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.

Former SEC-registered adviser

Schroders Newfinance Capital Llp

Former SEC-registered adviserLondon, CRD 136438SEC 801-70756IAPD
Latest filing Mar 31, 2014
First filing on the tape Nov 23, 2011 · 9 filings
RAUM
$3.1B
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
17
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$1.2B gross assets
History
9 filings and snapshots on the tape
RAUM$3.1B as of Mar 31, 2014
Mar 29, 2012$4.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Mar 15, 20130 then
Employees (5.A)17 as of Mar 31, 2014
Mar 15, 201325 then
Private funds3 as of Mar 31, 2014
Mar 29, 20124 then
RAUM -19% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
$242MderivedRAUM 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
-19%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, selection of other advisers, 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
  • 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)
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
13reported
Financial planning clients
n/areported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Opus Commodities Fund LimitedHedge Fund$789M20Mar 29, 2012
      Opus Commodities Core Plus A Fund LimitedHedge Fund$227M4Mar 29, 2012
      Opus Fixed Income Fund Limitedno longer reportedHedge Fund$198M125Mar 29, 2012
      Opus Trading Master SpcHedge Fund$188M1Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • J David Mooney · Chief Investment Officercontrol
        since 09/2011 · owns less than 5%
      • Miles O'Connor · Chief Executive Officercontrol
        since 09/2011 · owns less than 5%
      • George Stephen White · Chief Operating Officercontrol
        since 07/2013 · owns less than 5%
      • James Peter Philip Woolliscroft · Chief Compliance Officercontrol
        since 06/2011 · owns less than 5%
      Entity owners
      • New Finance Capital Partners Limited · Direct Owner / General Partner
        direct · owns 75% or more
      • New Finance Holdings Limited · Shareholder
        indirect · owns 75% or more of New Finance Capital Partners
      • Schroder Administration Limited · Shareholder
        indirect · owns 75% or more of Schroder International Holdings Ltd.
      • Schroder Holdings (Bermuda) Limited · Shareholder
        indirect · owns 75% or more of Schroders (Bermuda) Limited
      • Schroder International Holdings (Bermuda) Limited · Shareholder
        indirect · owns 75% or more of Newfinance Holdings Limited
      • Schroder International Holdings Limited · Shareholder
        indirect · owns 75% or more of Schroder Holdings (Bermuda) Limited
      • Schroders (Bermuda) Ltd · Shareholder
        indirect · owns 75% or more of Schroder International Holdings (Bermuda) Limited
      • Schroders Plc · Shareholder
        indirect · owns 75% or more of Schroder Admistration Limited
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 13
        Sep 16, 2013 to Mar 31, 2014
      • Advisory employees · 10 to 6
        Sep 16, 2013 to Mar 31, 2014
      • Employees · 25 to 17
        Sep 16, 2013 to Mar 31, 2014
      • Discretionary RAUM · $3.9B to $3.1B
        Sep 16, 2013 to Mar 31, 2014
      • RAUM · $3.9B to $3.1B
        Sep 16, 2013 to Mar 31, 2014
      • Accounts · 30 to 12
        Feb 12, 2013 to Mar 15, 2013
      • Advisory employees · 8 to 10
        Feb 12, 2013 to Mar 15, 2013
      • Employees · 50 to 25
        Feb 12, 2013 to Mar 15, 2013
      • Private funds · 4 to 3
        Feb 12, 2013 to Mar 15, 2013
      • Discretionary RAUM · $4.5B to $3.9B
        Feb 12, 2013 to Mar 15, 2013
      • RAUM · $4.5B to $3.9B
        Feb 12, 2013 to Mar 15, 2013
      • Related bank · false to true
        Feb 12, 2013 to Mar 15, 2013
      • Advisory employees · unset to 8.0
        Mar 29, 2012 to Feb 12, 2013
      • Employees · unset to 50.0
        Mar 29, 2012 to Feb 12, 2013
      • State-registered IARs · unset to 0.0
        Mar 29, 2012 to Feb 12, 2013
      • Insurance-licensed employees · unset to 0.0
        Nov 23, 2011 to Mar 29, 2012
      • Private funds · unset to 4
        Nov 23, 2011 to Mar 29, 2012
      • Discretionary RAUM · $3.8B to $4.5B
        Nov 23, 2011 to Mar 29, 2012
      • RAUM · $3.8B to $4.5B
        Nov 23, 2011 to Mar 29, 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