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A••••••• E••••••• L••

Former SEC-registered adviserFormer SEC adviser· London

Former SEC-registered adviser, based in London.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
Not applicable
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
Not established
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 17 Form ADV filings for this adviser, the latest 3.3 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 135915 · SEC 801-64505 · 17 filingsShow
CRD 135915SEC 801-64505First filing on the tape Jan 9, 2012, latest May 23, 2023IAPD
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
34
32 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 23, 2023
Jun 24, 20130 then
Employees (5.A)34 as of May 23, 2023
Jun 24, 201330 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of May 23, 2023; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, commissionsreportedItem 5.E
Advisory activities
otherreportedItem 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
  • is a broker-dealer (6.A.1)
  • buys or sells securities as principal to or from clients (8.A.2)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
0reported
HNW clients
n/areported
Pension plan clients
2reported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, commissionsreported
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
      • D••••••••• R•••••• J•••• · Chief Operating Officer, Chief Financial Officer, Designated Membercontrol
        since 01/2008 · owns less than 5%
      • F••••• H•••••••• S••••• · Chief Compliance Officer, Designated Membercontrol
        since 09/2003 · owns 5% to 10%
      • M••••••• M••••• · Membercontrol
        since 09/2003 · owns 10% to 25%
      • M••••••••• C••••••••• J•••• · Chief Executive Officer, Designated Membercontrol
        since 09/2003 · owns 25% to 50%
      • T•••••• C••••••••• C•••••• · Stockholdercontrol
        since 06/2000 · owns 50% to 75% of B••••• C•••••• L••••••
      • T•••••• J•••••••• D••••• · Stockholdercontrol
        since 06/2000 · owns 25% to 50% of B••••• C•••••• L••••••
      Entity owners
      • B••••• C•••••• L•••••• · Member
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      • A••••••• E••••••• D••••••••• G•••
        broker-dealery
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 31 to 32
        Sep 13, 2022 to May 23, 2023
      • Pension plan clients · 5 to 2
        Sep 13, 2022 to May 23, 2023
      • Advisory employees · 28 to 31
        Apr 20, 2021 to Apr 13, 2022
      • Pension plan clients · unset to 5.0
        Apr 20, 2021 to Apr 13, 2022
      • Pooled vehicle clients · 2 to 1
        Apr 20, 2021 to Apr 13, 2022
      • Employees · 31 to 34
        Apr 20, 2021 to Apr 13, 2022
      • Advisory employees · 26 to 28
        Jun 4, 2020 to Apr 20, 2021
      • Pension plan clients · 6.0 to unset
        Jun 4, 2020 to Apr 20, 2021
      • Pension plan clients · 8 to 6
        May 13, 2019 to Jun 4, 2020
      • Pooled vehicle clients · 1 to 2
        May 13, 2019 to Jun 4, 2020
      • Other offices · 2 to 0
        May 13, 2019 to Jun 4, 2020
      • Related broker-dealer · false to true
        May 13, 2019 to Jun 4, 2020
      • Advisory employees · 25 to 26
        May 21, 2018 to May 13, 2019
      • Pension plan clients · 7 to 8
        May 21, 2018 to May 13, 2019
      • Employees · 30 to 31
        May 21, 2018 to May 13, 2019
      • Advisory employees · 26 to 25
        Apr 24, 2017 to May 21, 2018
      • Individual clients · unset to 0.0
        Apr 24, 2017 to May 21, 2018
      • Pension plan clients · unset to 7.0
        Apr 24, 2017 to May 21, 2018
      • Pooled vehicle clients · unset to 1.0
        Apr 24, 2017 to May 21, 2018
      • Employees · 31 to 30
        Apr 24, 2017 to May 21, 2018
      • Other offices · unset to 2.0
        Apr 24, 2017 to May 21, 2018
      • Advisory employees · 27 to 26
        Apr 6, 2016 to Apr 24, 2017
      • Employees · 35 to 31
        Apr 6, 2016 to Apr 24, 2017
      • Advisory employees · 22 to 27
        Apr 22, 2015 to Apr 6, 2016
      • Employees · 28 to 35
        Apr 22, 2015 to Apr 6, 2016
      • Advisory employees · 24 to 22
        Jun 24, 2014 to Apr 22, 2015
      • Employees · 33 to 28
        Jun 24, 2014 to Apr 22, 2015
      • Advisory employees · 23 to 24
        Aug 20, 2013 to Jun 24, 2014
      • Employees · 30 to 33
        Aug 20, 2013 to Jun 24, 2014
      • Advisory employees · 24 to 23
        Feb 26, 2013 to Jun 24, 2013
      • Employees · 28 to 30
        Feb 26, 2013 to Jun 24, 2013
      • Advisory employees · unset to 24.0
        Jun 28, 2012 to Feb 26, 2013
      • Employees · unset to 28.0
        Jun 28, 2012 to Feb 26, 2013
      • State-registered IARs · unset to 0.0
        Jun 28, 2012 to Feb 26, 2013
      • Related broker-dealer · true to false
        Jun 28, 2012 to Feb 26, 2013
      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