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

Alphagen Capital Limited

Former SEC-registered adviserLondon, CRD 137841SEC 801-65237IAPD
Latest filing Nov 25, 2019
First filing on the tape Mar 30, 2012 · 36 filings
RAUM
$2.1B
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
49
36 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
8
$1.5B gross assets
History
36 filings and snapshots on the tape
RAUM$2.1B as of Mar 29, 2019
Mar 30, 2012$4.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 30, 20120 then
Employees (5.A)49 as of Mar 29, 2019
Mar 28, 2013132 then
Private funds8 as of Mar 29, 2019
Mar 30, 201218 then
RAUM -30% over the last fiscal year-10.0% a year over threeIARs 0 to 0offices 5 to 8
Practice profile
derived from the filing of Nov 25, 2019; 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
$130MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
4.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived9 offices incl. principal (1.F.5)
RAUM growth, one year
-30%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 vehicles, otherreportedItem 5.G
Custody
$1.2B, 7 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
  • 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)
  • 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
  • Pooled investment vehicles$1.9B89%
  • Corporations and businesses$130M6.2%
  • Pension and profit-sharing plans$89.9M4.3%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
16reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.2B for 7 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
      38 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      The Alphagen Hokuto Fund Limitedno longer reportedHedge Fund$480M21Mar 30, 2012
      Henderson Asia Pacific Absolute Return Fund Limitedno longer reportedHedge Fund$387M22Mar 30, 2012
      The Alphagen Volantis Fund Limitedno longer reportedHedge Fund$325M57Mar 30, 2012
      The Alphagen Castor Fund Limitedno longer reportedHedge Fund$197M5Jul 28, 2017
      Alphagen Liquidity Events Fund Limitedno longer reportedHedge Fund$193M5Mar 30, 2012
      The Alphagen Rigel Master Fund LimitedHedge Fund$190M8Mar 31, 2015
      The Alphagen Multi-Strategy Fund Limitedno longer reportedHedge Fund$165M5Mar 30, 2016
      The Alphagen Rhocas Fund Limitedno longer reportedHedge Fund$159M29Mar 30, 2012
      The Alphagen Rigel Fund Limitedno longer reportedHedge Fund$136M6Feb 18, 2015
      Alphagen Japan Select Absolute Return Fund Limitedno longer reportedHedge Fund$133M4Mar 30, 2012
      The Alphagen Uk Small Cap Best Ideas Fund Limitedno longer reportedHedge Fund$132M27Mar 30, 2012
      The Alphagen Volantis Catalyst Fund Limitedno longer reportedHedge Fund$130M23Aug 28, 2013
      The Alphagen Liquidity Risk Premium Fund Limitedno longer reportedHedge Fund$129M8Mar 30, 2016
      Oc 526 Offshore Fund LtdHedge Fund$116M15Mar 28, 2013
      The Alphagen Relative Value Agriculture Fund Limitedno longer reportedHedge Fund$105M13Mar 30, 2012
      The Alphagen Tenro Fund Limitedno longer reportedHedge Fund$92.7M14Mar 30, 2012
      The Alphagen Tucana Fund Limitedno longer reportedHedge Fund$83.3M22Mar 30, 2012
      Henderson Asia Pacific Absolute Return Fund I Inc.no longer reportedHedge Fund$58.4M3Mar 30, 2012
      Henderson European Absolute Return Fund Limitedno longer reportedHedge Fund$57.0M34Mar 30, 2012
      The Alphagen Altair Master Fund LimitedHedge Fund$49.0M6Mar 30, 2016
      The Alphagen Energy Best Ideas Fund LLCno longer reportedHedge Fund$48.9M8Nov 4, 2015
      Henderson Asia Pacific Select Absolute Return Fund Limitedno longer reportedHedge Fund$47.6M29Mar 30, 2012
      Henderson European Select Absolute Return Fund Limitedno longer reportedHedge Fund$47.6M6Mar 30, 2012
      The Alphagen Japan Select Absolute Return Fund Limitedno longer reportedHedge Fund$42.7M4Mar 30, 2016
