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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SEC-registered adviser

A•••••• P••••••• U• L••

No RAUM reportedLondon, CRD 152711SEC 801-71033websiteIAPD
Latest filing Aug 31, 2026
First filing on the tape Mar 29, 2012 · 29 filings
SEC status approved since Jan 25, 2010
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
19
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$0 as of Aug 31, 2026
Mar 29, 2012$24.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 31, 2026
Apr 1, 20130 then
Employees (5.A)19 as of Aug 31, 2026
Apr 1, 201310 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 31, 2026; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween 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
otherreportedItem 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)
  • 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)
  • marketing includes hypothetical performance (5.L.3)
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
0reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
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
      • D••••••••• C••••••••• A•••••• · Global Chief Compliance Officercontrol
        since 09/2023 · owns less than 5%
      Entity owners
      • A•••••• P••••••• L•••••• · Member
        direct · owns 75% or more
      • A•••••• P••••••• A•••• M••••••••• I••• · General Partner Of A•••••• P••••••• H••••••• L•
        indirect · owns F of A•••••• P••••••• H••••••• L• · public reporting company
      • A•••••• P••••••• H••••••• L• · Sole Shareholder Of A•••••• P••••••• L••••••
        indirect · owns 75% or more of A•••••• P••••••• L••••••
      Related persons
      Schedule D 7.A
      • A••••• P••• G•••• G• L••
        pooled vehicle sponsorn
      • A••• F•••••••• D••••••••• S••••••• L••
        broker-dealern
      • A•••••• C••••• O••••••••• G• L••
        pooled vehicle sponsorn
      • A•••••• D••••••••• O••••••••• G• L••
        pooled vehicle sponsorn
      • A•••••• E••••••• M•••••• L•••• O••••••••• G• L••
        pooled vehicle sponsorn
      • A•••••• I••••••••• E••••••• G• L••
        pooled vehicle sponsorn
      • A•••••• P••••••• A••• F•••• G• L••
        pooled vehicle sponsorn
      • A•••••• P••••••• D••••••••• L••
        broker-dealern
      • A•••••• P••••••• G• L••
        pooled vehicle sponsorn
      • A•••••• P••••••• H••• K••• L••••••
        investment advisern
      • A•••••• P••••••• L•••••• P•••••••••
        investment adviserbanknRAUM $184B
      Advisers that list A•••••• P••••••• U• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 2
        Mar 31, 2025 to Mar 31, 2026
      • Employees · 21 to 19
        Mar 31, 2025 to Mar 31, 2026
      • Accounts · unset to 0.0
        Apr 1, 2024 to Mar 31, 2025
      • Financial planning clients · unset to
        Apr 1, 2024 to Mar 31, 2025
      • HQ state · unset to
        Apr 1, 2024 to Mar 31, 2025
      • Discretionary RAUM · unset to 0.0
        Apr 1, 2024 to Mar 31, 2025
      • Non-discretionary RAUM · unset to 0.0
        Apr 1, 2024 to Mar 31, 2025
      • RAUM · unset to 0.0
        Apr 1, 2024 to Mar 31, 2025
      • Advisory employees · 3 to 4
        Sep 18, 2023 to Mar 29, 2024
      • Employees · 20 to 21
        Sep 18, 2023 to Mar 29, 2024
      • Advisory employees · 2 to 3
        Nov 4, 2022 to Mar 31, 2023
      • Employees · 18 to 20
        Nov 4, 2022 to Mar 31, 2023
      • Employees · 16 to 18
        Oct 1, 2020 to Mar 26, 2021
      • Advisory employees · 3 to 2
        Oct 1, 2019 to Mar 27, 2020
      • Employees · 17 to 16
        Oct 1, 2019 to Mar 27, 2020
      • Advisory employees · 4 to 3
        Dec 7, 2018 to Mar 29, 2019
      • Employees · 16 to 17
        Dec 7, 2018 to Mar 29, 2019
      • Employees · 15 to 16
        Jul 12, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Jul 12, 2017 to Mar 29, 2018
      • Related bank · false to true
        Jul 12, 2017 to Mar 29, 2018
      • Employees · 16 to 15
        Mar 28, 2016 to Mar 31, 2017
      • Employees · 15 to 16
        Mar 31, 2015 to Mar 28, 2016
      • Advisory employees · 5 to 4
        Mar 31, 2014 to Mar 31, 2015
      • Advisory employees · 3 to 5
        Sep 10, 2013 to Mar 31, 2014
      • Employees · 10 to 15
        Sep 10, 2013 to Mar 31, 2014
      • Advisory employees · 4 to 3
        Feb 5, 2013 to Apr 1, 2013
      • Employees · 9 to 10
        Feb 5, 2013 to Apr 1, 2013
      • Accounts · 2.0 to unset
        Mar 29, 2012 to Feb 5, 2013
      • Advisory employees · unset to 4.0
        Mar 29, 2012 to Feb 5, 2013
      • Advisory activities · 2 to 1
        Mar 29, 2012 to Feb 5, 2013
      • Employees · unset to 9.0
        Mar 29, 2012 to Feb 5, 2013
      • State-registered IARs · unset to 0.0
        Mar 29, 2012 to Feb 5, 2013
      • Discretionary RAUM · 24308190.0 to unset
        Mar 29, 2012 to Feb 5, 2013
      • Non-discretionary RAUM · 0.0 to unset
        Mar 29, 2012 to Feb 5, 2013
      • RAUM · 24308190.0 to unset
        Mar 29, 2012 to Feb 5, 2013
      Signals
      3 dated events
      • Anthony Christopher Defrancis (Global Chief Compliance Officer) appeared on Schedule A of A•••••• P••••••• U• L••
        Sep 18, 2023 · Control person joined · fact
      • Kenneth Gregory Ramirez (Director Of Member) no longer on Schedule A of A•••••• P••••••• U• L•• (listed 2019-10-01, absent 2020-03-27)
        Mar 27, 2020 · Control person left · inference
      • Anne Sarah Johnson (Director Of Member) no longer on Schedule A of A•••••• P••••••• U• L•• (listed 2019-10-01, absent 2020-03-27)
        Mar 27, 2020 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      How to reach
      public business contact points only, each with its source
      Website
      H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
      Principal office phone
      44-20-7766-7110reportedpublic record, Form ADV, Aug 31, 2026
      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
      No RAUM reportedderiveda 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