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T•• C•••••••• S••••••• ••••• M••••••••• L••••••

Former SEC-registered adviserFormer SEC adviser· London

Former SEC-registered adviser, based in London, reporting $83.5M of regulatory assets.

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

Last reported RAUM
$83.5M
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
-4.2%
Form ADV, consecutive annual filings
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 11 Form ADV filings for this adviser, the latest 8.8 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 147366 · SEC 801-72204 · 11 filingsShow
CRD 147366SEC 801-72204First filing on the tape Apr 26, 2012, latest Dec 23, 2017IAPD
RAUM
$83.5M
reported, Item 5.F
Discretionary
100%
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
26
13 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$83.5M as of Dec 23, 2017
Nov 8, 2013$3.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 23, 2017
Nov 8, 20130 then
Employees (5.A)26 as of Dec 23, 2017
Nov 8, 201331 then
Private funds3 as of Sep 30, 2016
Oct 8, 20145 then
RAUM -4.2% over the last fiscal year-47% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 23, 2017; 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
$13.9MderivedRAUM 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
unknownderived5 offices incl. principal (1.F.5)
RAUM growth, one year
-4.2%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
Custody
$940,074, 1 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$83.5M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$940,074 for 1 clientsreported
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D•••• M•••• L••••••no longer reportedHedge Fund$34.7M11Mar 14, 2014
      T•• A••••• A••••••• R••••• S••••••• M••••• F••• L••••••no longer reportedHedge Fund$33.6M8Mar 14, 2014
      T•• C•••••••• S••••••• A•••• A•••• C••••••• M••••• F••• L••••••no longer reportedHedge Fund$5.5M1Mar 14, 2014
      T•• C•••••••• S••••••• G••••• E••••••• M•••••• E••••• M••••• F••• L••••••no longer reportedHedge Fund$1.5M1Mar 14, 2014
      T•• C•••••••• S••••••• A•••• E••••• M•••••• A••••••• R••••• M••••• F••• L••••••no longer reportedHedge Fund$940,0743Mar 14, 2014
      T•• R• E••••••• M•••••• A•••• C••••••• M••••• F••• L••••••no longer reportedHedge Fund$532,9651Mar 14, 2014
      C•••••••• B••• F••••••• L••••••no longer reportedHedge Fund$255,9663Mar 14, 2014
      T•• C•••••••• S••••••• E••••••• M•••••• A•••• C••••••• M••••• F••• L••••••no longer reportedHedge Fund$00Mar 14, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• E•••••• D••••• · Executive Chairman Managing Membercontrol
        since 04/2007 · owns less than 5%
      • G••••••• B•••• · Cco, Elected Managercontrol
        since 03/2014 · owns less than 5%
      • H•••••••• P••••• J••••• · Ceo Managing Membercontrol
        since 09/2006 · owns less than 5%
      • H•••• L••••••••• · Vice Chairman , Elected Managercontrol
        since 07/2015 · owns less than 5%
      • T•••••••• D••••• R•••••• · Cio Managing Membercontrol
        since 09/2006 · owns less than 5%
      • H•••••••• P••••• J••••• · Sharecontrol
        since 09/2006 · owns 25% to 50% of A• J• B•••• Ltd
      • H••••• L••• M•• · Sharecontrol
        since 09/2006 · owns 25% to 50% of A• H•••••• L••••••
      • B••••• E•••••• D••••• · Trustee
        since 07/2001 · owns F of H••• L•••• L••
      • B••••• R•••••••• B••••• · Trustee
        since 07/2001 · owns F of H••• L•••• L••
      Entity owners
      • A• H•••••• L•••••• · Share Managing Member
        direct · owns 25% to 50%
