DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

Former SEC-registered adviser

F••••• S••••• F••• M••••••••• ••••••• L••••••

Former SEC-registered adviserLondon, CRD 139109SEC 801-66148IAPD
Latest filing Dec 10, 2018
First filing on the tape Nov 15, 2011 · 12 filings
RAUM
$300M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$300M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$300M as of Dec 10, 2018
Nov 15, 2011$191M then
HNW client RAUM$300M as of Dec 10, 2018
Dec 6, 2017$318M then
State-registered IARs (5.B.3)0 as of Dec 10, 2018
Nov 15, 20110 then
Employees (5.A)4 as of Dec 10, 2018
Nov 16, 20123 then
Private funds: no history
RAUM -14% over the last fiscal year+0.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 10, 2018; 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
$1.7MderivedHNW RAUM over HNW clients
Average account
$300MderivedRAUM 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
-14%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 assetsreportedItem 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
  • High-net-worth individuals$300M100%
Individual clients
n/areported
HNW clients
175reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • G••••••• A••••••• C•••••••• · Directorcontrol
        since 08/2001 · owns 50% to 75%
      • M•••••• G•••••• · Chief Compliance Officercontrol
        since 08/2001 · owns 50% to 75%
      • M••••••• B•••• · Directorcontrol
        since 03/2003 · owns less than 5%
      Related persons
      Schedule D 7.A
      • M•••••• A•••• M••••••••• L••••••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      • George Town, Cayman Islands1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 1
        Dec 6, 2017 to Dec 10, 2018
      • Discretionary RAUM · $350M to $300M
        Dec 6, 2017 to Dec 10, 2018
      • HNW RAUM · $318M to $300M
        Dec 6, 2017 to Dec 10, 2018
      • RAUM · $350M to $300M
        Dec 6, 2017 to Dec 10, 2018
      • HNW clients · unset to 175.0
        Nov 11, 2016 to Dec 6, 2017
      • Other offices · unset to 1.0
        Nov 11, 2016 to Dec 6, 2017
      • Discretionary RAUM · $285M to $350M
        Nov 11, 2016 to Dec 6, 2017
      • HNW RAUM · unset to 318000000.0
        Nov 11, 2016 to Dec 6, 2017
      • RAUM · $285M to $350M
        Nov 11, 2016 to Dec 6, 2017
      • Discretionary RAUM · $300M to $285M
        May 9, 2016 to Nov 11, 2016
      • RAUM · $300M to $285M
        May 9, 2016 to Nov 11, 2016
      • Discretionary RAUM · $325M to $300M
        Apr 9, 2015 to Dec 11, 2015
      • RAUM · $325M to $300M
        Apr 9, 2015 to Dec 11, 2015
      • Advisory employees · 3 to 4
        Nov 18, 2013 to Dec 15, 2014
      • Employees · 3 to 4
        Nov 18, 2013 to Dec 15, 2014
      • Discretionary RAUM · $300M to $325M
        Nov 18, 2013 to Dec 15, 2014
      • RAUM · $300M to $325M
        Nov 18, 2013 to Dec 15, 2014
      • Accounts · unset to 2.0
        Nov 16, 2012 to Nov 18, 2013
      • Discretionary RAUM · unset to 300000000.0
        Nov 16, 2012 to Nov 18, 2013
      • Non-discretionary RAUM · unset to 0.0
        Nov 16, 2012 to Nov 18, 2013
      • RAUM · unset to 300000000.0
        Nov 16, 2012 to Nov 18, 2013
      • Accounts · 2.0 to unset
        Apr 11, 2012 to Nov 16, 2012
      • Advisory employees · unset to 3.0
        Apr 11, 2012 to Nov 16, 2012
      • Employees · unset to 3.0
        Apr 11, 2012 to Nov 16, 2012
      • Discretionary RAUM · 191000000.0 to unset
        Apr 11, 2012 to Nov 16, 2012
      • Non-discretionary RAUM · 0.0 to unset
        Apr 11, 2012 to Nov 16, 2012
      • RAUM · 191000000.0 to unset
        Apr 11, 2012 to Nov 16, 2012
      • Organization form · Corporation to Limited Liability Company
        Nov 15, 2011 to Apr 11, 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