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

C•••• R••• C•••••• L••••••

Former SEC-registered adviserLondon, CRD 123170SEC 801-61552IAPD
Latest filing Dec 23, 2021
First filing on the tape Jan 17, 2012 · 28 filings
RAUM
$10B
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
7
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$8.0B gross assets
History
28 filings and snapshots on the tape
RAUM$10B as of Dec 23, 2021
Jan 17, 2012$7.2B then
HNW client RAUM$0 as of Dec 23, 2021
Jan 21, 2019$0 then
State-registered IARs (5.B.3)0 as of Dec 23, 2021
Jan 17, 20120 then
Employees (5.A)7 as of Dec 23, 2021
Nov 15, 20126 then
Private funds1 as of Dec 23, 2021
Jan 17, 20121 then
RAUM -11% over the last fiscal year-2.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 23, 2021; 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
$2.6BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.6%derivedpensions, 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
-11%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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$9.7B97%
  • Pension and profit-sharing plans$271M2.7%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
0reported
Accounts
4reported
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•••• R••• C•••••• P••••••• L••Other Private Fund$8.0B207Jan 17, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• J••• I••••••• · Directorcontrol
        since 06/2002 · owns less than 5%
      • B••••• A•••••• C•••••• · Director, Chief Executive Officercontrol
        since 06/2002 · owns 75% or more
      • M••••••• S••••• J••• · Director, Chief Compliance Officercontrol
        since 11/2021 · owns less than 5%
      Related persons
      Schedule D 7.A
      • C•••• R••• C•••••• L••
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 5 to 6
        Nov 25, 2021 to Dec 23, 2021
      • Discretionary RAUM · $10B to $10B
        Nov 25, 2021 to Dec 23, 2021
      • Pooled vehicle RAUM · $9.6B to $9.7B
        Nov 25, 2021 to Dec 23, 2021
      • RAUM · $10B to $10B
        Nov 25, 2021 to Dec 23, 2021
      • Accounts · 5 to 4
        Nov 22, 2021 to Nov 25, 2021
      • Employees · 9 to 7
        Nov 22, 2021 to Nov 25, 2021
      • Discretionary RAUM · $12B to $10B
        Nov 22, 2021 to Nov 25, 2021
      • Pension RAUM · $269M to $271M
        Nov 22, 2021 to Nov 25, 2021
      • Pooled vehicle RAUM · $11B to $9.6B
        Nov 22, 2021 to Nov 25, 2021
      • RAUM · $12B to $10B
        Nov 22, 2021 to Nov 25, 2021
      • Advisory employees · 7 to 5
        Jan 26, 2021 to Nov 22, 2021
      • Employees · 8 to 9
        Jan 26, 2021 to Nov 22, 2021
      • Accounts · 6 to 5
        Jan 22, 2020 to Jan 26, 2021
      • Financial planning clients · 0 to unset
        Jan 22, 2020 to Jan 26, 2021
      • Discretionary RAUM · $13B to $12B
        Jan 22, 2020 to Jan 26, 2021
      • Pension RAUM · $286M to $269M
        Jan 22, 2020 to Jan 26, 2021
      • Pooled vehicle RAUM · $12B to $11B
        Jan 22, 2020 to Jan 26, 2021
      • RAUM · $13B to $12B
        Jan 22, 2020 to Jan 26, 2021
      • Accounts · 7 to 6
        Jun 24, 2019 to Jan 22, 2020
      • Advisory employees · 6 to 7
        Jun 24, 2019 to Jan 22, 2020
      • Charity clients · unset to 0.0
        Jun 24, 2019 to Jan 22, 2020
      • Corporate clients · unset to 0.0
        Jun 24, 2019 to Jan 22, 2020
      • Pension plan clients · 1.0 to unset
        Jun 24, 2019 to Jan 22, 2020
      • Discretionary RAUM · $11B to $13B
        Jun 24, 2019 to Jan 22, 2020
      • Pension RAUM · $267M to $286M
        Jun 24, 2019 to Jan 22, 2020
      • Pooled vehicle RAUM · $9.6B to $12B
        Jun 24, 2019 to Jan 22, 2020
      • RAUM · $11B to $13B
        Jun 24, 2019 to Jan 22, 2020
      • Advisory employees · 5 to 6
        Jan 21, 2019 to Mar 6, 2019
      • Employees · 7 to 8
        Jan 21, 2019 to Mar 6, 2019
      • Accounts · 8 to 7
        Mar 19, 2018 to Jan 21, 2019
      • Pooled vehicle clients · 3 to 2
        Mar 19, 2018 to Jan 21, 2019
      • Discretionary RAUM · $13B to $11B
        Mar 19, 2018 to Jan 21, 2019
      • HNW RAUM · unset to 0.0
        Mar 19, 2018 to Jan 21, 2019
      • Individual RAUM · unset to 0.0
        Mar 19, 2018 to Jan 21, 2019
      • Pension RAUM · $414M to $267M
        Mar 19, 2018 to Jan 21, 2019
      • Pooled vehicle RAUM · $11B to $9.6B
        Mar 19, 2018 to Jan 21, 2019
      • RAUM · $13B to $11B
        Mar 19, 2018 to Jan 21, 2019
      • Accounts · 11 to 8
        Jan 24, 2017 to Jan 3, 2018
      • HNW clients · unset to 0.0
        Jan 24, 2017 to Jan 3, 2018
      • Individual clients · unset to 0.0
        Jan 24, 2017 to Jan 3, 2018
      Signals
      2 dated events
      • Jane Sarah Maidens (Director, Chief Compliance Officer) appeared on Schedule A of C•••• R••• C•••••• L••••••
        Nov 22, 2021 · Control person joined · fact
      • David Miller (Director) no longer on Schedule A of C•••• R••• C•••••• L•••••• (listed 2019-01-21, absent 2019-03-06)
        Mar 6, 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