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.

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Former SEC-registered adviser

S••••••• C•••••• M••••••••• L••

Former SEC-registered adviserLondon, CRD 146834SEC 801-69117IAPD

Latest filing Jun 29, 2023

First filing on the tape Dec 22, 2011 · 43 filings

RAUM

$4.2B

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

n/a

derived; firm RAUM over IAPD count

Employees

15 advisory (5.B.1)

Offices

beyond the principal office

Private funds

$123M gross assets

History

43 filings and snapshots on the tape

RAUM$4.2B as of Jun 29, 2023

Jun 28, 2012$1.4B then

HNW client RAUM$0 as of Jun 29, 2023

Jun 26, 2018$0 then

State-registered IARs (5.B.3)0 as of Jun 29, 2023

May 30, 20130 then

Employees (5.A)33 as of Jun 29, 2023

May 30, 201317 then

Private funds2 as of Jun 29, 2023

Jun 28, 20123 then

RAUM -18% over the last fiscal year-8.0% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jun 29, 2023; 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: $326MderivedRAUM over accounts (5.F.2.f)
Discretionary: 100%derivedof RAUM
Institutional: 28%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: -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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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

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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

Pooled investment vehicles$2.8B65%
State and municipal entities$1.2B28%
Investment companies$294M7.0%

Individual clients: 0reported
HNW clients: 0reported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 13reported
Financial planning clients: 0reported
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 departure Every arrival

Private funds

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

Fund	Type	Gross assets	Owners	First reported
S••••••• E••••••• M•••••• S•••• C•• F••• L••	Hedge Fund	$115M	18	Mar 7, 2012
S••••••• S•••• M•• C•• E• A•• C•••••• F••• L••	Hedge Fund	$112M	11	Mar 7, 2012
S••••••• G••••• E••••••• M•••••• F••• L••	Hedge Fund	$111M	16	Mar 7, 2012
S•• E••••••• M•••••• M•• C•• F••• L••no longer reported	Hedge Fund	$18.8M	2	Oct 16, 2013
P••••••• V••• C•••• F•••	Hedge Fund	$12.9M	10	Jun 29, 2023
S••••••• F••••••• M•••••• F••• L••no longer reported	Hedge Fund	$8.3M	7	Dec 10, 2013

Owners and control persons

Schedule A and B, latest filing

B••••••••• R•••••• J••• K•••••• · Chief Compliance Officercontrol
since 03/2023 · owns less than 5%
C••••••• O•••••• C••••• C••••••• · Member, Head Of M•••Eting & Client Servicescontrol
since 04/2021 · owns less than 5%
D•••••• R•••••• D•••••• C•••••• · Designated Member, Chief Executive Officercontrol
since 10/2022 · owns less than 5%
F••••••• P••••• R••••• · Member, Chief Operating Officercontrol
since 10/2022 · owns less than 5%
H••• T••••••• G••••• N••••••• · Member, Asia Ceocontrol
since 04/2021 · owns less than 5%
H•••••• M••••••• G••••• · Chief Financial Officercontrol
since 08/2022 · owns less than 5%
P•••••• K•••• · Member, Fund Managercontrol
since 11/2020 · owns less than 5%
R••••••••• E•••••• M•••••••• · Designated Member, Fund Managercontrol
since 08/2007 · owns less than 5%
W•••••••• M•••• K•••••• · Member, Fund Managercontrol
since 11/2020 · owns less than 5%
C••••••• O•••••• C••••• C••••••• · Shareholdercontrol
since 11/2023 · owns 25% to 50% of S••••••• C•••••• M••••••••• L••••••
R••••••••• J••••• W•••••• · Shareholdercontrol
since 01/1999 · owns 75% or more of S•••••••
R••••••••• E•••••• M•••••••• · Shareholdercontrol
since 06/2015 · owns 75% or more of A••••• L••••••
A••••••• M•••• J••••• · Member
since 11/2007 · owns 10% to 25%
L••• E••••• · Member
since 10/2007 · owns 5% to 10%
R••••••••• J••••• W•••••• · Member
since 02/2010 · owns less than 5%

Entity owners

A••••• L•••••• · Shareholder
indirect · owns 25% to 50% of S••••••• C•••••• M••••••••• L••••••
S••••••• · Shareholder
indirect · owns 25% to 50% of S••••••• C•••••• M••••••••• L••••••
A••••• L•••••• · Member
direct · owns 10% to 25%
S••••••• · Member
direct · owns 10% to 25%
S••••••• C•••••• M••••••••• L•••••• · Member
direct · owns 10% to 25%

Related persons

Schedule D 7.A

S••••••• C•••••• M••••••••• S•••••••• P••• L•••
investment advisery
S••••••• C•••••• M••••••••• U•• L••
pooled vehicle sponsory

