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.

The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.

Former SEC-registered adviser

M•••••••• A•

Former SEC-registered adviserZurich, CRD 152114SEC 801-70838IAPD
Latest filing Nov 30, 2020
First filing on the tape Apr 2, 2012 · 18 filings
RAUM
$1.0B
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
12
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$1.0B as of Mar 5, 2020
Apr 2, 2012$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 5, 2020
Apr 2, 20120 then
Employees (5.A)12 as of Mar 5, 2020
Apr 1, 201311 then
Private funds: no history
RAUM -7.8% over the last fiscal year-11% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 30, 2020; 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
$346MderivedRAUM 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
-7.8%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
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.0B100%
  • Corporations and businesses$1.2M0.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
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
      • O••••• T••• S••••• · Executive Director And Chief Executive Officercontrol
        since 11/2013 · owns less than 5%
      • O••••• T••• S••••• · Sole Shareholdercontrol
        since 08/2008 · owns 75% or more of N•••• G•••
      • R•••••• S•••••• F•••••••• · Chief Compliance Officer
        since 07/2019 · owns less than 5%
      Entity owners
      • N•••• G••• · Sole Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $1.1B to $1.0B
        Jul 24, 2019 to Mar 5, 2020
      • Pooled vehicle RAUM · $1.1B to $1.0B
        Jul 24, 2019 to Mar 5, 2020
      • RAUM · $1.1B to $1.0B
        Jul 24, 2019 to Mar 5, 2020
      • Accounts · 4 to 3
        Mar 19, 2018 to Mar 12, 2019
      • Charity clients · 1.0 to unset
        Mar 19, 2018 to Mar 12, 2019
      • Corporate clients · 1.0 to unset
        Mar 19, 2018 to Mar 12, 2019
      • Discretionary RAUM · $1.8B to $1.1B
        Mar 19, 2018 to Mar 12, 2019
      • Pooled vehicle RAUM · $1.7B to $1.1B
        Mar 19, 2018 to Mar 12, 2019
      • RAUM · $1.8B to $1.1B
        Mar 19, 2018 to Mar 12, 2019
      • Accounts · 3 to 4
        Sep 19, 2017 to Mar 19, 2018
      • Business name · E••••••• V•••• P••••••• A• to M•••••••• A•
        Sep 19, 2017 to Mar 19, 2018
      • Charity clients · unset to 1.0
        Sep 19, 2017 to Mar 19, 2018
      • Corporate clients · unset to 1.0
        Sep 19, 2017 to Mar 19, 2018
      • Pooled vehicle clients · unset to 2.0
        Sep 19, 2017 to Mar 19, 2018
      • Legal name · E••••••• V•••• P••••••• A• to M•••••••• A•
        Sep 19, 2017 to Mar 19, 2018
      • Other offices · unset to 0.0
        Sep 19, 2017 to Mar 19, 2018
      • Discretionary RAUM · $1.8B to $1.8B
        Sep 19, 2017 to Mar 19, 2018
      • Pooled vehicle RAUM · unset to 1691270989.0
        Sep 19, 2017 to Mar 19, 2018
      • RAUM · $1.8B to $1.8B
        Sep 19, 2017 to Mar 19, 2018
      • Advisory employees · 5 to 6
        Mar 23, 2017 to Sep 19, 2017
      • Discretionary RAUM · $1.5B to $1.8B
        Mar 23, 2017 to Sep 19, 2017
      • RAUM · $1.5B to $1.8B
        Mar 23, 2017 to Sep 19, 2017
      • Accounts · 2 to 3
        Jun 22, 2016 to Mar 23, 2017
      • Discretionary RAUM · $1.6B to $1.5B
        Jun 22, 2016 to Mar 23, 2017
      • RAUM · $1.6B to $1.5B
        Jun 22, 2016 to Mar 23, 2017
      • Discretionary RAUM · $1.7B to $1.6B
        Aug 12, 2015 to Mar 30, 2016
      • RAUM · $1.7B to $1.6B
        Aug 12, 2015 to Mar 30, 2016
      • Business name · E••••••• V•••• P••••••• S••• to E••••••• V•••• P••••••• A•
        Dec 2, 2014 to Mar 19, 2015
      • Legal name · E••••••• V•••• P••••••• S••• to E••••••• V•••• P••••••• A•
        Dec 2, 2014 to Mar 19, 2015
      • Discretionary RAUM · $1.8B to $1.7B
        Dec 2, 2014 to Mar 19, 2015
      • RAUM · $1.8B to $1.7B
        Dec 2, 2014 to Mar 19, 2015
      • Succession · true to false
        Dec 2, 2014 to Mar 19, 2015
      • Accounts · 3 to 2
        Mar 31, 2014 to Dec 2, 2014
      • Advisory employees · 4 to 5
        Mar 31, 2014 to Dec 2, 2014
      • HQ city · LUXEMBOURG to ZURICH
        Mar 31, 2014 to Dec 2, 2014
      • Discretionary RAUM · $2.0B to $1.8B
        Mar 31, 2014 to Dec 2, 2014
      • RAUM · $2.0B to $1.8B
        Mar 31, 2014 to Dec 2, 2014
      • Related adviser · true to false
        Mar 31, 2014 to Dec 2, 2014
      • Succession · false to true
        Mar 31, 2014 to Dec 2, 2014
      • Advisory employees · 3 to 4
        Apr 9, 2013 to Mar 31, 2014
      Signals
      8 dated events
      • Silvan Daniel Halter (Director) no longer on Schedule A of M•••••••• A• (listed 2020-07-01, absent 2020-11-30)
        Nov 30, 2020 · Control person left · inference
      • Gerardus Cornelis Petrus Van Tol (Director) no longer on Schedule A of M•••••••• A• (listed 2020-07-01, absent 2020-11-30)
        Nov 30, 2020 · Control person left · inference
      • Hoejbjerg Claus Andersen (Director, Chairman) no longer on Schedule A of M•••••••• A• (listed 2020-07-01, absent 2020-11-30)
        Nov 30, 2020 · Control person left · inference
      • Peter Torndal (Executive Director And Chief Operating Officer) no longer on Schedule A of M•••••••• A• (listed 2020-07-01, absent 2020-11-30)
        Nov 30, 2020 · Control person left · inference
      • Paolo Rizzini (Chief Risk Officer) no longer on Schedule A of M•••••••• A• (listed 2020-03-05, absent 2020-07-01)
        Jul 1, 2020 · Control person left · inference
      • Langhorn Ulrik Frederiksen (Executive Director) no longer on Schedule A of M•••••••• A• (listed 2019-03-12, absent 2019-07-24)
        Jul 24, 2019 · Control person left · inference
      • M•••••••• A• reported RAUM $1.1B, down 37% from $1.8B (2018-03-19 to 2019-03-12)
        Mar 12, 2019 · RAUM change · derived
      • E••••••• V•••• P••••••• S••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Dec 2, 2014 · Succession (Item 4) · fact
      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