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

Old Mutual Global Investors

Former SEC-registered adviserLondon, CRD 155958SEC 801-73693IAPD
Legal name Old Mutual Global Investors (Uk) Limited
Latest filing Mar 28, 2014
First filing on the tape Feb 14, 2012 · 7 filings
RAUM
$26B
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
160
36 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$403M gross assets
History
7 filings and snapshots on the tape
RAUM$26B as of Mar 28, 2014
Mar 28, 2013$7.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2014
Mar 28, 20130 then
Employees (5.A)160 as of Mar 28, 2014
Mar 28, 2013100 then
Private funds: 3
RAUM +237% 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
$254MderivedRAUM 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
+237%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 vehicles, selection of other advisersreportedItem 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)
  • 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
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
104reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      4 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Old Mutual Global Statistical Arbitrage Fund LtdHedge Fund$182M15Dec 2, 2013
      Mgi Arbea Fund LimitedHedge Fund$140M17Mar 28, 2014
      Old Mutual Uk Specialist Equity Fund LimitedHedge Fund$44.2M19Mar 28, 2014
      Old Mutual Liquid Macro FundOther Private Fund$30.6M15Mar 30, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • Anne Jessica Brescia · Chief Compliance Officer & Chief Risk Officercontrol
        since 01/2014 · owns less than 5%
      • Douglas Jeremy Charles · Directorcontrol
        since 08/2013 · owns less than 5%
      • Mitchell Dean · Chief Financial Officercontrol
        since 01/2013 · owns less than 5%
      • William Paul Feeney · Directorcontrol
        since 08/2013 · owns less than 5%
      • David Julian Ide · Chief Executive Officer And Directorcontrol
        since 10/2011 · owns less than 5%
      • Jason Roger Paul Nathan · Chief Operating Officer And Directorcontrol
        since 01/2012 · owns less than 5%
      Entity owners
      • Old Mutual Global Investors Holdings Ltd · 100% Shareholder
        direct · owns 75% or more
      • Old Mutual Plc · 100% Shareholder
        indirect · owns 75% or more of Old Mutual Wealth Management Limited
      • Old Mutual Wealth Management Limited · 100%Shareholder
        indirect · owns 75% or more of Old Mutual Global Investors Holdings Limited
      Related persons
      Schedule D 7.A
      Advisers that list Old Mutual Global Investors as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 40 to 104
        Dec 2, 2013 to Mar 28, 2014
      • Advisory employees · 39 to 36
        Dec 2, 2013 to Mar 28, 2014
      • Business name · OLD MUTUAL GLOBAL ADVISORS (UK) LIMITED to OLD MUTUAL GLOBAL INVESTORS
        Dec 2, 2013 to Mar 28, 2014
      • Employees · 170 to 160
        Dec 2, 2013 to Mar 28, 2014
      • Private funds · 1 to 3
        Dec 2, 2013 to Mar 28, 2014
      • Discretionary RAUM · $7.8B to $26B
        Dec 2, 2013 to Mar 28, 2014
      • RAUM · $7.8B to $26B
        Dec 2, 2013 to Mar 28, 2014
      • Advisory activities · 2 to 3
        Mar 28, 2013 to Dec 2, 2013
      • Employees · 100 to 170
        Mar 28, 2013 to Dec 2, 2013
      • Legal name · OLD MUTUAL GLOBAL ADVISORS (UK) LIMITED to OLD MUTUAL GLOBAL INVESTORS (UK) LIMITED
        Mar 28, 2013 to Dec 2, 2013
      • Private funds · unset to 1
        Mar 28, 2013 to Dec 2, 2013
      • Accounts · 43 to 40
        Aug 7, 2012 to Mar 28, 2013
      • Advisory employees · unset to 39.0
        Aug 7, 2012 to Mar 28, 2013
      • BD registered reps · unset to 0.0
        Aug 7, 2012 to Mar 28, 2013
      • Employees · unset to 100.0
        Aug 7, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        Aug 7, 2012 to Mar 28, 2013
      • Discretionary RAUM · $6.2B to $7.8B
        Aug 7, 2012 to Mar 28, 2013
      • RAUM · $6.2B to $7.8B
        Aug 7, 2012 to Mar 28, 2013
      • Business name · OMAM UK to OLD MUTUAL GLOBAL ADVISORS (UK) LIMITED
        Mar 28, 2013 to Mar 28, 2013
      • Legal name · OLD MUTUAL ASSET MANAGERS (UK) LIMITED to OLD MUTUAL GLOBAL ADVISORS (UK) LIMITED
        Mar 28, 2013 to Mar 28, 2013
      • Business name · OLD MUTUAL ASSET MANAGERS (UK) LIMITED to OMAM UK
        Feb 14, 2012 to Mar 27, 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