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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Former SEC-registered adviser
A••••••••• M••••••••• I•••
Latest filing Oct 31, 2022
First filing on the tape Feb 13, 2012 · 25 filings
RAUM
$1.7B
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
24
14 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
9
$1.7B gross assets
History
25 filings and snapshots on the tape
RAUM$1.7B as of Sep 2, 2022
Sep 27, 2012$264M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 2, 2022
Sep 27, 20130 then
Employees (5.A)24 as of Sep 2, 2022
Sep 27, 20136 then
Private funds9 as of Sep 2, 2022
Sep 28, 201511 then
RAUM -12% over the last fiscal year+22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 31, 2022; 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
- $192MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%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-based, otherreportedItem 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
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.7B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 9reported
- Financial planning clients
- n/areported
- 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
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A••••••••• B••••••••• M••••• F••• L••••••no longer reported | Hedge Fund | $80.8M | 17 | Mar 30, 2012 |
| A••••••••• B••••••••• I• L•no longer reported | Venture Capital Fund | $57.1M | 60 | Mar 30, 2012 |
| A••••••••• B••••••••• I••• L•no longer reported | Venture Capital Fund | $16.4M | 19 | Mar 30, 2012 |
| A••••••••• B••••••••• I••• L•no longer reported | Venture Capital Fund | $10.0M | 15 | Mar 30, 2012 |
| A••••••••• B••••••••• I••• L•no longer reported | Venture Capital Fund | $6.0M | 13 | Mar 30, 2012 |
| A••••••••• B••••••••• I• S•••• •• V•••••••• L•••••••••no longer reported | Venture Capital Fund | $2.8M | 45 | Mar 30, 2012 |
| A••••••••• B••••••••• I• E••••••••• L•no longer reported | Venture Capital Fund | $490,000 | 19 | Mar 30, 2012 |
| A••••••••• B••••••••• I•• E••••••••• L•no longer reported | Venture Capital Fund | $261,000 | 14 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C•••••• N•••• A••••• · Director Of A••••••••• Management Inccontrolsince 12/2019 · owns less than 5%
- H••••• J•••• G•••••• · Cco/Secretary Of A••••••••• M••••••••• I•••controlsince 02/2007 · owns less than 5%
- V••••••••• K•••••• H••• · President/Director Of A••••••••• Management Inccontrolsince 01/2015 · owns less than 5%
Entity owners
- A••••••••• L•• · Owner Of A••••••••• Management Incdirect · owns 75% or more
- C•••••• G•••••• U• L•• · Ownerindirect · owns 75% or more of A••••••••• L••
- C•••••• H••••••• I• G• I••• · Memberindirect · owns 75% or more of C•••••• H••••••• I• G• S•• L•••••
- C•••••• H••••••• I• G• S•• L••••• · G•••••• Partnerindirect · owns F of C•••••• H••••••• I• L•••
- C•••••• H••••••• I• L••• · Memberindirect · owns 50% to 75% of C• S••••••••• H••••••• L••
- C•••••• H••••••• I• G• L••••• · Memberindirect · owns 75% or more of C•••••• H••••••• I• L•••••
- C•••••• H••••••• I• L••••• · Memberindirect · owns 25% to 50% of C• S••••••••• H••••••• L••
- C• S••••••••• H••••••• L•• · Memberindirect · owns 75% or more of T• G•••• L••
