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B••••••••• A•••• M••••••••• L••••••

Former SEC-registered adviserFormer SEC adviser· London

Former SEC-registered adviser, based in London, reporting $165M of regulatory assets.

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

Last reported RAUM
$165M
Form ADV
RAUM change, last fiscal year
+12%
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

Nothing material in the last 180 days. Last change: 21 Mar 2018, RAUM $146M to $165M (+12.5%) on the Form ADV filed 21 Mar 2018.

Every filed figure, and the identifiersCRD 149711 · SEC 801-69993 · 12 filingsShow
CRD 149711SEC 801-69993First filing on the tape Mar 28, 2012, latest Mar 21, 2018IAPD
RAUM
$165M
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
Not computed
derived; firm RAUM over IAPD count
Employees
14
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$165M as of Mar 21, 2018
Mar 28, 2012$28.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 21, 2018
Mar 26, 20130 then
Employees (5.A)14 as of Mar 21, 2018
Mar 26, 201317 then
Private funds: no history
RAUM +12% over the last fiscal year-21% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 21, 2018; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$27.4MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%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
  • Pooled investment vehicles$165M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the 10 longest tenured
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • S•••••• G••••••• K•••• · Chief Compliance Officercontrol
        since 02/2015 · owns less than 5%
      • S••••• H•••• A••• · Directorcontrol
        since 05/2011 · owns less than 5%
      • W•••••• T•••••• D•••••• T••••••• · Chief Executive Officercontrol
        since 11/2011 · owns less than 5%
      Entity owners
      • T•• H•••• I••••••••• G•••• •••• L•••••• · Parent Company
        direct · owns 75% or more
      • H•••• I••••••••• H••••••• · Shareholder
        indirect · owns 25% to 50% of H•••• I••••••••• Group Pte L••••••
      • S•••• A••••••••• L•••••• · Shareholder
        indirect · owns 50% to 75% of H•••• I••••••••• Group Pte L••••••
      Related persons
      Schedule D 7.A
      • C••••••••• C•••••• M••••••••• L••••••
        investment advisern
      • D•••• C•••••• C•••••••••
        investment advisern
      • H•••• A•••• A••••••• L••••••
        investment advisern
      • H•••• A•••• M••••••••• ••••••• L••••••
        investment advisern
      • H•••• A•••• M••••••••• L••••••
        investment advisern
      • H•••• I••••••••• M••••••••• ••••••• L••••••
        investment advisern
      • H•••• I••••••••• M••••••••• L••••••
        investment advisern
      • H•••• I•••••• L••••••
        investment advisern
      Advisers that list B••••••••• 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
      • Pooled vehicle clients · unset to 6.0
        Mar 22, 2017 to Mar 21, 2018
      • Other offices · unset to 0.0
        Mar 22, 2017 to Mar 21, 2018
      • Discretionary RAUM · $146M to $165M
        Mar 22, 2017 to Mar 21, 2018
      • Pooled vehicle RAUM · unset to 164546013.0
        Mar 22, 2017 to Mar 21, 2018
      • RAUM · $146M to $165M
        Mar 22, 2017 to Mar 21, 2018
      Full history · 38 changes
      • Accounts · 9 to 6
        Mar 10, 2016 to Mar 22, 2017
      • Advisory employees · 9 to 7
        Mar 10, 2016 to Mar 22, 2017
      • Employees · 15 to 14
        Mar 10, 2016 to Mar 22, 2017
      • Discretionary RAUM · $146M to $146M
        Mar 10, 2016 to Mar 22, 2017
      • RAUM · $146M to $146M
        Mar 10, 2016 to Mar 22, 2017
      • Accounts · 8 to 9
        May 20, 2015 to Mar 10, 2016
      • Advisory employees · 10 to 9
        May 20, 2015 to Mar 10, 2016
      • Employees · 18 to 15
        May 20, 2015 to Mar 10, 2016
      • Discretionary RAUM · $340M to $146M
        May 20, 2015 to Mar 10, 2016
      • RAUM · $340M to $146M
        May 20, 2015 to Mar 10, 2016
      • Accounts · 15 to 8
        May 27, 2014 to Mar 31, 2015
      • Advisory employees · 5 to 10
        May 27, 2014 to Mar 31, 2015
      • Assets in custody · 0.0 to unset
        May 27, 2014 to Mar 31, 2015
      • Employees · 14 to 18
        May 27, 2014 to Mar 31, 2015
      • Financial planning clients · 0 to unset
        May 27, 2014 to Mar 31, 2015
      • Discretionary RAUM · $290M to $340M
        May 27, 2014 to Mar 31, 2015
      • RAUM · $290M to $340M
        May 27, 2014 to Mar 31, 2015
      • Advisory employees · 6 to 5
        Mar 26, 2013 to Mar 25, 2014
      • Employees · 17 to 14
        Mar 26, 2013 to Mar 25, 2014
      • Discretionary RAUM · $365M to $290M
        Mar 26, 2013 to Mar 25, 2014
      • RAUM · $365M to $290M
        Mar 26, 2013 to Mar 25, 2014
      • Advisory employees · unset to 6.0
        Oct 24, 2012 to Mar 26, 2013
      • Employees · unset to 17.0
        Oct 24, 2012 to Mar 26, 2013
      • State-registered IARs · unset to 0.0
        Oct 24, 2012 to Mar 26, 2013
      • Discretionary RAUM · $372M to $365M
        Oct 24, 2012 to Mar 26, 2013
      • RAUM · $372M to $365M
        Oct 24, 2012 to Mar 26, 2013
      • Accounts · 0 to 15
        Jul 23, 2012 to Oct 24, 2012
      • Discretionary RAUM · $0 to $372M
        Jul 23, 2012 to Oct 24, 2012
      • RAUM · $0 to $372M
        Jul 23, 2012 to Oct 24, 2012
      • Accounts · 1 to 0
        Mar 28, 2012 to Jul 23, 2012
      • Discretionary RAUM · $28.0M to $0
        Mar 28, 2012 to Jul 23, 2012
      • RAUM · $28.0M to $0
        Mar 28, 2012 to Jul 23, 2012
      • Related broker-dealer · true to false
        Mar 28, 2012 to Jul 23, 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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026