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

G•••••• A•••• M•••••••• L••

Former SEC-registered adviserGuernsey, Channel Islands, CRD 131106SEC 801-63020IAPD
Latest filing Mar 29, 2021
First filing on the tape Nov 28, 2011 · 31 filings
RAUM
$296M
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
71
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$296M as of Mar 29, 2021
Mar 30, 2012$29B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2021
Apr 1, 20130 then
Employees (5.A)71 as of Mar 29, 2021
Apr 1, 201368 then
Private funds4 as of Mar 29, 2019
Mar 30, 201210 then
RAUM +19% over the last fiscal year-78% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
$32.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
5.5%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
+19%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 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
  • 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)
  • 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$279M95%
  • State and municipal entities$11.2M3.8%
  • Pension and profit-sharing plans$5.0M1.7%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
2reported
Charitable clients
n/areported
Accounts
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      G•••••• S•••••• C•••••••• S••••no longer reportedOther Private Fund$128M21Mar 30, 2012
      G•••••• E••••••• M•••••• O••••••••• F••• P••••• L•••••• C••••••no longer reportedOther Private Fund$89.1M9Mar 30, 2012
      G•••••• E••••••• M•••••• V••• T••••no longer reportedOther Private Fund$50.8M2Mar 30, 2012
      G•••••• E••••••• M•••••• O••••••••• F••• L••••••no longer reportedOther Private Fund$1.2M15Mar 30, 2012
      G•••••• E••••••• M•••••• O••••••••• F••• L•••••• I•no longer reportedOther Private Fund$290,30811Mar 30, 2012
      G•••••• I••••• I••••••••• C•••••• L••••••no longer reportedOther Private Fund$00Mar 30, 2012
      G•••••• E••••••• M•••••• O••••••••• F••• L•••••• I••no longer reportedOther Private Fund$00Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
        Entity owners
        • G•••••• I••••••••• M••••••••• L•• · Managing Partner
          direct · owns 75% or more
        • A••••••••• M••••••• G••••• I••• · Shareholder
          indirect · owns 75% or more of A•• N•• Y••• H••••••• C•••• · public reporting company
        • A•• A••••••• H••••••• L•• · Managing Member
          indirect · owns 75% or more of A•• G••••••• L••
        • A•• G••••••• L•• · Managing Partner
          indirect · owns 50% to 75% of G•••••• I••••••••• M••••••••• L••
        • A•• N•• Y••• H••••••• C•••• · Managing Member
          indirect · owns 75% or more of A•• A••••••• H••••••• L••
        • G•••••• C•••••••• H••••••• L•••••• · Partner
          direct · owns less than 5%
        Related persons
        Schedule D 7.A
        Offices
        Schedule D 1.F, the 25 largest
        No branch office listed.
        What changed
        consecutive filings, newest first
        • Advisory employees · 12 to 14
          Mar 27, 2020 to Mar 29, 2021
        • Employees · 70 to 71
          Mar 27, 2020 to Mar 29, 2021
        • Discretionary RAUM · $248M to $296M
          Mar 27, 2020 to Mar 29, 2021
        • Pension RAUM · $3.6M to $5.0M
          Mar 27, 2020 to Mar 29, 2021
        • Pooled vehicle RAUM · $236M to $279M
          Mar 27, 2020 to Mar 29, 2021
        • RAUM · $248M to $296M
          Mar 27, 2020 to Mar 29, 2021
        • Advisory employees · 11 to 12
          Jul 30, 2019 to Mar 27, 2020
        • Employees · 69 to 70
          Jul 30, 2019 to Mar 27, 2020
        • Discretionary RAUM · $364M to $248M
          Jul 30, 2019 to Mar 27, 2020
        • Pension RAUM · $3.9M to $3.6M
          Jul 30, 2019 to Mar 27, 2020
        • Pooled vehicle RAUM · $347M to $236M
          Jul 30, 2019 to Mar 27, 2020
        • RAUM · $364M to $248M
          Jul 30, 2019 to Mar 27, 2020
        • Accounts · 17 to 9
          May 9, 2019 to Jul 30, 2019
        • Pension plan clients · 7 to 2
          May 9, 2019 to Jul 30, 2019
        • Assets in custody · 728943951.0 to unset
          May 9, 2019 to Jul 30, 2019
        • Custody of client assets · true to false
          May 9, 2019 to Jul 30, 2019
        • Private funds · 4 to unset
          May 9, 2019 to Jul 30, 2019
        • Discretionary RAUM · $18B to $364M
          May 9, 2019 to Jul 30, 2019
        • Pension RAUM · $4.3B to $3.9M
          May 9, 2019 to Jul 30, 2019
        • Pooled vehicle RAUM · $12B to $347M
          May 9, 2019 to Jul 30, 2019
        • RAUM · $18B to $364M
          May 9, 2019 to Jul 30, 2019
        • Accounts · 27 to 17
          Oct 30, 2018 to Mar 29, 2019
        • Advisory employees · 12 to 11
          Oct 30, 2018 to Mar 29, 2019
        • Advisory activities · 3 to 2
          Oct 30, 2018 to Mar 29, 2019
        • Pension plan clients · 12 to 7
          Oct 30, 2018 to Mar 29, 2019
        • Pooled vehicle clients · 9 to 6
          Oct 30, 2018 to Mar 29, 2019
        • Assets in custody · $1.5B to $729M
          Oct 30, 2018 to Mar 29, 2019
        • Private funds · 6 to 4
          Oct 30, 2018 to Mar 29, 2019
        • Discretionary RAUM · $28B to $18B
