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Former SEC-registered adviser

D••• A•••• M••••••••• L•••

Former SEC-registered adviserLondon, CRD 140642SEC 801-66742IAPD
Latest filing Mar 29, 2019
First filing on the tape Mar 30, 2012 · 14 filings
RAUM
$365M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
2.2%
$8.0M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
22
5 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
2
$56.7M gross assets
History
14 filings and snapshots on the tape
RAUM$365M as of Mar 29, 2019
Mar 30, 2012$1.2B then
HNW client RAUM$0 as of Mar 29, 2019
Apr 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 30, 20120 then
Employees (5.A)22 as of Mar 29, 2019
Mar 28, 201340 then
Private funds2 as of Mar 29, 2019
Mar 30, 20122 then
RAUM -18% over the last fiscal year-48% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 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
$18.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
34%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
-18%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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$192M52%
  • Sovereign wealth funds$122M34%
  • Corporations and businesses$43.0M12%
  • Individuals$8.0M2.2%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
20reported
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
      13 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D••• G••••• E••••••• F••• L••••••no longer reportedHedge Fund$280M8Apr 22, 2015
      D••• C••••••••• F••• L••••••no longer reportedHedge Fund$267M15Mar 30, 2016
      D••• A••••• O••••••••• F••• I•no longer reportedHedge Fund$103M14Mar 30, 2012
      D••• G••••• E•••••••• F•••no longer reportedHedge Fund$76.0M1Mar 30, 2016
      D••• V••••••• A••••• I•••• F••• • U• D••••• S•••• C•••• I•Hedge Fund$55.8M10Mar 29, 2019
      D••• G••••• P••• F••• L••••••no longer reportedHedge Fund$46.0M4Mar 28, 2013
      D••• N•••••• R•••••••• F••• L••••••no longer reportedHedge Fund$15.3M5Mar 31, 2017
      D••• A••••• C••••• F••• I•no longer reportedOther Private Fund$4.9M2Apr 22, 2015
      D••• G••••• O••••••••• F••• L••••••no longer reportedHedge Fund$1.6M3Mar 30, 2012
      D••• G••••• A•••• F••• L•••Hedge Fund$959,0061Mar 28, 2018
      H••••• L•no longer reportedHedge Fund$339,9371Mar 31, 2014
      V•••••• L•no longer reportedHedge Fund$130,06210Mar 31, 2014
      D••• A•••• F••• L••••••no longer reportedHedge Fund$00Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • G••••• H••••• I••• · Directorcontrol
        since 01/2002 · owns less than 5%
      • P•••• R•••••••• G••• · Chief Operating Officercontrol
        since 07/2017 · owns less than 5%
      • G••••• H••••• I••• · Equity Ownercontrol
        since 02/2010 · owns 50% to 75% of D••• S••••• Ltd
      • C•••• A•••••• S•••••• · Chief Compliance Officer/Group General Counsel
        since 12/2015 · owns less than 5%
      • H••••• A•••• N••••••••• · Chief Financial Officer
        since 02/2014 · owns less than 5%
      Entity owners
      • D••• G•••• L•••••• · Equity Owner
        direct · owns 75% or more
      • D••• S••••• L•••••• · Equity Owner
        indirect · owns 75% or more of D••• G•••• L••••••
      Related persons
      Schedule D 7.A
      • D••• A••••••••• I••••••••• ••• L••
        investment advisern
      • D••• A••••••••• I••••••••• L••
        pooled vehicle sponsorn
      • D••• C•••••• P••••••• L••••••
        pooled vehicle sponsorn
      • D••• P•••••• E••••• L••
        investment advisern
      • D••• R••• E••••• P••••••• 1• L••
        pooled vehicle sponsorn
      • D••• U•• A•••• M••••••••• L••
        investment adviserpooled vehicle sponsornRAUM $26.0M
      • E••••••• M•••••• I••••••••• M••••••••• L••••••
