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.

Former SEC-registered adviser

Hermes Fund Managers (North America) LP

Former SEC-registered adviserBoston, MassachusettsCRD 151800SEC 801-70704IAPD
Latest filing Mar 28, 2014
First filing on the tape Mar 29, 2012 · 12 filings
RAUM
$1.6B
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
10
7 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM$1.6B as of Mar 28, 2014
Mar 29, 2012$842M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Mar 27, 20130 then
Employees (5.A)10 as of Mar 28, 2014
Mar 27, 201315 then
Private funds: no history
RAUM +25% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2014; 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
$778MderivedRAUM 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
+25%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 businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
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
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
      • David Nigel Bongard · Chief Compliance Officercontrol
        since 12/2012 · owns less than 5%
      • Jan Clara Lode Devlaminck · Chief Investment Officer, Director Of Hermes Fund Managers (North America) Gp, Inc.control
        since 09/2009 · owns less than 5%
      Entity owners
      • Hermes Fund Managers (North America) Gp, Inc. · General Partner
        direct · owns less than 5%
      • Hermes Global Equities Partners LP · Limited Partner
        direct · owns 75% or more
      • Britel Fund Nominees Limited · Sole Shareholder
        indirect · owns 75% or more of Britel Fund Trustees Limited
      • Britel Fund Trustees Limited · Sole Shareholder
        indirect · owns 75% or more of Britel Fund Nominees Limited
      • Britel Fund Trustees Limited · Sole Shareholder
        indirect · owns 75% or more of Hermes Fund Managers Limited
      • Bt Pension Scheme Trustees Limited · Corporate Trustee
        indirect · owns F of Britel Fund Trustees Limited / Britel Fund Nominees Limited
      • Hermes Fund Managers Limited · Sole Shareholder
        indirect · owns 75% or more of Hermes Investments (North America) Limited
      • Hermes Investments (North America) Limited · Sole Shareholder
        indirect · owns 75% or more of Hermes Administration Services (North America), Inc.
      • Hermes Investments (North America) Limited · Limited Partner
        indirect · owns 75% or more of Hermes Global Equities Partners LP
      Related persons
      Schedule D 7.A
      Advisers that list Hermes Fund Managers (North America) LP as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 9 to 7
        Nov 29, 2013 to Mar 28, 2014
      • Employees · 12 to 10
        Nov 29, 2013 to Mar 28, 2014
      • Discretionary RAUM · $1.3B to $1.6B
        Nov 29, 2013 to Mar 28, 2014
      • RAUM · $1.3B to $1.6B
        Nov 29, 2013 to Mar 28, 2014
      • Advisory employees · 11 to 9
        Mar 27, 2013 to Aug 12, 2013
      • Employees · 15 to 12
        Mar 27, 2013 to Aug 12, 2013
      • Discretionary RAUM · $1.2B to $1.3B
        Mar 27, 2013 to Aug 12, 2013
      • RAUM · $1.2B to $1.3B
        Mar 27, 2013 to Aug 12, 2013
      • Advisory employees · 10 to 11
        Jan 3, 2013 to Mar 27, 2013
      • Employees · 14 to 15
        Jan 3, 2013 to Mar 27, 2013
      • Discretionary RAUM · $842M to $1.2B
        Jan 3, 2013 to Mar 27, 2013
      • RAUM · $842M to $1.2B
        Jan 3, 2013 to Mar 27, 2013
      • Employees · 15 to 14
        Dec 5, 2012 to Jan 3, 2013
      • Advisory employees · unset to 10.0
        Aug 30, 2012 to Dec 5, 2012
      • BD registered reps · 0 to 2
        Aug 30, 2012 to Dec 5, 2012
      • Employees · unset to 15.0
        Aug 30, 2012 to Dec 5, 2012
      • State-registered IARs · unset to 0.0
        Aug 30, 2012 to Dec 5, 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