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

Thames River Capital Llp

Former SEC-registered adviserLondon, CRD 156432SEC 801-72504IAPD
Latest filing Jun 14, 2013
First filing on the tape Mar 29, 2012 · 7 filings
RAUM
$3.1B
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
65
22 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$3.1B as of May 2, 2013
Jun 28, 2012$4.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 65
Private funds: no history
RAUM -35% over the last fiscal year
Practice profile
derived from the filing of Jun 14, 2013; 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
$195MderivedRAUM 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
-35%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
  • 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)
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
16reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Henry De Carteret Toby Hampden-Acton · Chief Executive Officer And Designated Membercontrol
        since 07/2005 · owns less than 5%
      • David Logan · Chief Financial Officercontrol
        since 11/2012 · owns less than 5%
      • Hugh Moir · Chief Operating Officercontrol
        since 11/2012 · owns less than 5%
      • William Annan Andrew Olding · Designated Membercontrol
        since 11/2012 · owns less than 5%
      • David Nigel Parry · Chief Compliance Officercontrol
        since 06/2013 · owns less than 5%
      Entity owners
      • Thames River Capital (Uk) Limited · Company
        direct · owns 25% to 50%
      • F&C Asset Management Plc · Indirect Shareholder
        indirect · owns 75% or more of Thames River Capital Group Limited
      • Thames River Capital Group Limited · Indirect Shareholder
        indirect · owns 75% or more of Thames River Capital Holdings Limited
      • Thames River Capital Holdings Limited · Indirect Shareholder
        indirect · owns 75% or more of Thames River Capital (Uk) Limited
      Related persons
      Schedule D 7.A
      • F&C Asset Managers Limited
        investment advisern
      • F&C Aurora (Gp) Limited
        pooled vehicle sponsorn
      • F&C Climate Opportunity Partners (Gp) Limited
        pooled vehicle sponsorn
      • F&C European Captial Partners (Gp) Limited
        pooled vehicle sponsorn
      • F&C Fund Management Limited
        investment advisern
      • F&C Investment Business Limited
        investment advisern
      • F&C Ireland Limited
        investment advisern
      • F&C Managed Pension Funds Limited
        investment adviserreal estaten
      • Bmo Global Asset Management
        investment adviserbanknRAUM $90B
      • F&C Managers Limited
        investment advisern
      • F&C Netherlands B.V
        investment advisern
      • F&C Portugal, Gestao De Patrimonios S.A.
        investment advisern
      • F&C Reit Property Asset Management Plc
        investment advisern
      • Fosca Managers Sarl
        investment advisern
      • Isis Investment Managers Plc
        investment advisern
      • Thames River Multi-Capital Llp
        investment advisern
      Advisers that list Thames River Capital Llp as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 24 to 16
        Dec 14, 2012 to May 2, 2013
      • Advisory employees · 40 to 22
        Dec 14, 2012 to May 2, 2013
      • Employees · 100 to 65
        Dec 14, 2012 to May 2, 2013
      • Discretionary RAUM · $4.0B to $3.1B
        Dec 14, 2012 to May 2, 2013
      • RAUM · $4.0B to $3.1B
        Dec 14, 2012 to May 2, 2013
      • Advisory employees · unset to 40.0
        Oct 1, 2012 to Nov 12, 2012
      • Employees · unset to 100.0
        Oct 1, 2012 to Nov 12, 2012
      • State-registered IARs · unset to 0.0
        Oct 1, 2012 to Nov 12, 2012
      • Discretionary RAUM · $4.8B to $4.0B
        Jun 28, 2012 to Oct 1, 2012
      • RAUM · $4.8B to $4.0B
        Jun 28, 2012 to Oct 1, 2012
      • Discretionary RAUM · $5.2B to $4.8B
        Mar 29, 2012 to Jun 28, 2012
      • RAUM · $5.2B to $4.8B
        Mar 29, 2012 to Jun 28, 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