      The Alphagen Japan Select Absolute Return Master Fund Limitedno longer reportedHedge Fund$42.7M1Mar 30, 2016
      The Alphagen Liquidity Risk Premium Fund Limitedno longer reportedHedge Fund$39.0M4Feb 18, 2015
      The Alphagen Japan Absolute Return Fund Limitedno longer reportedHedge Fund$38.8M20Mar 30, 2012
      The Alphagen Altair (Offshore) Fund Limitedno longer reportedHedge Fund$33.3M3Mar 30, 2016
      The Alphagen Long Short Agriculture Fund Limitedno longer reportedHedge Fund$31.0M11Mar 30, 2016
      The Alphagen Relative Value Agriculture Master Fund LimitedHedge Fund$30.8M8Mar 31, 2015
      The Alphagen Volantis Catalyst Fund II Limtedno longer reportedHedge Fund$29.5M16May 31, 2016
      The Alphagen Etacas Fund Limitedno longer reportedHedge Fund$27.6M6Mar 30, 2012
      The Alphagen Developing Markets Best Ideas Fund LLCHedge Fund$26.4M3Nov 4, 2015
      The Alphagen Elnath Fund Limitedno longer reportedHedge Fund$21.5M4Mar 30, 2016
      The Alphagen Elnath Master Fund Limitedno longer reportedHedge Fund$21.5M1Mar 30, 2016
      The Alphagen Long Short Agriculture Master Fund LimitedHedge Fund$15.4M9Mar 30, 2016
      The Alphagen Tenro Fund Limitedno longer reportedHedge Fund$12.9M6Mar 30, 2016
      The Alphagen Perseus Fund Limitedno longer reportedHedge Fund$11.6M4Mar 30, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • James Havilland De Sausmarez · Directorcontrol
        since 03/2019 · owns less than 5%
      • Bruce Paul Greenwood · Directorcontrol
        since 03/2019 · owns less than 5%
      • Chimin Michael Ho · Directorcontrol
        since 06/2019 · owns less than 5%
      • Willow Rhiannon Chaudhuri · Director
        since 09/2017 · owns less than 5%
      • Graham John Foggin · Director
        since 10/2016 · owns less than 5%
      • Kelly Susan Wold · Chief Compliance Officer
        since 03/2018 · owns less than 5%
      Entity owners
      • Henderson Global Investors (Holdings) Limited · Owner
        direct · owns 75% or more
      • Henderson Global Group Limited · Shareholder
        indirect · owns 75% or more of Henderson Holdings Group Limited
      • Henderson Global Investors (Holdings) Limited · Shareholder
        indirect · owns 75% or more of Henderson Alternative Investment Advisor Limited
      • Henderson Group Holdings Asset Management Limited · Shareholder
        indirect · owns 75% or more of Hgi Asset Managment Group Limited
      • Henderson Holdings Group Limited · Shareholder
        indirect · owns 75% or more of Hgi Group Limited
      • Hgi Asset Managment Group Limited · Shareholder
        indirect · owns 75% or more of Henderson Global Group Limited
      • Hgi Group Limited · Shareholder
        indirect · owns 75% or more of Henderson Global Investors (Holdings) Limited
      • Janus Henderson Group Plc · Shareholder
        indirect · owns 75% or more of Henderson Group Holdings Asset Management Limited · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Alphagen Capital Limited as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Singapore, Singapore3 employees
      • Denver, CO2 employees
      • Chicago, IL2 employees
      • San Francisco, CA1 employees
      • Sydney, Australia1 employees
      • Tokyo, Japan1 employees
      • Edinburgh, United Kingdom1 employees
      • Melbourne, Australia1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 29 to 16
        Jan 30, 2019 to Mar 29, 2019
      • Advisory employees · 21 to 36
        Jan 30, 2019 to Mar 29, 2019
      • BD registered reps · 3 to 2
        Jan 30, 2019 to Mar 29, 2019
      • Pooled vehicle clients · 24 to 11
        Jan 30, 2019 to Mar 29, 2019
      • Assets in custody · unset to 1219757887.0
        Jan 30, 2019 to Mar 29, 2019
      • Custody of client assets · false to true
        Jan 30, 2019 to Mar 29, 2019
      • Employees · 610 to 49
        Jan 30, 2019 to Mar 29, 2019
      • Financial planning clients · 0 to unset
