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Former SEC-registered adviser

F••• C•••••• P••••••• L••••••

Former SEC-registered adviserLondon, CRD 157480SEC 801-72444IAPD
Latest filing Dec 24, 2013
First filing on the tape Dec 8, 2011 · 5 filings
RAUM
$1.8B
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
23
14 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$1.8B as of Dec 24, 2013
Dec 8, 2011$150M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 24, 2013
Dec 7, 20120 then
Employees (5.A)23 as of Dec 24, 2013
Dec 7, 201219 then
Private funds: no history
RAUM +23% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 24, 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
$122MderivedRAUM 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
+23%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 assetsreportedItem 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
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
15reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      • C••••••• T•••••• J••••• · Directorcontrol
        since 11/2006 · owns 10% to 25%
      • D••••• D••••••• W•••••• · Directorcontrol
        since 11/2006 · owns 10% to 25%
      • E••••• V••••••• J••• · Chief Compliance Officer/Chief Operations Officer/Chief Financial Officercontrol
        since 01/2011 · owns less than 5%
      • R••••••• C••••••••• N•••• · Directorcontrol
        since 11/2006 · owns 10% to 25%
      • W•••••••• E•••••• J••• · Directorcontrol
        since 11/2006 · owns 10% to 25%
      • F••••••••• D••• · Director
        since 09/2009 · owns less than 5%
      Entity owners
      • S••••• N••••••••• H••••••• B• · Owner
        direct · owns 25% to 50%
      • S••••• L•••••• · Owner
        indirect · owns 75% or more of S••••• N••••••••• H••••••• B•
      Related persons
      Schedule D 7.A
      • S••••• A•••• M••••••••• I•••••• L••••••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 12 to 15
        Dec 7, 2012 to Dec 24, 2013
      • Advisory employees · 12 to 14
        Dec 7, 2012 to Dec 24, 2013
      • Employees · 19 to 23
        Dec 7, 2012 to Dec 24, 2013
      • Discretionary RAUM · $1.5B to $1.8B
        Dec 7, 2012 to Dec 24, 2013
      • RAUM · $1.5B to $1.8B
        Dec 7, 2012 to Dec 24, 2013
      • Accounts · 11 to 12
        Apr 26, 2012 to Dec 7, 2012
      • Advisory employees · unset to 12.0
        Apr 26, 2012 to Dec 7, 2012
      • Employees · unset to 19.0
        Apr 26, 2012 to Dec 7, 2012
      • Financial planning clients · unset to 0
        Apr 26, 2012 to Dec 7, 2012
      • State-registered IARs · unset to 0.0
        Apr 26, 2012 to Dec 7, 2012
      • Discretionary RAUM · $1.4B to $1.5B
        Apr 26, 2012 to Dec 7, 2012
      • RAUM · $1.4B to $1.5B
        Apr 26, 2012 to Dec 7, 2012
      • Discretionary RAUM · $150M to $1.4B
        Dec 8, 2011 to Feb 29, 2012
      • RAUM · $150M to $1.4B
        Dec 8, 2011 to Feb 29, 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