- T• G•••• L•• · Memberindirect · owns 75% or more of T•• C•••••• G••••
- T•• C•••••• G•••• · Memberindirect · owns 75% or more of C•••••• G•••••• U• L••
- T•• C•••••• G•••• I••• · Shareholderindirect · owns 75% or more of C•••••• H••••••• I• G• I••• · public reporting company
- T•• C•••••• G•••• I••• · Memberindirect · owns 50% to 75% of C•••••• H••••••• I• G• L•••••
- T•• C•••••• G•••• I••• · Memberindirect · owns 50% to 75% of C•••••• H••••••• I• L•••••
Related persons
Schedule D 7.A
- A••••••••• B••••••••• 8• G• L•pooled vehicle sponsorn
- A••••••••• B••••••••• G• L••••••pooled vehicle sponsorn
- A••••••••• B••••••••• V• G• L••••••pooled vehicle sponsorn
- A••••••••• B••••••••• V• G• L•pooled vehicle sponsorn
- A••••••••• B••••••••• V• G• L•pooled vehicle sponsorn
- A••••••••• B••••••••• V•• G• L•pooled vehicle sponsorn
- A••••••••• C•• 2• G•••••• P•••••• L••pooled vehicle sponsorn
- A••••••••• C•• G•••••• P•••••• L••pooled vehicle sponsorn
- A••••••••• C•• G• L••••••pooled vehicle sponsorn
- A••••••••• C••••••• C••••••••• F••• 2• G• L•pooled vehicle sponsorn
- A••••••••• C••••••• C••••••••• G• L•pooled vehicle sponsorn
- A••••••••• G•••••• P•••••• 8• L••pooled vehicle sponsorn
- A••••••••• G•••••• P•••••• V• L••pooled vehicle sponsorn
- A••••••••• G•••••• P•••••• V• L••pooled vehicle sponsorn
- A••••••••• G•••••• P•••••• V•• L••pooled vehicle sponsorn
- A••••••••• S••••• P•••••• L••••••pooled vehicle sponsorn
- T•• C•••••• G••••investment adviserbankyRAUM $284B
- T•• C•••••• M•••••• L•••••broker-dealern
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom7 employees
- Boston, MA4 employees
What changed
consecutive filings, newest first
- Advisory employees · 10 to 14Oct 1, 2021 to Sep 2, 2022
- Employees · 20 to 24Oct 1, 2021 to Sep 2, 2022
- Discretionary RAUM · $2.0B to $1.7BOct 1, 2021 to Sep 2, 2022
- Pooled vehicle RAUM · $2.0B to $1.7BOct 1, 2021 to Sep 2, 2022
- RAUM · $2.0B to $1.7BOct 1, 2021 to Sep 2, 2022
- Related adviser · false to trueOct 1, 2021 to Sep 2, 2022
- Related bank · false to trueOct 1, 2021 to Sep 2, 2022
- Related broker-dealer · false to trueOct 1, 2021 to Sep 2, 2022
- Accounts · 6 to 9Apr 18, 2021 to Oct 1, 2021
- Pooled vehicle clients · 6 to 9Apr 18, 2021 to Oct 1, 2021
- Employees · 19 to 20Apr 18, 2021 to Oct 1, 2021
- Private funds · 6 to 9Apr 18, 2021 to Oct 1, 2021
- Discretionary RAUM · $1.1B to $2.0BApr 18, 2021 to Oct 1, 2021
- Pooled vehicle RAUM · $1.1B to $2.0BApr 18, 2021 to Oct 1, 2021
- RAUM · $1.1B to $2.0BApr 18, 2021 to Oct 1, 2021
- Accounts · 5 to 6Dec 21, 2019 to Sep 26, 2020
- Advisory employees · 11 to 10Dec 21, 2019 to Sep 26, 2020
- Pooled vehicle clients · 5 to 6Dec 21, 2019 to Sep 26, 2020
- Employees · 20 to 19Dec 21, 2019 to Sep 26, 2020
- Private funds · 5 to 6Dec 21, 2019 to Sep 26, 2020
- Discretionary RAUM · $946M to $1.1BDec 21, 2019 to Sep 26, 2020
- Pooled vehicle RAUM · $946M to $1.1BDec 21, 2019 to Sep 26, 2020
- RAUM · $946M to $1.1BDec 21, 2019 to Sep 26, 2020
- Accounts · 6 to 5Sep 28, 2018 to Sep 26, 2019
- Advisory employees · 8 to 11Sep 28, 2018 to Sep 26, 2019
- Pooled vehicle clients · 6 to 5Sep 28, 2018 to Sep 26, 2019
- Employees · 18 to 20Sep 28, 2018 to Sep 26, 2019
