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O••••• C•••••• M••••••••• L••••••

Former SEC-registered adviserFormer SEC adviser4 private funds· London

Former SEC-registered adviser, based in London, reporting $1.5B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$1.5B
Form ADV
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
0.0% of RAUM
Form ADV
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 3 Form ADV filings for this adviser, the latest 14.3 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 156725 · SEC 801-72272 · 3 filingsShow
CRD 156725SEC 801-72272First filing on the tape Dec 16, 2011, latest Aug 2, 2012IAPD
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
4
$1.5B gross assets
History
3 filings and snapshots on the tape
RAUM$1.5B as of Aug 2, 2012
Dec 16, 2011$482M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 2, 2012
Dec 16, 20110 then
Employees (5.A): no history
Private funds4 as of Aug 2, 2012
Dec 16, 20113 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Aug 2, 2012; 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
$245MderivedRAUM 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
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
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)
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
6reported
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
      P• M•••••• F•••• S••• • S••••••••• P•••••••• 2•Hedge Fund$387M25Mar 30, 2012
      O•••Hedge Fund$280M7Dec 16, 2011
      O••••• M•••• M••••• F••• L••••••Hedge Fund$136M8Dec 16, 2011
      O••••• M•••• F••• N• 3• L••••••Hedge Fund$47.9M3Dec 16, 2011
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••••• N••••••• R•••••• · Principal And Chief Executive Officercontrol
        since 05/2007 · owns less than 5%
      • K••••• E•••••• · Principalcontrol
        since 08/2008 · owns less than 5%
      • L•••• T•••• · Chief Financial Officercontrol
        since 05/2007 · owns less than 5%
      • M••••••• J••••• G• · Principal, Risk M•••••• And Chief Compliance Officercontrol
        since 10/2009 · owns less than 5%
      • N•••••••• F•••••• · Principalcontrol
        since 01/2010 · owns less than 5%
      • G•••••••• N••••••• R•••••• · Shareholdercontrol
        since 12/2009 · owns 75% or more of O••••• P••••••• L••••••
      Entity owners
      • O••••• P••••••• L•••••• · 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
      • Business name · O••••• C•••••• M••••••••• L•• to O••••• C•••••• M••••••••• L••••••
        Dec 16, 2011 to Mar 30, 2012
      • Legal name · O••••• C•••••• M••••••••• L•• to O••••• C•••••• M••••••••• L••••••
        Dec 16, 2011 to Mar 30, 2012
      • Private funds · 3 to 4
        Dec 16, 2011 to Mar 30, 2012
      • Discretionary RAUM · $482M to $1.5B
        Dec 16, 2011 to Mar 30, 2012
      • RAUM · $482M to $1.5B
        Dec 16, 2011 to Mar 30, 2012
      Signals
      1 dated events
      • ••• Locked
        Dec 19, 2012 · ria registration change · 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