      • A• J• B•••• L•••••• · Share Managing Member
        direct · owns 25% to 50%
      • H••• L•••• L•• · Share Managing Member
        direct · owns 25% to 50%
      • E••••• D• B•••• I•• T••• A•• R••••••• B••••• B•••• T••• U•• D•• 0••••••• C•••••••• P••••••• T•••• · Share
        indirect · owns 25% to 50% of H••• L•••• L••
      Related persons
      Schedule D 7.A
      • T•• C•••••••• S••••••• ••••• M••••••••• A••• L••••••
        investment advisery
      • T•• C•••••••• S••••••• ••••• M••••••••• S••
        investment advisery
      Offices
      Schedule D 1.F, the 25 largest
      • Hong Kong, Hong Kong3 employees
      • Monaco, Monaco3 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 16 to 13
        Sep 30, 2016 to Dec 23, 2017
      • Employees · 35 to 26
        Sep 30, 2016 to Dec 23, 2017
      • Other offices · unset to 4.0
        Sep 30, 2016 to Dec 23, 2017
      • Private funds · 3 to unset
        Sep 30, 2016 to Dec 23, 2017
      • Discretionary RAUM · $87.2M to $83.5M
        Sep 30, 2016 to Dec 23, 2017
      • RAUM · $87.2M to $83.5M
        Sep 30, 2016 to Dec 23, 2017
      • Accounts · 8 to 6
        Nov 2, 2015 to Sep 30, 2016
      • Advisory employees · 18 to 16
        Nov 2, 2015 to Sep 30, 2016
      • Assets in custody · $34.8M to $940,074
        Nov 2, 2015 to Sep 30, 2016
      • Employees · 39 to 35
        Nov 2, 2015 to Sep 30, 2016
      • Private funds · 4 to 3
        Nov 2, 2015 to Sep 30, 2016
      • Discretionary RAUM · $332M to $87.2M
        Nov 2, 2015 to Sep 30, 2016
      • RAUM · $332M to $87.2M
        Nov 2, 2015 to Sep 30, 2016
      • Accounts · 10 to 8
        Mar 16, 2015 to Sep 30, 2015
      • Advisory employees · 17 to 18
        Mar 16, 2015 to Sep 30, 2015
      • Assets in custody · $37.4M to $34.8M
        Mar 16, 2015 to Sep 30, 2015
      • Custody of client assets · false to true
        Mar 16, 2015 to Sep 30, 2015
      • Employees · 30 to 39
        Mar 16, 2015 to Sep 30, 2015
      • Private funds · 5 to 4
        Mar 16, 2015 to Sep 30, 2015
      • Discretionary RAUM · $551M to $332M
        Mar 16, 2015 to Sep 30, 2015
      • RAUM · $551M to $332M
        Mar 16, 2015 to Sep 30, 2015
      • Accounts · 24 to 10
        May 22, 2014 to Oct 8, 2014
      • Advisory employees · 16 to 17
        May 22, 2014 to Oct 8, 2014
      • Assets in custody · unset to 37405122.0
        May 22, 2014 to Oct 8, 2014
      • Employees · 31 to 30
        May 22, 2014 to Oct 8, 2014
      • Private funds · 8 to 5
        May 22, 2014 to Oct 8, 2014
      • Discretionary RAUM · $3.3B to $551M
        May 22, 2014 to Oct 8, 2014
      • RAUM · $3.3B to $551M
        May 22, 2014 to Oct 8, 2014
      • Private funds · unset to 8
        Nov 8, 2013 to Mar 14, 2014
      • Related adviser · false to true
        Nov 8, 2013 to Mar 14, 2014
      • Accounts · 17 to 24
        Jan 8, 2013 to Nov 8, 2013
      • Advisory employees · 14 to 16
        Jan 8, 2013 to Nov 8, 2013
      • Advisory activities · 1 to 3
        Jan 8, 2013 to Nov 8, 2013
      • Organization form · Other (specify) to Corporation
        Jan 8, 2013 to Nov 8, 2013
      • Discretionary RAUM · $820M to $3.3B
        Jan 8, 2013 to Nov 8, 2013
      • RAUM · $820M to $3.3B
        Jan 8, 2013 to Nov 8, 2013
      • Advisory employees · unset to 14.0
        Apr 26, 2012 to Jan 8, 2013
      • Employees · unset to 31.0
        Apr 26, 2012 to Jan 8, 2013
      • State-registered IARs · unset to 0.0
        Apr 26, 2012 to Jan 8, 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