DFX Intelligence

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M••••• W••••• M••••••••• L••••••

Other adviserSEC-registered1 private funds· Londonwebsite

Other adviser, based in London, reporting $7.4B of regulatory assets.

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

As of 2025-11-11 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $7.4B
Advisors: 0
RAUM change, last fiscal year: +60%
Private clients: 0.0% of RAUM

Advisors Advisor movement Where the RAUM sits

As of 2025-11-11 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Why this matters

Reported RAUM grew +60% over the last fiscal year, to $7.4B.
2025-11-11
RAUM a year earlier $4.6BRAUM now $7.4B
2 published business contact points are on record, each with its source.
Contact points 2

Every filed figure, and the identifiersCRD 138189 · SEC 801-65797 · 20 filingsShow

CRD 138189SEC 801-65797First filing on the tape Dec 21, 2011, latest Nov 11, 2025SEC status approved since Jan 24, 2006IAPD

RAUM

$7.4B

reported, Item 5.F

Discretionary

100%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

8 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

20 filings and snapshots on the tape

RAUM$7.4B as of Nov 11, 2025

Sep 14, 2012$2.7B then

HNW client RAUM$0 as of Nov 11, 2025

Nov 2, 2022$0 then

State-registered IARs (5.B.3)0 as of Nov 11, 2025

Sep 14, 20120 then

Employees (5.A)12 as of Nov 11, 2025

Feb 3, 201410 then

Private funds1 as of Nov 11, 2025

Sep 14, 20121 then

RAUM +60% over the last fiscal year+22% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Nov 11, 2025; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $676MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 43%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: +40%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 pooled vehiclesreportedItem 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

has discretionary authority over which securities are bought or sold (8.C.1)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$4.1B55%
Charitable organizations$2.9B39%
Pension and profit-sharing plans$241M3.2%
Investment companies$157M2.1%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: 1reported
Charitable clients: 2reported
Accounts: 11reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: private_client_share=0.0 fund_share=0.57 institutional_share=0.43 related_bd=false related_bank=false bd_reps=0.0derived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the 10 longest tenured

No representative is registered through this CRD on IAPD.

Private funds

1 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
M• J•••• F••• P••	Other Private Fund	$106M	59	Jan 25, 2012

Owners and control persons

Schedule A and B, latest filing

C••••••• R••••••• K••• · Directorcontrol
since 02/2022 · owns less than 5%
C•••••• D••••• H•••• · Directorcontrol
since 03/2010 · owns less than 5%
M••••••••• A•••••••• A••• D•••• · Director/Chief Operating Officer / Chief Compliance Officercontrol
since 08/2006 · owns 5% to 10%
M•••••••• T••• L• · Directorcontrol
since 08/2005 · owns 5% to 10%
M•••••••• A•••••• N••• · Directorcontrol
since 03/2009 · owns less than 5%
M•••••• S••••••• P• · Ceo/Finance Directorcontrol
since 02/1999 · owns 25% to 50%
P•••••••• R••••••• J• · Directorcontrol
since 08/2001 · owns 10% to 25%
S•••••••• N•••••••• G•••••• · Directorcontrol
since 01/2024 · owns less than 5%
W•••••• I••• K• · Directorcontrol
since 05/1999 · owns 25% to 50%

Related persons

Schedule D 7.A

No related person reported.

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 10 to 11
Oct 11, 2024 to Nov 11, 2025
Financial planning clients · unset to
Oct 11, 2024 to Nov 11, 2025
HQ state · unset to
Oct 11, 2024 to Nov 11, 2025
Discretionary RAUM · $6.5B to $7.4B
Oct 11, 2024 to Nov 11, 2025
Pension RAUM · $196M to $241M
Oct 11, 2024 to Nov 11, 2025

