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

L•••• P••••••• L••••••

Former SEC-registered adviserIsle Of Man, CRD 125239SEC 801-61823IAPD
Latest filing Sep 22, 2016
First filing on the tape Apr 2, 2012 · 8 filings
RAUM
$104M
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
8
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
9
$104M gross assets
History
8 filings and snapshots on the tape
RAUM$104M as of Sep 20, 2016
Apr 2, 2012$888M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 20, 2016
Apr 2, 20120 then
Employees (5.A)8 as of Sep 20, 2016
Nov 12, 201210 then
Private funds9 as of Sep 20, 2016
Apr 2, 201212 then
RAUM -5.1% over the last fiscal year-13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 22, 2016; 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
$11.6MderivedRAUM 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
-5.1%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 institutionsreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
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
n/areported
Accounts
9reported
Financial planning clients
0reported
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
      14 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      V••Other Private Fund$13.4M65Nov 12, 2012
      L••Other Private Fund$8.0M2Apr 2, 2012
      L••••Other Private Fund$7.2M2Apr 2, 2012
      T••Other Private Fund$6.0M73Sep 27, 2018
      L•••Other Private Fund$2.6M1Apr 2, 2012
      N••no longer reportedOther Private Fund$1.4M1Apr 2, 2012
      T••••Other Private Fund$848,2869Apr 2, 2012
      L••Other Private Fund$766,3663Apr 2, 2012
      L••••Other Private Fund$755,9961Apr 2, 2012
      S••••••no longer reportedOther Private Fund$612,0321Apr 2, 2012
      L•••Other Private Fund$534,6431Apr 2, 2012
      L•••Other Private Fund$13,6482Apr 2, 2012
      L••Other Private Fund$9,4543Apr 2, 2012
      L••no longer reportedOther Private Fund$01Apr 2, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • H••••• M•••••• · Managing Directorcontrol
        since 03/2002 · owns less than 5%
      • K••••••••• C•••• · Non Executive Directorcontrol
        since 12/1998 · owns less than 5%
      • M•••••• I••• E••••• · Finance Directorcontrol
        since 07/2013 · owns less than 5%
      • P••••• A••••• · Non Executive Directorcontrol
        since 12/1999 · owns less than 5%
      • B••••• C••••••••• · Independent Non-Executive Director
        since 08/2013 · owns less than 5%
      • P••••••• C•••• · Independent Non-Executive Director
        since 07/2013 · owns less than 5%
      Related persons
      Schedule D 7.A
      Advisers that list L•••• P••••••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom
      What changed
      consecutive filings, newest first
      • Accounts · 11 to 9
        Aug 27, 2015 to Sep 20, 2016
      • Private funds · 10 to 9
        Aug 27, 2015 to Sep 20, 2016
      • Discretionary RAUM · $110M to $104M
        Aug 27, 2015 to Sep 20, 2016
      • RAUM · $110M to $104M
        Aug 27, 2015 to Sep 20, 2016
      • Accounts · 14 to 11
        Mar 10, 2015 to Aug 27, 2015
      • Private funds · 13 to 10
        Mar 10, 2015 to Aug 27, 2015
      • Discretionary RAUM · $119M to $110M
        Mar 10, 2015 to Aug 27, 2015
      • RAUM · $119M to $110M
        Mar 10, 2015 to Aug 27, 2015
      • Discretionary RAUM · $159M to $119M
        Sep 25, 2013 to Sep 26, 2014
      • RAUM · $159M to $119M
        Sep 25, 2013 to Sep 26, 2014
      • Employees · 10 to 8
        Nov 12, 2012 to Sep 25, 2013
      • Discretionary RAUM · $577M to $159M
        Nov 12, 2012 to Sep 25, 2013
      • RAUM · $577M to $159M
        Nov 12, 2012 to Sep 25, 2013
      • Advisory employees · unset to 3.0
        Apr 2, 2012 to Nov 12, 2012
      • Employees · unset to 10.0
        Apr 2, 2012 to Nov 12, 2012
      • Private funds · 12 to 13
        Apr 2, 2012 to Nov 12, 2012
      • Discretionary RAUM · $888M to $577M
        Apr 2, 2012 to Nov 12, 2012
      • RAUM · $888M to $577M
        Apr 2, 2012 to Nov 12, 2012
      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