- Private funds · 6 to 5Sep 28, 2018 to Sep 26, 2019
- Discretionary RAUM · $1.2B to $946MSep 28, 2018 to Sep 26, 2019
- Pooled vehicle RAUM · $1.2B to $946MSep 28, 2018 to Sep 26, 2019
- RAUM · $1.2B to $946MSep 28, 2018 to Sep 26, 2019
- Accounts · 13 to 6Sep 29, 2017 to Sep 28, 2018
- Advisory employees · 4 to 8Sep 29, 2017 to Sep 28, 2018
- Pooled vehicle clients · unset to 6.0Sep 29, 2017 to Sep 28, 2018
- Employees · 4 to 18Sep 29, 2017 to Sep 28, 2018
- Other offices · unset to 2.0Sep 29, 2017 to Sep 28, 2018
- Private funds · 13 to 6Sep 29, 2017 to Sep 28, 2018
- Discretionary RAUM · $0 to $1.2BSep 29, 2017 to Sep 28, 2018
- Non-discretionary RAUM · $1.2B to $0Sep 29, 2017 to Sep 28, 2018
- Pooled vehicle RAUM · unset to 1202600000.0Sep 29, 2017 to Sep 28, 2018
Signals
12 dated events
- M•••••• B•••• G•••••••• (Treasurer/Director Of Abingworth Management Inc) no longer on Schedule A of A••••••••• M••••••••• I••• (listed 2021-10-01, absent 2022-09-02)Sep 2, 2022 · Control person left · inference
- John Timothy Haines (Owner Of A••••••••• L••) no longer on Schedule A of A••••••••• M••••••••• I••• (listed 2021-10-01, absent 2022-09-02)Sep 2, 2022 · Control person left · inference
- Lionel Genghis Quentin Lloyd-Harris (Owner Of A••••••••• L••) no longer on Schedule A of A••••••••• M••••••••• I••• (listed 2021-10-01, absent 2022-09-02)Sep 2, 2022 · Control person left · inference
- A••••••••• M••••••••• I••• reported RAUM $2.0B, up 74% from $1.1B (2021-04-18 to 2021-10-01)Oct 1, 2021 · RAUM change · derived
- William Stephen Bunting (Owner Of Abingworth Management Holdings Limited) no longer on Schedule A of A••••••••• M••••••••• I••• (listed 2020-09-26, absent 2020-11-05)Nov 5, 2020 · Control person left · inference
- Frederick James David Leathers (Owner Of Abingworth Management Holdings Limited) no longer on Schedule A of A••••••••• M••••••••• I••• (listed 2020-09-26, absent 2020-11-05)Nov 5, 2020 · Control person left · inference
- John Timothy Haines (Owner Of A••••••••• L••) appeared on Schedule A of A••••••••• M••••••••• I•••Sep 26, 2020 · Control person joined · fact
- Lionel Genghis Quentin Lloyd-Harris (Owner Of A••••••••• L••) appeared on Schedule A of A••••••••• M••••••••• I•••Sep 26, 2020 · Control person joined · fact
- Antony Neil Cooper (Director Of Abingworth Management Inc) appeared on Schedule A of A••••••••• M••••••••• I•••Dec 21, 2019 · Control person joined · fact
- M•••••• B•••• G•••••••• (Treasurer/Director Of Abingworth Management Inc) appeared on Schedule A of A••••••••• M••••••••• I•••Dec 21, 2019 · Control person joined · fact
- Foster James Abell (Director Of Abingworth Management Inc) no longer on Schedule A of A••••••••• M••••••••• I••• (listed 2019-09-26, absent 2019-12-21)Dec 21, 2019 · Control person left · inference
- Harold Kenneth Haas (President/Director Of Abingworth Management Inc) no longer on Schedule A of A••••••••• M••••••••• I••• (listed 2019-09-26, absent 2019-12-21)Dec 21, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- A••••••••• M••••••••• I••• · Private Equityshared crd · organization
- A••••••••• M••••••••• I••• · Venture Capitalshared crd · organization
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