        Jan 30, 2019 to Mar 29, 2019
      • Private funds · 12 to 8
        Jan 30, 2019 to Mar 29, 2019
      • Discretionary RAUM · $3.0B to $2.1B
        Jan 30, 2019 to Mar 29, 2019
      • Pension RAUM · $91.9M to $89.9M
        Jan 30, 2019 to Mar 29, 2019
      • Pooled vehicle RAUM · $2.5B to $1.9B
        Jan 30, 2019 to Mar 29, 2019
      • RAUM · $3.0B to $2.1B
        Jan 30, 2019 to Mar 29, 2019
      • Other offices · 5 to 8
        Mar 29, 2018 to Jan 30, 2019
      • Organization form · Limited Liability Company to Other (specify)
        Mar 29, 2018 to Jan 30, 2019
      • Accounts · 34 to 29
        Dec 20, 2017 to Mar 29, 2018
      • Advisory employees · 19 to 21
        Dec 20, 2017 to Mar 29, 2018
      • BD registered reps · 2 to 3
        Dec 20, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 24.0
        Dec 20, 2017 to Mar 29, 2018
      • Employees · 38 to 610
        Dec 20, 2017 to Mar 29, 2018
      • Other offices · 0 to 5
        Dec 20, 2017 to Mar 29, 2018
      • Organization form · Other (specify) to Limited Liability Company
        Dec 20, 2017 to Mar 29, 2018
      • Private funds · 22 to 12
        Dec 20, 2017 to Mar 29, 2018
      • Discretionary RAUM · $2.6B to $3.0B
        Dec 20, 2017 to Mar 29, 2018
      • Pension RAUM · unset to 91925000.0
        Dec 20, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 2520088000.0
        Dec 20, 2017 to Mar 29, 2018
      • RAUM · $2.6B to $3.0B
        Dec 20, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Sep 28, 2017 to Dec 20, 2017
      • Accounts · 40 to 34
        Jul 28, 2017 to Sep 28, 2017
      • Discretionary RAUM · $2.9B to $2.6B
        Jul 28, 2017 to Sep 28, 2017
      • RAUM · $2.9B to $2.6B
        Jul 28, 2017 to Sep 28, 2017
      • Private funds · 21 to 22
        Jun 28, 2017 to Jul 28, 2017
      • Accounts · 35 to 40
        May 31, 2016 to Mar 31, 2017
      • Advisory employees · 30 to 19
        May 31, 2016 to Mar 31, 2017
      • BD registered reps · 3 to 2
        May 31, 2016 to Mar 31, 2017
      • Employees · 41 to 38
        May 31, 2016 to Mar 31, 2017
      • Private funds · 29 to 21
        May 31, 2016 to Mar 31, 2017
      • Discretionary RAUM · $2.9B to $2.9B
        May 31, 2016 to Mar 31, 2017
      • RAUM · $2.9B to $2.9B
        May 31, 2016 to Mar 31, 2017
      • Private funds · 28 to 29
        Apr 8, 2016 to May 31, 2016
      Signals
      9 dated events
      • Chimin Michael Ho (Director) appeared on Schedule A of Alphagen Capital Limited
        Nov 25, 2019 · Control person joined · fact
      • Alphagen Capital Limited reported RAUM $2.1B, down 30% from $3.0B (2019-01-30 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • John David Elms (Director) no longer on Schedule A of Alphagen Capital Limited (listed 2019-01-30, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • James Havilland De Sausmarez (Director) appeared on Schedule A of Alphagen Capital Limited
        Mar 29, 2019 · Control person joined · fact
      • Bruce Paul Greenwood (Director) appeared on Schedule A of Alphagen Capital Limited
        Mar 29, 2019 · Control person joined · fact
      • James Paul Graham (Managing Director) no longer on Schedule A of Alphagen Capital Limited (listed 2018-03-29, absent 2019-01-30)
        Jan 30, 2019 · Control person left · inference
      • Benjamin Christopher Chaloner (Director) no longer on Schedule A of Alphagen Capital Limited (listed 2018-03-29, absent 2019-01-30)
        Jan 30, 2019 · Control person left · inference
      • Alphagen Capital Limited reported 5 offices beyond its principal office, up from 0 (2017-12-20 to 2018-03-29)
        Mar 29, 2018 · Office count change · derived
      • Henderson Alternative Investment Advisor Limited reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Mar 30, 2012 · Succession (Item 4) · fact
      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