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

N••••••• A•••• M••••••••• L••

Former SEC-registered adviserLondon, CRD 133670SEC 801-63814IAPD
Latest filing Jul 1, 2014
First filing on the tape Dec 13, 2011 · 7 filings
RAUM
$2.3B
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
33
13 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$125M gross assets
History
7 filings and snapshots on the tape
RAUM$2.3B as of Jul 1, 2014
Jun 29, 2012$2.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 1, 2014
Jun 29, 20120 then
Employees (5.A)33 as of Jul 1, 2014
Jun 27, 201339 then
Private funds3 as of Jul 1, 2014
Jun 29, 20125 then
RAUM +5.7% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 1, 2014; 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
$326MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.7%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 institutions, portfolio management for pooled vehiclesreportedItem 5.G
Custody
$1.6B, 8 clientsreportedItem 9.A
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • 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
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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.6B for 8 clientsreported
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
      5 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      N••••••• U• H•••• M••••• F••• L••••••Hedge Fund$181M25Mar 2, 2012
      N••••••• J•••• N•• H••••••• M••••• F•••no longer reportedHedge Fund$128M20Mar 2, 2012
      N••••••• O••••••••• P•••••• E••••• F••• L•Private Equity Fund$00Mar 2, 2012
      N• E••••••• M••••• F•••Hedge Fund$00Mar 2, 2012
      N••••••• I••••••••• F•••• P••••••••• G••••• A••••••• R••••• F•••Other Private Fund$00Mar 2, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • C••••••• R•••••• J••••• · Coocontrol
        since 07/2003 · owns less than 5%
      • M••••• M••••••• J••• P••• · Board Membercontrol
        since 01/2010 · owns less than 5%
      • R••• P•••• D• · Chairmancontrol
        since 01/2010 · owns less than 5%
      • C••••••• R•••••• J••••• · Membercontrol
        since 11/2011 · owns F of N••••••• Llp
      • H••••••• Y••••• · Membercontrol
        since 02/2012 · owns F of N••••••• L••
      • K•••••• Y••••••• · Membercontrol
        since 02/2012 · owns F of N••••••• L••
      • M••••• M••••••• J••• P••• · Chairmancontrol
        since 02/2012 · owns F of N••••••• L••
      • M•••••••• J•• · Membercontrol
        since 02/2012 · owns F of N••••••• L••
      • R••••••• S•••• · Membercontrol
        since 02/2012 · owns F of N••••••• L••
      • R••• P•••• D• · Membercontrol
        since 11/2011 · owns F of N••••••• L••
      • U•••• A•••••• · Membercontrol
        since 02/2013 · owns F of N••••••• L••
      • Z••••••••• S•••••• · Membercontrol
        since 02/2012 · owns F of N••••••• L••
      • S•••••• R•••••• · Cfo
        since 08/2006 · owns less than 5%
      Entity owners
      • N••••••• L•• · Parent Undertaking
        direct · owns 75% or more
      • S•• A• I••••••••• ••• L•••••• · Shareholder
        indirect · owns 25% to 50% of N••••••• L••
      • S••••••• M••••• T•••• H•••••••• I••• · Shareholder
        indirect · owns 75% or more of T•• S••••••• T•••• A•• B•••••• C••• L••• · public reporting company
      • T•• S••••••• T•••• A•• B•••••• C••• L••• · Shareholder
        indirect · owns 75% or more of S•• A• I••••••••• ••• L••••••
      Related persons
      Schedule D 7.A
      • N••••••• J•••• L••••••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 7
        Jun 27, 2013 to Jul 1, 2014
      • Advisory employees · 14 to 13
        Jun 27, 2013 to Jul 1, 2014
      • Assets in custody · $2.1B to $1.6B
        Jun 27, 2013 to Jul 1, 2014
      • Employees · 39 to 33
        Jun 27, 2013 to Jul 1, 2014
      • Private funds · 4 to 3
        Jun 27, 2013 to Jul 1, 2014
      • Discretionary RAUM · $2.2B to $2.3B
        Jun 27, 2013 to Jul 1, 2014
      • RAUM · $2.2B to $2.3B
        Jun 27, 2013 to Jul 1, 2014
      • Advisory employees · 13 to 14
        Nov 8, 2012 to Jun 27, 2013
      • Assets in custody · $2.2B to $2.1B
        Nov 8, 2012 to Jun 27, 2013
      • Employees · 40 to 39
        Nov 8, 2012 to Jun 27, 2013
      • Private funds · 5 to 4
        Nov 8, 2012 to Jun 27, 2013
      • Discretionary RAUM · $2.3B to $2.2B
        Nov 8, 2012 to Jun 27, 2013
      • RAUM · $2.3B to $2.2B
        Nov 8, 2012 to Jun 27, 2013
      • Advisory employees · unset to 13.0
        Jun 29, 2012 to Nov 8, 2012
      • Employees · unset to 40.0
        Jun 29, 2012 to Nov 8, 2012
      • Accounts · 16 to 12
        May 11, 2012 to Jun 29, 2012
      • Assets in custody · $2.7B to $2.2B
        May 11, 2012 to Jun 29, 2012
      • Discretionary RAUM · $2.9B to $2.3B
        May 11, 2012 to Jun 29, 2012
      • RAUM · $2.9B to $2.3B
        May 11, 2012 to Jun 29, 2012
      • Accounts · 19 to 16
        Dec 13, 2011 to Mar 2, 2012
      • Assets in custody · $3.1B to $2.7B
        Dec 13, 2011 to Mar 2, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 13, 2011 to Mar 2, 2012
      • Private funds · unset to 5
        Dec 13, 2011 to Mar 2, 2012
      • Discretionary RAUM · $3.3B to $2.9B
        Dec 13, 2011 to Mar 2, 2012
      • RAUM · $3.3B to $2.9B
        Dec 13, 2011 to Mar 2, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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