••• •••• L•••••• (listed 2021-05-17, absent 2021-11-01)
        Nov 1, 2021 · Control person left · inference
      • [Nmn] Andreas Franz (Chief Compliance Officer) appeared on Schedule A of F•••• C•••••• •••• L••••••
        Nov 1, 2021 · Control person joined · fact
      • Mcclane Alexander Williamson (Chief Compliance Officer) appeared on Schedule A of F•••• C•••••• •••• L••••••
        May 17, 2021 · Control person joined · fact
      • Dean Gregory Walsh (Chief Compliance Officer) no longer on Schedule A of F•••• C•••••• •••• L•••••• (listed 2021-03-25, absent 2021-05-17)
        May 17, 2021 · Control person left · inference
      • F•••• C•••••• •••• L•••••• reported RAUM $2.5B, down 38% from $4.1B (2020-10-14 to 2021-03-25)
        Mar 25, 2021 · RAUM change · derived
      • Mary Catherine O'Reilly (Executive Director Of F•••• C•••••• •••• L••••••) appeared on Schedule A of F•••• C•••••• •••• L••••••
        Oct 14, 2020 · Control person joined · fact
      • James Richard Lambert (Head Of Investment Operations And Director Of F•••• C•••••• •••• L••••••) no longer on Schedule A of F•••• C•••••• •••• L•••••• (listed 2020-05-15, absent 2020-06-30)
        Jun 30, 2020 · Control person left · inference
      • Vincent Duhamel (Non-Executive Director Of F•••• C•••••• •••• L••••••) no longer on Schedule A of F•••• C•••••• •••• L•••••• (listed 2020-05-05, absent 2020-05-15)
        May 15, 2020 · Control person left · inference
      • F•••• C•••••• •••• L•••••• reported RAUM $4.1B, up 51% from $2.7B (2020-02-04 to 2020-03-20)
        Mar 20, 2020 · RAUM change · derived
      • Vincent Duhamel (Non-Executive Director Of F•••• C•••••• •••• L••••••) appeared on Schedule A of F•••• C•••••• •••• L••••••
        Jan 15, 2020 · Control person joined · fact
      • Anthony Richard Nino (Director Of F•••• C•••••• ••••••• L•••••• And Relevant Subsidiaries Including F•••• C•••••• •••• L••••••) no longer on Schedule A of F•••• C•••••• •••• L•••••• (listed 2019-08-07, absent 2019-11-19)
        Nov 19, 2019 · Control person left · inference
      • Davidson Nairn Jane Mcandry (Senior Vice President, Legal, Compliance & Hr) no longer on Schedule A of F•••• C•••••• •••• L•••••• (listed 2018-10-31, absent 2019-01-07)
        Jan 7, 2019 · 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.
      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