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Former SEC-registered adviserFormer SEC adviser· London

Former SEC-registered adviser, based in London.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
Not applicable
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
Not established
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 20 Form ADV filings for this adviser, the latest 2.8 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 121024 · SEC 801-61289 · 20 filingsShow
CRD 121024SEC 801-61289Legal name T••••••••• L••••••First filing on the tape Apr 19, 2012, latest Nov 13, 2023IAPD
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
5
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$102M as of Nov 14, 2014
Oct 24, 2012$369M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2023
Oct 24, 20120 then
Employees (5.A)5 as of Mar 31, 2023
Dec 2, 201320 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Nov 13, 2023; 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
unknownderived1 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
fixed fees, performance-based, commissionsreportedItem 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
Also answered yes on Form ADV
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
1reported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, performance, commissionsreported
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
      • A••••• K•••• · Directorcontrol
        since 09/2023 · owns less than 5%
      • L••••••• G•••••••• P••••• · Chief Compliance Officercontrol
        since 03/2020 · owns less than 5%
      • R•••••••• R•••••• G•• · Directorcontrol
        since 10/2023 · owns less than 5%
      Entity owners
      • G•••••• H•••• P•• · Ultimate Beneficial Owner
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 16 to 0
        May 2, 2022 to Mar 31, 2023
      • Advisory activities · 5 to 1
        May 2, 2022 to Mar 31, 2023
      • Charity clients · 14 to 1
        May 2, 2022 to Mar 31, 2023
      • Corporate clients · unset to 9.0
        May 2, 2022 to Mar 31, 2023
      • Pooled vehicle clients · unset to 1.0
        May 2, 2022 to Mar 31, 2023
      • Employees · 20 to 5
        May 2, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · unset to 0.0
        May 2, 2022 to Mar 31, 2023
      • Related broker-dealer · true to false
        May 2, 2022 to Mar 31, 2023
      • Employees · 18 to 20
        Apr 1, 2021 to May 2, 2022
      • HQ city · CITY OF LONDON to LONDON
        Apr 1, 2021 to May 2, 2022
      • Advisory employees · 18 to 16
        Aug 19, 2020 to Apr 1, 2021
      • Charity clients · 17 to 14
        Aug 19, 2020 to Apr 1, 2021
      • Corporate clients · 10.0 to unset
        Aug 19, 2020 to Apr 1, 2021
      • Employees · 22 to 18
        Aug 19, 2020 to Apr 1, 2021
      • Assets in custody · 122460000.0 to unset
        Oct 31, 2019 to Jul 10, 2020
      • Employees · 28 to 22
        Oct 31, 2019 to Jul 10, 2020
      • HQ city · LONDON to CITY OF LONDON
        Oct 31, 2019 to Jul 10, 2020
      • Advisory employees · 16 to 18
        Oct 31, 2018 to Oct 31, 2019
      • Charity clients · 22 to 17
        Oct 31, 2018 to Oct 31, 2019
      • Corporate clients · 9 to 10
        Oct 31, 2018 to Oct 31, 2019
      • Assets in custody · $131M to $122M
        Oct 31, 2018 to Oct 31, 2019
      • Employees · 26 to 28
        Oct 31, 2018 to Oct 31, 2019
      • Advisory employees · 17 to 16
        Oct 31, 2017 to Oct 31, 2018
      • Charity clients · 25 to 22
        Oct 31, 2017 to Oct 31, 2018
      • Corporate clients · unset to 9.0
        Oct 31, 2017 to Oct 31, 2018
      • Assets in custody · unset to 131170000.0
        Oct 31, 2017 to Oct 31, 2018
      • Employees · 28 to 26
        Oct 31, 2017 to Oct 31, 2018
      • Related broker-dealer · false to true
        Oct 31, 2017 to Oct 31, 2018
      • Advisory employees · 20 to 17
        Nov 3, 2016 to Oct 31, 2017
      • Charity clients · unset to 25.0
        Nov 3, 2016 to Oct 31, 2017
      • Employees · 25 to 28
        Nov 3, 2016 to Oct 31, 2017
      • Other offices · unset to 0.0
        Nov 3, 2016 to Oct 31, 2017
      • Accounts · 8.0 to unset
        Nov 14, 2014 to Oct 29, 2015
      • Advisory employees · 15 to 20
        Nov 14, 2014 to Oct 29, 2015
      • Employees · 20 to 25
        Nov 14, 2014 to Oct 29, 2015
      • Discretionary RAUM · 0.0 to unset
        Nov 14, 2014 to Oct 29, 2015
      • Non-discretionary RAUM · 101975461.0 to unset
        Nov 14, 2014 to Oct 29, 2015
      • RAUM · 101975461.0 to unset
        Nov 14, 2014 to Oct 29, 2015
      • Non-discretionary RAUM · $186M to $102M
        Dec 12, 2013 to Nov 14, 2014
      • RAUM · $186M to $102M
        Dec 12, 2013 to Nov 14, 2014
      Signals
      6 dated events
      • ••• Locked
        Nov 13, 2023 · Control person joined · fact
      • ••• Locked
        Sep 7, 2023 · Control person left · inference
      • ••• Locked
        Sep 7, 2023 · Control person joined · fact
      • ••• Locked
        Mar 31, 2023 · Control person left · inference
      • ••• Locked
        Aug 11, 2020 · Control person joined · fact
      • ••• Locked
        Jul 10, 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.
      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