          Oct 30, 2018 to Mar 29, 2019
        • Pension RAUM · $6.4B to $4.3B
          Oct 30, 2018 to Mar 29, 2019
        • Pooled vehicle RAUM · $19B to $12B
          Oct 30, 2018 to Mar 29, 2019
        • RAUM · $28B to $18B
          Oct 30, 2018 to Mar 29, 2019
        • Accounts · 29 to 27
          Jul 17, 2017 to Mar 28, 2018
        • Advisory employees · 13 to 12
          Jul 17, 2017 to Mar 28, 2018
        • Pension plan clients · unset to 12.0
          Jul 17, 2017 to Mar 28, 2018
        • Pooled vehicle clients · unset to 9.0
          Jul 17, 2017 to Mar 28, 2018
        • Assets in custody · $1.2B to $1.5B
          Jul 17, 2017 to Mar 28, 2018
        • Employees · 72 to 69
          Jul 17, 2017 to Mar 28, 2018
        • Other offices · unset to 0.0
          Jul 17, 2017 to Mar 28, 2018
        • Private funds · 8 to 6
          Jul 17, 2017 to Mar 28, 2018
        Signals
        21 dated events
        • G•••••• A•••• M•••••••• L•• reported RAUM $248.0M, down 32% from $364.1M (2019-07-30 to 2020-03-27)
          Mar 27, 2020 · RAUM change · derived
        • G•••••• A•••• M•••••••• L•• reported RAUM $364.1M, down 98% from $18.2B (2019-05-09 to 2019-07-30)
          Jul 30, 2019 · RAUM change · derived
        • Jane Catherine Vlasto (Principal / Partner) no longer on Schedule A of G•••••• A•••• M•••••••• L•• (listed 2019-05-09, absent 2019-07-30)
          Jul 30, 2019 · Control person left · inference
        • Graham Andrew Elder (Principal / Partner) no longer on Schedule A of G•••••• A•••• M•••••••• L•• (listed 2019-05-09, absent 2019-07-30)
          Jul 30, 2019 · Control person left · inference
        • Arindam Bhattacharjee (Principal / Partner) no longer on Schedule A of G•••••• A•••• M•••••••• L•• (listed 2019-05-09, absent 2019-07-30)
          Jul 30, 2019 · Control person left · inference
        • Yiyong Yang (Principal / Partner) no longer on Schedule A of G•••••• A•••• M•••••••• L•• (listed 2019-05-09, absent 2019-07-30)
          Jul 30, 2019 · Control person left · inference
        • Roy Christopher Ellyatt (Managing Director / Partner / Principal / Chief Compliance Officer) no longer on Schedule A of G•••••• A•••• M•••••••• L•• (listed 2019-05-09, absent 2019-07-30)
          Jul 30, 2019 · Control person left · inference
        • Natalie Karen Roydon (Principal / Partner) no longer on Schedule A of G•••••• A•••• M•••••••• L•• (listed 2019-05-09, absent 2019-07-30)
          Jul 30, 2019 · Control person left · inference
        • Gerard Mel Carvill (Operating Committee Member) no longer on Schedule A of G•••••• A•••• M•••••••• L•• (listed 2019-05-09, absent 2019-07-30)
          Jul 30, 2019 · Control person left · inference
        • John Peter Hames (Operating Committee Member) no longer on Schedule A of G•••••• A•••• M•••••••• L•• (listed 2019-05-09, absent 2019-07-30)
          Jul 30, 2019 · Control person left · inference
        • Nigel Stephen Birkett (Operating Committee Member) no longer on Schedule A of G•••••• A•••• M•••••••• L•• (listed 2019-05-09, absent 2019-07-30)
          Jul 30, 2019 · Control person left · inference
        • Edward John Hallam (Operating Committee Member) no longer on Schedule A of G•••••• A•••• M•••••••• L•• (listed 2019-05-09, absent 2019-07-30)
          Jul 30, 2019 · Control person left · inference
        • Naylor Mark Huntley (Operating Committee Member) no longer on Schedule A of G•••••• A•••• M•••••••• L•• (listed 2019-05-09, absent 2019-07-30)
          Jul 30, 2019 · Control person left · inference
        • William Robert Shillinglaw (Finance Director) no longer on Schedule A of G•••••• A•••• M•••••••• L•• (listed 2019-05-09, absent 2019-07-30)
          Jul 30, 2019 · Control person left · inference
        • Gary Robert Bricout (Chief Legal Officer) no longer on Schedule A of G•••••• A•••• M•••••••• L•• (listed 2019-05-09, absent 2019-07-30)
          Jul 30, 2019 · Control person left · inference
        • Peter Jens Moller-Butcher (Chief Operating Officer) no longer on Schedule A of G•••••• A•••• M•••••••• L•• (listed 2019-05-09, absent 2019-07-30)
          Jul 30, 2019 · Control person left · inference
        • Lewis Rufus Frazier (Principal / Partner) no longer on Schedule A of G•••••• A•••• M•••••••• L•• (listed 2019-05-09, absent 2019-07-30)
          Jul 30, 2019 · Control person left · inference
        • John Stephen Le Page (Operating Committee Member) no longer on Schedule A of G•••••• A•••• M•••••••• L•• (listed 2019-05-09, absent 2019-07-30)
          Jul 30, 2019 · Control person left · inference
        • Andres Mario Solari (Principal / Partner) no longer on Schedule A of G•••••• A•••• M•••••••• L•• (listed 2019-05-09, absent 2019-07-30)
          Jul 30, 2019 · Control person left · inference
        • Simon Richard Mather (Principal / Partner) no longer on Schedule A of G•••••• A•••• M•••••••• L•• (listed 2019-05-09, absent 2019-07-30)
          Jul 30, 2019 · Control person left · inference
        • G•••••• A•••• M•••••••• L•• reported RAUM $18.2B, down 35% from $27.9B (2018-10-30 to 2019-03-29)
          Mar 29, 2019 · RAUM change · derived
        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