Full history · 71 changes

Pooled vehicle RAUM · $3.6B to $4.1B
Oct 11, 2024 to Nov 11, 2025
RAUM · $6.5B to $7.4B
Oct 11, 2024 to Nov 11, 2025
Advisory employees · 7 to 8
Oct 10, 2024 to Oct 11, 2024
Accounts · 9 to 10
Jan 15, 2024 to Oct 10, 2024
Employees · 11 to 12
Jan 15, 2024 to Oct 10, 2024
Discretionary RAUM · $4.6B to $6.5B
Jan 15, 2024 to Oct 10, 2024
Pension RAUM · $184M to $196M
Jan 15, 2024 to Oct 10, 2024
Pooled vehicle RAUM · $2.3B to $3.6B
Jan 15, 2024 to Oct 10, 2024
RAUM · $4.6B to $6.5B
Jan 15, 2024 to Oct 10, 2024
Charity clients · 4 to 2
Nov 2, 2022 to Oct 30, 2023
Discretionary RAUM · $3.7B to $4.6B
Nov 2, 2022 to Oct 30, 2023
Pension RAUM · $146M to $184M
Nov 2, 2022 to Oct 30, 2023
Pooled vehicle RAUM · $1.9B to $2.3B
Nov 2, 2022 to Oct 30, 2023
RAUM · $3.7B to $4.6B
Nov 2, 2022 to Oct 30, 2023
Discretionary RAUM · $4.1B to $3.7B
Oct 8, 2021 to Nov 2, 2022
HNW RAUM · unset to 0.0
Oct 8, 2021 to Nov 2, 2022
Individual RAUM · unset to 0.0
Oct 8, 2021 to Nov 2, 2022
Pension RAUM · $161M to $146M
Oct 8, 2021 to Nov 2, 2022
Pooled vehicle RAUM · $2.2B to $1.9B
Oct 8, 2021 to Nov 2, 2022
RAUM · $4.1B to $3.7B
Oct 8, 2021 to Nov 2, 2022
Accounts · 11 to 9
Sep 25, 2020 to Oct 8, 2021
Pension plan clients · unset to 1.0
Sep 25, 2020 to Oct 8, 2021
Discretionary RAUM · $3.7B to $4.1B
Sep 25, 2020 to Oct 8, 2021
Pension RAUM · $151M to $161M
Sep 25, 2020 to Oct 8, 2021
Pooled vehicle RAUM · $1.8B to $2.2B
Sep 25, 2020 to Oct 8, 2021
RAUM · $3.7B to $4.1B
Sep 25, 2020 to Oct 8, 2021
Accounts · 12 to 11
Sep 9, 2019 to Sep 25, 2020
Advisory employees · 6 to 7
Sep 9, 2019 to Sep 25, 2020
Employees · 10 to 11
Sep 9, 2019 to Sep 25, 2020
Other offices · 1 to 0
Sep 9, 2019 to Sep 25, 2020
Discretionary RAUM · $4.4B to $3.7B
Sep 9, 2019 to Sep 25, 2020
Pension RAUM · $154M to $151M
Sep 9, 2019 to Sep 25, 2020
Pooled vehicle RAUM · $2.3B to $1.8B
Sep 9, 2019 to Sep 25, 2020
RAUM · $4.4B to $3.7B
Sep 9, 2019 to Sep 25, 2020
Discretionary RAUM · $5.4B to $4.4B
Sep 10, 2018 to Sep 9, 2019
Pension RAUM · unset to 153778178.0
Sep 10, 2018 to Sep 9, 2019
Pooled vehicle RAUM · $3.1B to $2.3B
Sep 10, 2018 to Sep 9, 2019
RAUM · $5.4B to $4.4B
Sep 10, 2018 to Sep 9, 2019
Accounts · 13 to 12
Sep 11, 2017 to Sep 10, 2018
Charity clients · unset to 4.0
Sep 11, 2017 to Sep 10, 2018
Pooled vehicle clients · unset to 5.0
Sep 11, 2017 to Sep 10, 2018
Other offices · unset to 1.0
Sep 11, 2017 to Sep 10, 2018
Discretionary RAUM · $4.5B to $5.4B
Sep 11, 2017 to Sep 10, 2018
Pooled vehicle RAUM · unset to 3107478502.0
Sep 11, 2017 to Sep 10, 2018
RAUM · $4.5B to $5.4B
Sep 11, 2017 to Sep 10, 2018
Discretionary RAUM · $4.0B to $4.5B
Feb 7, 2017 to Sep 11, 2017
RAUM · $4.0B to $4.5B
Feb 7, 2017 to Sep 11, 2017
Discretionary RAUM · $4.2B to $4.0B
Oct 5, 2015 to Feb 7, 2017
RAUM · $4.2B to $4.0B
Oct 5, 2015 to Feb 7, 2017
Accounts · 12 to 13
Sep 10, 2014 to Sep 18, 2015
Discretionary RAUM · $3.9B to $4.2B
Sep 10, 2014 to Sep 18, 2015
RAUM · $3.9B to $4.2B
Sep 10, 2014 to Sep 18, 2015
Accounts · 11 to 12
Feb 3, 2014 to Sep 10, 2014
Discretionary RAUM · $3.7B to $3.9B
Feb 3, 2014 to Sep 10, 2014
RAUM · $3.7B to $3.9B
Feb 3, 2014 to Sep 10, 2014
Accounts · 12 to 11
Feb 4, 2013 to Feb 3, 2014
Discretionary RAUM · $2.9B to $3.7B
Feb 4, 2013 to Feb 3, 2014
RAUM · $2.9B to $3.7B
Feb 4, 2013 to Feb 3, 2014
Accounts · 13 to 12
Sep 14, 2012 to Feb 4, 2013
Advisory employees · unset to 6.0
Sep 14, 2012 to Feb 4, 2013
Employees · unset to 10.0
Sep 14, 2012 to Feb 4, 2013
Discretionary RAUM · $2.7B to $2.9B
Sep 14, 2012 to Feb 4, 2013
RAUM · $2.7B to $2.9B
Sep 14, 2012 to Feb 4, 2013
Discretionary RAUM · $2.7B to $2.7B
Jan 25, 2012 to Sep 14, 2012
RAUM · $2.7B to $2.7B
Jan 25, 2012 to Sep 14, 2012
Private funds · unset to 1
Dec 21, 2011 to Jan 25, 2012

Signals

4 dated events

••• Locked
Oct 10, 2024 · RAUM change · derived
••• Locked
Jan 15, 2024 · Control person joined · fact
••• Locked
Oct 30, 2023 · RAUM change · derived
••• Locked
Nov 2, 2022 · Control person joined · fact

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Nov 11, 2025
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Nov 11, 2025

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: Other adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.