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••••••• L••• I••••••••• •••• L••••••
Latest filing May 7, 2018
First filing on the tape Mar 30, 2012 · 20 filings
RAUM
$24B
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
109
51 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$24B as of Mar 30, 2018
Mar 30, 2012$11B then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 30, 2018
Mar 30, 20120 then
Employees (5.A)109 as of Mar 30, 2018
Mar 27, 201352 then
Private funds: no history
RAUM -24% over the last fiscal year-2.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 7, 2018; 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
- $502MderivedRAUM 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
- -24%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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$22B95%
- Pooled investment vehicles$620M2.6%
- Investment companies$584M2.5%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 47reported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••••••• C••••••••• T••••• · Directorcontrolsince 11/2017 · owns less than 5%
- H•••••• B•••••••• •••• · Directorcontrolsince 11/2017 · owns less than 5%
- L•••••• E•••••• N•• · Directorcontrolsince 05/2016 · owns less than 5%
- M•••••• J••••••• G•••• · Directorcontrolsince 02/2018 · owns less than 5%
- Q••••• L••••• M•••• · Chief Compliance Officersince 12/2017 · owns less than 5%
Entity owners
- S••••••• L••• I••••••••• L•••••• · 100% Equity Ownerdirect · owns 75% or more
- S••••••• L••• A••••••• P•• · 100% Equity Ownerindirect · owns 75% or more of S••••••• L••• I••••••••• H••••••• L••••••
- S••••••• L••• I••••••••• H••••••• L•••••• · 100% Equity Ownerindirect · owns 75% or more of S••••••• L••• I••••••••• L••••••
Related persons
Schedule D 7.A
- Abrdn Investments L••••••investment advisernRAUM $207B
- Abrdn A••• L••••••investment advisernRAUM $40B
- A••••••• A•••• M••••••••• C••••• L••••••investment advisern
- A••••••• A•••• M••••••••• C••••• L••••••pooled vehicle sponsorn
- Abrdn Inc.investment adviserbanknRAUM $41B
- Abrdn Australia L••••••investment advisernRAUM $2.4B
- A••••••• A•••• M••••••••• U• G• C•••••• L••pooled vehicle sponsorn
- Highvista P•••••• Capital Management LLCinvestment advisernRAUM $6.5B
- A••••••• C••••• A••••••••• I••n
- A••••••• E••••• • R•••••••• C•••••• I•• L••pooled vehicle sponsorn
- 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••••••• G• L••••••pooled vehicle sponsorn
- A••••••• G••••• S••••••• S•••investment advisern
- A••••••• P•••••• E••••• C•••••• V••• L••pooled vehicle sponsorn
- A••••••• S••••••• I••••••••• •••• K•••• L••••••investment advisern
- A••••••• S••••••• I••••••••• •••••• L••••••investment advisern
- A••••••• U• I••••••••• C•••• G• L••••••pooled vehicle sponsorn
- A••••••• V•••••• C•••••• X• L••pooled vehicle sponsorn
- A••••• S••••• I••••••••• G• L••••••investment advisern
- A•••• A•••• M••••••••• L••investment advisernRAUM $9.3B
- F••• A••• C•••••• I••• L•••pooled vehicle sponsorn
- F••• E••••• • R•••••••• C•••••• I•• L••pooled vehicle sponsorn
- F••• E••••• • R•••••••• C•••••• I••• L••pooled vehicle sponsorn
- F••• G••••• C••••••• L••pooled vehicle sponsorn
- F••• I••••••••• C•••••• I•• L•••pooled vehicle sponsorn
Advisers that list S••••••• L••• I••••••••• •••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- Toronto, Canada2 employees
What changed
consecutive filings, newest first
- Accounts · 53 to 47Feb 21, 2018 to Mar 30, 2018
- Advisory employees · 73 to 51Feb 21, 2018 to Mar 30, 2018
- BD registered reps · 24 to 27Feb 21, 2018 to Mar 30, 2018
- Employees · 108 to 109Feb 21, 2018 to Mar 30, 2018
- Discretionary RAUM · $31B to $24BFeb 21, 2018 to Mar 30, 2018
- Pooled vehicle RAUM · $629M to $620MFeb 21, 2018 to Mar 30, 2018
- RAUM · $31B to $24BFeb 21, 2018 to Mar 30, 2018
- Charity clients · unset to 0.0Aug 21, 2017 to Nov 10, 2017
- Corporate clients · unset to 0.0Aug 21, 2017 to Nov 10, 2017
- HNW clients · unset to 0.0Aug 21, 2017 to Nov 10, 2017
- Individual clients · unset to 0.0Aug 21, 2017 to Nov 10, 2017
- Pension plan clients · unset to 0.0Aug 21, 2017 to Nov 10, 2017
- Pooled vehicle clients · unset to 1.0Aug 21, 2017 to Nov 10, 2017
- Other offices · unset to 1.0Aug 21, 2017 to Nov 10, 2017
- HNW RAUM · unset to 0.0Aug 21, 2017 to Nov 10, 2017
- Individual RAUM · unset to 0.0Aug 21, 2017 to Nov 10, 2017
- Pension RAUM · unset to 0.0Aug 21, 2017 to Nov 10, 2017
- Pooled vehicle RAUM · unset to 629357473.0Aug 21, 2017 to Nov 10, 2017
- Accounts · 56 to 53Dec 19, 2016 to Mar 30, 2017
- Advisory employees · 33 to 73Dec 19, 2016 to Mar 30, 2017
- Employees · 113 to 108Dec 19, 2016 to Mar 30, 2017
- Financial planning clients · 0 to unsetDec 19, 2016 to Mar 30, 2017
- Discretionary RAUM · $29B to $31BDec 19, 2016 to Mar 30, 2017
- RAUM · $29B to $31BDec 19, 2016 to Mar 30, 2017
- Accounts · 40 to 56Sep 9, 2015 to Mar 30, 2016
- Advisory employees · 34 to 33Sep 9, 2015 to Mar 30, 2016
- BD registered reps · 18 to 24Sep 9, 2015 to Mar 30, 2016
- Employees · 82 to 113Sep 9, 2015 to Mar 30, 2016
- Discretionary RAUM · $25B to $29BSep 9, 2015 to Mar 30, 2016
- RAUM · $25B to $29BSep 9, 2015 to Mar 30, 2016
- Accounts · 24 to 40May 21, 2014 to Mar 31, 2015
- Advisory employees · 30 to 34May 21, 2014 to Mar 31, 2015
- Advisory activities · 1 to 2May 21, 2014 to Mar 31, 2015
- BD registered reps · 11 to 18May 21, 2014 to Mar 31, 2015
- Employees · 65 to 82May 21, 2014 to Mar 31, 2015
- Discretionary RAUM · $15B to $25BMay 21, 2014 to Mar 31, 2015
- RAUM · $15B to $25BMay 21, 2014 to Mar 31, 2015
- Accounts · 23 to 24Mar 27, 2013 to Mar 31, 2014
- Advisory employees · 29 to 30Mar 27, 2013 to Mar 31, 2014
- BD registered reps · 3 to 11Mar 27, 2013 to Mar 31, 2014
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