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

Liongate Capital Management Llp

Former SEC-registered adviserLondon, CRD 138837SEC 801-71554IAPD
Latest filing Jul 7, 2016
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$444M
reported, Item 5.F
Discretionary
0.0%
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
27
18 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$207M gross assets
History
13 filings and snapshots on the tape
RAUM$444M as of Sep 18, 2015
Mar 30, 2012$2.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 18, 2015
Mar 30, 20120 then
Employees (5.A)27 as of Sep 18, 2015
Jul 2, 201321 then
Private funds2 as of Sep 18, 2015
Mar 30, 20152 then
RAUM -17% over the last fiscal year-42% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 7, 2016; 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
$27.8MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived5 offices incl. principal (1.F.5)
RAUM growth, one year
-17%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 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
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
16reported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Liongate Spc, On Behalf Of Liongate Multi-Strategy FundHedge Fund$196M60Mar 30, 2015
      Liongate Commodities FundHedge Fund$11.5M3Mar 30, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • Mary Nora Everett · Directorcontrol
        since 05/2013 · owns less than 5%
      • Patrick James Mccaughan · Directorcontrol
        since 05/2013 · owns less than 5%
      • W Ellen Shumway · Directorcontrol
        since 05/2013 · owns less than 5%
      • Emil Timothy Stumpff · President - Ceo, Coo, Cfocontrol
        since 10/2014 · owns less than 5%
      • Wayne Randall Dillard · Partner
        since 09/2003 · owns 10% to 25%
      • Joseph Benjamin Funk · Partner
        since 08/2009 · owns less than 5%
      • Jeff Holland · Partner
        since 09/2003 · owns 10% to 25%
      • Candice Thorpe · Chief Compliance Officer
        since 10/2014 · owns less than 5%
      Entity owners
      • Liongate Limited · Shareholder
        direct · owns 75% or more
      • Principal Global Financial Services (Europe) Limited · Partner (Corporate)
        direct · owns 50% to 75%
      • Liongate Capital Management (Cayman) Limited · Shareholder
        indirect · owns 75% or more of Liongate Capital Management (Uk) Limited
      • Liongate Limited · Shareholder
        indirect · owns 75% or more of Liongate Capital Management (Cayman) Limited
      • Principal Financial Group, Inc · Shareholder
        indirect · owns 75% or more of Principal Financial Services Inc · public reporting company
      • Principal Financial Services I (Uk) Llp · Shareholder
        indirect · owns 75% or more of Principal Financial Services II (Uk) Ltd
      • Principal Financial Services I (US) LLC · Partner
        indirect · owns F of Principal Financial Services I (Uk) Llp
      • Principal Financial Services II (Uk) Ltd · Shareholder
        indirect · owns 75% or more of Principal Financial Services III (Uk) Ltd
      • Principal Financial Services III (Uk) Ltd · Shareholder
        indirect · owns 75% or more of Principal Financial Services Vi (Uk) Ltd
      • Principal Financial Services Vi (Uk) Ltd · Shareholder
        indirect · owns 75% or more of Principal Global Financial Services (Europe) Ltd
      • Principal Financial Services, Inc · Member
        indirect · owns 75% or more of Principal Financial Services I (US), LLC
      • Principal Global Financial Services (Europe) Ltd · Shareholder
        indirect · owns 50% to 75% of Liongate Limited
      • Liongate Capital Management (Uk) Limited · Partner (Corporate)
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • George Town, Rand Cayman, Cayman Islands
      • New York, NY
      • Senapati Bapat Rd, Pune, India
      • Sliema, Malta
      What changed
      consecutive filings, newest first
      • Accounts · 17 to 16
        Mar 30, 2015 to Sep 11, 2015
      • Advisory employees · 11 to 18
        Mar 30, 2015 to Sep 11, 2015
      • Employees · 19 to 27
        Mar 30, 2015 to Sep 11, 2015
      • Non-discretionary RAUM · $534M to $444M
        Mar 30, 2015 to Sep 11, 2015
      • RAUM · $534M to $444M
        Mar 30, 2015 to Sep 11, 2015
      • Accounts · 19 to 17
        Feb 2, 2015 to Mar 30, 2015
      • Advisory employees · 9 to 11
        Feb 2, 2015 to Mar 30, 2015
      • Advisory activities · 1 to 2
        Feb 2, 2015 to Mar 30, 2015
      • Employees · 18 to 19
        Feb 2, 2015 to Mar 30, 2015
      • Private funds · unset to 2
        Feb 2, 2015 to Mar 30, 2015
      • Non-discretionary RAUM · $7.3B to $534M
        Feb 2, 2015 to Mar 30, 2015
      • RAUM · $7.3B to $534M
        Feb 2, 2015 to Mar 30, 2015
      • Accounts · 14 to 19
        May 2, 2014 to Jun 3, 2014
      • Advisory employees · 13 to 9
        May 2, 2014 to Jun 3, 2014
      • Employees · 21 to 18
        May 2, 2014 to Jun 3, 2014
      • Non-discretionary RAUM · $1.9B to $7.3B
        May 2, 2014 to Jun 3, 2014
      • RAUM · $1.9B to $7.3B
        May 2, 2014 to Jun 3, 2014
      • Related adviser · false to true
        Jul 2, 2013 to Apr 14, 2014
      • Related bank · false to true
        Jul 2, 2013 to Apr 14, 2014
      • Related broker-dealer · false to true
        Jul 2, 2013 to Apr 14, 2014
      • Advisory employees · unset to 13.0
        Mar 30, 2012 to Jul 2, 2013
      • Employees · unset to 21.0
        Mar 30, 2012 to Jul 2, 2013
      • Non-discretionary RAUM · $2.3B to $1.9B
        Mar 30, 2012 to Jul 2, 2013
      • RAUM · $2.3B to $1.9B
        Mar 30, 2012 to Jul 2, 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