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
N•••••••• I••••••••• M••••••••• •••• K•••• L••••••
Latest filing Mar 23, 2026
First filing on the tape Feb 15, 2012 · 16 filings
SEC status approved since Mar 8, 2010
RAUM
$1.5B
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
19
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM$1.5B as of Mar 23, 2026
Feb 15, 2012$733M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 23, 2026
Mar 25, 20130 then
Employees (5.A)19 as of Mar 23, 2026
Mar 25, 20138 then
Private funds3 as of Mar 23, 2026
Feb 15, 20124 then
RAUM +1.2% over the last fiscal year-4.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 23, 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
- $382MderivedRAUM 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
- +1.2%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 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.4B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- 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=0.93 institutional_share=0.0 related_bd=false 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
Private funds
6 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| N•••••••• F•••••• F••• L•••••• | Hedge Fund | $1.4B | 79 | Feb 15, 2012 |
| N•••••••• E••••• F•••• L•••••••no longer reported | Hedge Fund | $203M | 2 | Mar 26, 2014 |
| N•••••••• P• F••• L••••••no longer reported | Hedge Fund | $63.3M | 12 | Mar 28, 2017 |
| N•••••••• B••••••••• F••• L•••••• | Hedge Fund | $11.9M | 11 | Feb 15, 2012 |
| N•••••••• C•••• O••••••••• F••• L•••••• | Hedge Fund | $9.1M | 10 | Feb 15, 2012 |
| N•••••••• W•••••• F••• L••••••no longer reported | Hedge Fund | $3.3M | 17 | Feb 15, 2012 |
Owners and control persons
Schedule A and B, latest filing
- H•• E•••••• L•• H••• · Chief Compliance Officercontrolsince 03/2013 · owns less than 5%
- P••••••• G•••••• A••••• · Chief Executive Officercontrolsince 10/2009 · owns 50% to 75%
- R•••••• D••••• I•• · Chief Investment Officercontrolsince 04/2009 · owns 25% to 50%
Related persons
Schedule D 7.A
- N•••••••• I••••••••• M••••••••• ••• L••banky
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 4Mar 12, 2025 to Mar 23, 2026
- Pooled vehicle clients · 4 to 3Mar 12, 2025 to Mar 23, 2026
- Discretionary RAUM · $1.5B to $1.5BMar 12, 2025 to Mar 23, 2026
- Pooled vehicle RAUM · $1.4B to $1.4BMar 12, 2025 to Mar 23, 2026
- RAUM · $1.5B to $1.5BMar 12, 2025 to Mar 23, 2026
- Advisory employees · 7 to 6Mar 14, 2024 to Mar 12, 2025
- Employees · 8 to 19Mar 14, 2024 to Mar 12, 2025
- Financial planning clients · unset to Mar 14, 2024 to Mar 12, 2025
- HQ state · unset to Mar 14, 2024 to Mar 12, 2025
- Discretionary RAUM · $1.5B to $1.5BMar 14, 2024 to Mar 12, 2025
- Pooled vehicle RAUM · $1.4B to $1.4BMar 14, 2024 to Mar 12, 2025
- RAUM · $1.5B to $1.5BMar 14, 2024 to Mar 12, 2025
- Discretionary RAUM · $1.8B to $1.5BMar 29, 2023 to Mar 14, 2024
- Pooled vehicle RAUM · $1.7B to $1.4BMar 29, 2023 to Mar 14, 2024
- RAUM · $1.8B to $1.5BMar 29, 2023 to Mar 14, 2024
- Accounts · 4 to 5Mar 31, 2022 to Mar 29, 2023
- Advisory employees · 6 to 7Mar 31, 2022 to Mar 29, 2023
- Pooled vehicle clients · 3 to 4Mar 31, 2022 to Mar 29, 2023
- Employees · 7 to 8Mar 31, 2022 to Mar 29, 2023
- Discretionary RAUM · $1.9B to $1.8BMar 31, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $1.8B to $1.7BMar 31, 2022 to Mar 29, 2023
- RAUM · $1.9B to $1.8BMar 31, 2022 to Mar 29, 2023
- Accounts · 5 to 4Mar 23, 2021 to Mar 23, 2022
- Pooled vehicle clients · 4 to 3Mar 23, 2021 to Mar 23, 2022
- Discretionary RAUM · $1.3B to $1.9BMar 23, 2021 to Mar 23, 2022
- Pooled vehicle RAUM · $1.2B to $1.8BMar 23, 2021 to Mar 23, 2022
- RAUM · $1.3B to $1.9BMar 23, 2021 to Mar 23, 2022
- Accounts · 4 to 5Mar 27, 2020 to Mar 23, 2021
- Advisory activities · 1 to 2Mar 27, 2020 to Mar 23, 2021
- Discretionary RAUM · $963M to $1.3BMar 27, 2020 to Mar 23, 2021
- Pooled vehicle RAUM · $963M to $1.2BMar 27, 2020 to Mar 23, 2021
- RAUM · $963M to $1.3BMar 27, 2020 to Mar 23, 2021
- Accounts · 5 to 4Mar 27, 2019 to Mar 27, 2020
- Pooled vehicle clients · 5 to 4Mar 27, 2019 to Mar 27, 2020
- Private funds · 4 to 3Mar 27, 2019 to Mar 27, 2020
- Discretionary RAUM · $984M to $963MMar 27, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $984M to $963MMar 27, 2019 to Mar 27, 2020
- RAUM · $984M to $963MMar 27, 2019 to Mar 27, 2020
- Advisory employees · 7 to 6Mar 26, 2018 to Mar 27, 2019
- Employees · 8 to 7Mar 26, 2018 to Mar 27, 2019
Signals
3 dated events
- N•••••••• I••••••••• M••••••••• •••• K•••• L•••••• reported RAUM $1.9B, up 47% from $1.3B (2021-03-23 to 2022-03-23)Mar 23, 2022 · RAUM change · derived
- N•••••••• I••••••••• M••••••••• •••• K•••• L•••••• reported RAUM $1.3B, up 35% from $963.1M (2020-03-27 to 2021-03-23)Mar 23, 2021 · RAUM change · derived
- N•••••••• I••••••••• M••••••••• •••• K•••• L•••••• reported RAUM $1.1B, up 54% from $725.3M (2017-03-28 to 2018-03-26)Mar 26, 2018 · RAUM change · derived
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
- w••.n••••.c•.ukreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 00852-3657-5600reportedpublic record, Form ADV, Mar 23, 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
- Asset manager (funds and pooled vehicles)deriveda 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