        investment advisern
      • E••• I••••••••• A•••••• L••
        investment advisern
      • E••••••• R••• E••••• D••• F••• ••• L••••••
        pooled vehicle sponsorn
      • E••••••• R••• E••••• D••• F••• •••• L••••••
        pooled vehicle sponsorn
      • F•••• I••••
        investment advisery
      • G••••• E••••• T•••••• S•••••••• L••••••
        pooled vehicle sponsorn
      • L•• F••• M••••••• L••••••
        investment advisery
      • M•••• C•••••• N•
        investment advisern
      Advisers that list D••• A•••• M••••••••• L••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 19 to 20
        Apr 30, 2018 to Mar 29, 2019
      • Advisory employees · 7 to 5
        Apr 30, 2018 to Mar 29, 2019
      • Employees · 30 to 22
        Apr 30, 2018 to Mar 29, 2019
      • Private funds · 1 to 2
        Apr 30, 2018 to Mar 29, 2019
      • Discretionary RAUM · $447M to $365M
        Apr 30, 2018 to Mar 29, 2019
      • Individual RAUM · $0 to $8.0M
        Apr 30, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $231M to $192M
        Apr 30, 2018 to Mar 29, 2019
      • RAUM · $447M to $365M
        Apr 30, 2018 to Mar 29, 2019
      • Pooled vehicle RAUM · $231M to $231M
        Mar 28, 2018 to Apr 30, 2018
      • Accounts · 30 to 19
        Aug 11, 2017 to Mar 28, 2018
      • Advisory employees · 17 to 7
        Aug 11, 2017 to Mar 28, 2018
      • Pooled vehicle clients · unset to 16.0
        Aug 11, 2017 to Mar 28, 2018
      • Employees · 43 to 30
        Aug 11, 2017 to Mar 28, 2018
      • Other offices · unset to 1.0
        Aug 11, 2017 to Mar 28, 2018
      • Private funds · 5 to 1
        Aug 11, 2017 to Mar 28, 2018
      • Discretionary RAUM · $739M to $447M
        Aug 11, 2017 to Mar 28, 2018
      • HNW RAUM · unset to 0.0
        Aug 11, 2017 to Mar 28, 2018
      • Individual RAUM · unset to 0.0
        Aug 11, 2017 to Mar 28, 2018
      • Pension RAUM · unset to 0.0
        Aug 11, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 230608802.0
        Aug 11, 2017 to Mar 28, 2018
      • RAUM · $739M to $447M
        Aug 11, 2017 to Mar 28, 2018
      • Accounts · 36 to 30
        Mar 31, 2017 to May 30, 2017
      • Discretionary RAUM · $763M to $739M
        Mar 31, 2017 to May 30, 2017
      • RAUM · $763M to $739M
        Mar 31, 2017 to May 30, 2017
      • Accounts · 33 to 36
        Apr 14, 2016 to Mar 31, 2017
      • Advisory employees · 21 to 17
        Apr 14, 2016 to Mar 31, 2017
      • Employees · 51 to 43
        Apr 14, 2016 to Mar 31, 2017
      • Private funds · 6 to 5
        Apr 14, 2016 to Mar 31, 2017
      • Discretionary RAUM · $1.7B to $763M
        Apr 14, 2016 to Mar 31, 2017
      • Non-discretionary RAUM · $53.3M to $0
        Apr 14, 2016 to Mar 31, 2017
      • RAUM · $1.7B to $763M
        Apr 14, 2016 to Mar 31, 2017
      • Discretionary RAUM · $2.6B to $1.7B
        Mar 30, 2016 to Apr 14, 2016
      • RAUM · $2.6B to $1.7B
        Mar 30, 2016 to Apr 14, 2016
      • Accounts · 22 to 33
        Jan 11, 2016 to Mar 30, 2016
      • Advisory employees · 19 to 21
        Jan 11, 2016 to Mar 30, 2016
      • Employees · 48 to 51
        Jan 11, 2016 to Mar 30, 2016
      • Private funds · 8 to 6
        Jan 11, 2016 to Mar 30, 2016
      • Discretionary RAUM · $2.2B to $2.6B
        Jan 11, 2016 to Mar 30, 2016
      • Non-discretionary RAUM · $0 to $53.3M
        Jan 11, 2016 to Mar 30, 2016
      • RAUM · $2.2B to $2.6B
        Jan 11, 2016 to Mar 30, 2016
      Signals
      1 dated events
      • D••• A•••• M••••••••• L••• reported RAUM $446.8M, down 40% from $739.3M (2017-08-11 to 2018-03-28)
        Mar 28, 2018 · RAUM change · derived
      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