Advisers that list S••••••• C•••••• M••••••••• L•• as a related person

169282 n

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 19 to 13
May 19, 2023 to Jun 29, 2023
Advisory employees · 18 to 15
May 19, 2023 to Jun 29, 2023
Charity clients · unset to 0.0
May 19, 2023 to Jun 29, 2023
Pension plan clients · unset to 0.0
May 19, 2023 to Jun 29, 2023
Pooled vehicle clients · 12 to 9
May 19, 2023 to Jun 29, 2023
Employees · 37 to 33
May 19, 2023 to Jun 29, 2023
Private funds · 3 to 2
May 19, 2023 to Jun 29, 2023
Discretionary RAUM · $5.2B to $4.2B
May 19, 2023 to Jun 29, 2023
Pension RAUM · $215M to $0
May 19, 2023 to Jun 29, 2023
Pooled vehicle RAUM · $3.1B to $2.8B
May 19, 2023 to Jun 29, 2023
RAUM · $5.2B to $4.2B
May 19, 2023 to Jun 29, 2023
Accounts · 23 to 19
Aug 2, 2021 to Jul 4, 2022
Advisory employees · 17 to 18
Aug 2, 2021 to Jul 4, 2022
Advisory activities · 4 to 3
Aug 2, 2021 to Jul 4, 2022
Charity clients · 1.0 to unset
Aug 2, 2021 to Jul 4, 2022
Pension plan clients · 3.0 to unset
Aug 2, 2021 to Jul 4, 2022
Pooled vehicle clients · 15 to 12
Aug 2, 2021 to Jul 4, 2022
Employees · 45 to 37
Aug 2, 2021 to Jul 4, 2022
Discretionary RAUM · $7.4B to $5.2B
Aug 2, 2021 to Jul 4, 2022
Pension RAUM · $578M to $215M
Aug 2, 2021 to Jul 4, 2022
Pooled vehicle RAUM · $4.4B to $3.1B
Aug 2, 2021 to Jul 4, 2022
RAUM · $7.4B to $5.2B
Aug 2, 2021 to Jul 4, 2022
Accounts · 24 to 23
Mar 3, 2021 to Jun 29, 2021
Advisory employees · 13 to 17
Mar 3, 2021 to Jun 29, 2021
Employees · 36 to 45
Mar 3, 2021 to Jun 29, 2021
Discretionary RAUM · $5.4B to $7.4B
Mar 3, 2021 to Jun 29, 2021
Pension RAUM · $355M to $578M
Mar 3, 2021 to Jun 29, 2021
Pooled vehicle RAUM · $3.2B to $4.4B
Mar 3, 2021 to Jun 29, 2021
RAUM · $5.4B to $7.4B
Mar 3, 2021 to Jun 29, 2021
Accounts · 23 to 24
Apr 9, 2020 to Jun 26, 2020
Charity clients · 2 to 1
Apr 9, 2020 to Jun 26, 2020
Pension plan clients · 4 to 3
Apr 9, 2020 to Jun 26, 2020
Pooled vehicle clients · 10 to 15
Apr 9, 2020 to Jun 26, 2020
Employees · 38 to 36
Apr 9, 2020 to Jun 26, 2020
Discretionary RAUM · $7.3B to $5.4B
Apr 9, 2020 to Jun 26, 2020
Pension RAUM · $606M to $355M
Apr 9, 2020 to Jun 26, 2020
Pooled vehicle RAUM · $3.8B to $3.2B
Apr 9, 2020 to Jun 26, 2020
RAUM · $7.3B to $5.4B
Apr 9, 2020 to Jun 26, 2020
Advisory employees · 14 to 13
Jun 26, 2018 to Jun 28, 2019
Pooled vehicle clients · 9 to 10
Jun 26, 2018 to Jun 28, 2019

Signals

15 dated events

Kumar Pandit (Member, Fund Manager) appeared on Schedule A of S••••••• C•••••• M••••••••• L••
Jun 29, 2023 · Control person joined · fact
Kennedy Mark Williams (Member, Fund Manager) appeared on Schedule A of S••••••• C•••••• M••••••••• L••
Jun 29, 2023 · Control person joined · fact
John Kenneth Robert Broadhurst (Chief Compliance Officer) appeared on Schedule A of S••••••• C•••••• M••••••••• L••
May 19, 2023 · Control person joined · fact
Robert Peter Fiveash (Member, Chief Operating Officer) appeared on Schedule A of S••••••• C•••••• M••••••••• L••
May 19, 2023 · Control person joined · fact
Graeme Matthew Hooper (Chief Financial Officer) appeared on Schedule A of S••••••• C•••••• M••••••••• L••
May 19, 2023 · Control person joined · fact
Robert Andrew Dominic Johnson (Chief Executive Officer, Designated Member) no longer on Schedule A of S••••••• C•••••• M••••••••• L•• (listed 2022-07-04, absent 2023-05-19)
May 19, 2023 · Control person left · inference
Patrick James Wilson (Chief Compliance Officer) no longer on Schedule A of S••••••• C•••••• M••••••••• L•• (listed 2022-07-04, absent 2023-05-19)
May 19, 2023 · Control person left · inference
S••••••• C•••••• M••••••••• L•• reported RAUM $5.2B, down 30% from $7.4B (2021-08-02 to 2022-07-04)
Jul 4, 2022 · RAUM change · derived
Patrick James Wilson (Chief Compliance Officer) appeared on Schedule A of S••••••• C•••••• M••••••••• L••
Aug 2, 2021 · Control person joined · fact
S••••••• C•••••• M••••••••• L•• reported RAUM $7.4B, up 36% from $5.4B (2021-03-03 to 2021-06-29)
Jun 29, 2021 · RAUM change · derived
Henrietta Seligman (Designated Member, Fund Manager) appeared on Schedule A of S••••••• C•••••• M••••••••• L••
Jun 29, 2021 · Control person joined · fact
Claude Chetwode Oliver Crawley (Designated Member, Head Of Marketing & Client Services) appeared on Schedule A of S••••••• C•••••• M••••••••• L••
Jun 29, 2021 · Control person joined · fact
George Nicholas Timothy Hay (Designated Member, Asia Ceo) appeared on Schedule A of S••••••• C•••••• M••••••••• L••
Jun 29, 2021 · Control person joined · fact
S••••••• C•••••• M••••••••• L•• reported RAUM $7.3B, down 25% from $9.7B (2018-06-26 to 2019-06-28)
Jun 28, 2019 · RAUM change · derived
S••••••• C•••••• M••••••••• L•• reported RAUM $9.6B, up 31% from $7.3B (2017-07-31 to 2018-01-24)
Jan 24, 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