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••••••• C•••••• M••••••••• L••

Former SEC-registered adviserLondon, CRD 135380SEC 801-66572IAPD
Latest filing Aug 24, 2020
First filing on the tape Mar 30, 2012 · 20 filings
RAUM
$123M
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
100%
$123M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
13
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$123M as of Mar 30, 2020
Mar 30, 2012$245M then
HNW client RAUM$123M as of Mar 30, 2020
Mar 30, 2018$103M then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 30, 20120 then
Employees (5.A)13 as of Mar 30, 2020
Mar 28, 201313 then
Private funds: no history
RAUM -0.7% over the last fiscal year-27% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 24, 2020; 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
$7.7MderivedHNW RAUM over HNW clients
Average account
$536,139derivedRAUM over accounts (5.F.2.f)
Discretionary
99%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
-0.7%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, fixed fees, performance-basedreportedItem 5.E
Advisory activities
financial planning, portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisersreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • High-net-worth individuals$123M100%
Individual clients
n/areported
HNW clients
16reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
229reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• D••••• A•••••• · Chief Compliance Officercontrol
        since 08/2016 · owns less than 5%
      • M•••••• L•••• Y••••• · Member/Managercontrol
        since 05/2005 · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • Paris, France1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 297 to 229
        Mar 29, 2019 to Mar 30, 2020
      • HNW clients · 15 to 16
        Mar 29, 2019 to Mar 30, 2020
      • Discretionary RAUM · $123M to $122M
        Mar 29, 2019 to Mar 30, 2020
      • HNW RAUM · $124M to $123M
        Mar 29, 2019 to Mar 30, 2020
      • Non-discretionary RAUM · $1.0M to $966,015
        Mar 29, 2019 to Mar 30, 2020
      • RAUM · $124M to $123M
        Mar 29, 2019 to Mar 30, 2020
      • Accounts · 190 to 297
        Jul 5, 2018 to Mar 29, 2019
      • Advisory employees · 2 to 6
        Jul 5, 2018 to Mar 29, 2019
      • Employees · 3 to 13
        Jul 5, 2018 to Mar 29, 2019
      • Financial planning clients · 11-25 to 0
        Jul 5, 2018 to Mar 29, 2019
      • Other offices · 0 to 1
        Jul 5, 2018 to Mar 29, 2019
      • Discretionary RAUM · $102M to $123M
        Jul 5, 2018 to Mar 29, 2019
      • HNW RAUM · $103M to $124M
        Jul 5, 2018 to Mar 29, 2019
      • Individual RAUM · unset to 0.0
        Jul 5, 2018 to Mar 29, 2019
      • Non-discretionary RAUM · $1.0M to $1.0M
        Jul 5, 2018 to Mar 29, 2019
      • Pension RAUM · unset to 0.0
        Jul 5, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · unset to 0.0
        Jul 5, 2018 to Mar 29, 2019
      • RAUM · $103M to $124M
        Jul 5, 2018 to Mar 29, 2019
      • Employees · 7 to 3
        Mar 30, 2018 to Jul 5, 2018
      • HQ city · NEW YORK to LONDON
        Mar 30, 2018 to Jul 5, 2018
      • HQ state · NY to unset
        Mar 30, 2018 to Jul 5, 2018
      • Other offices · 1 to 0
        Mar 30, 2018 to Jul 5, 2018
      • Accounts · 699 to 190
        May 22, 2017 to Mar 30, 2018
      • Advisory employees · 5 to 2
        May 22, 2017 to Mar 30, 2018
      • HNW clients · unset to 15.0
        May 22, 2017 to Mar 30, 2018
      • Employees · 6 to 7
        May 22, 2017 to Mar 30, 2018
      • Other offices · unset to 1.0
        May 22, 2017 to Mar 30, 2018
      • Discretionary RAUM · $320M to $102M
        May 22, 2017 to Mar 30, 2018
      • HNW RAUM · unset to 103462544.0
        May 22, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $2.1M to $1.0M
        May 22, 2017 to Mar 30, 2018
      • RAUM · $322M to $103M
        May 22, 2017 to Mar 30, 2018
      • Accounts · 637 to 699
        Feb 10, 2017 to Mar 31, 2017
      • Employees · 10 to 6
        Feb 10, 2017 to Mar 31, 2017
      • Discretionary RAUM · $297M to $320M
        Feb 10, 2017 to Mar 31, 2017
      • Non-discretionary RAUM · $1.5M to $2.1M
        Feb 10, 2017 to Mar 31, 2017
      • RAUM · $298M to $322M
        Feb 10, 2017 to Mar 31, 2017
      • Accounts · 546 to 637
        Mar 18, 2015 to Mar 14, 2016
      • Advisory employees · 4 to 5
        Mar 18, 2015 to Mar 14, 2016
      • Employees · 9 to 10
        Mar 18, 2015 to Mar 14, 2016
      • Discretionary RAUM · $320M to $297M
        Mar 18, 2015 to Mar 14, 2016
      Signals
      1 dated events
      • G••••••• C•••••• M••••••••• L•• reported RAUM $103.5M, down 68% from $321.8M (2017-05-22 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      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