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

I•• I••••••• P•••••••• M••••••••• A•

Former SEC-registered adviserStockholm, CRD 158110SEC 801-72719IAPD
Latest filing Mar 25, 2021
First filing on the tape Mar 30, 2012 · 24 filings
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
62
32 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
24 filings and snapshots on the tape
RAUM$1.5B as of Mar 25, 2021
Mar 30, 2012$7.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2021
Mar 28, 20130 then
Employees (5.A)62 as of Mar 25, 2021
Mar 28, 201340 then
Private funds: 2
RAUM -56% over the last fiscal year-25% a year over threeIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Mar 25, 2021; 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
$246MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-56%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, portfolio management for investment companiesreportedItem 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)
  • 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$1.2B83%
  • State and municipal entities$248M17%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
1reported
Charitable clients
n/areported
Accounts
6reported
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
      Every departureEvery arrival
      Private funds
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I•• G••••• C••••••• M••••• F•••no longer reportedHedge Fund$172M3Mar 30, 2012
      I•• G••••• T•• M••••• F•••no longer reportedHedge Fund$143M23Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • A•••• S•••••• S•••• · Chief Operating Officercontrol
        since 03/2021 · owns less than 5%
      • A•••••••• C••••••••• · Board Directorcontrol
        since 02/2021 · owns less than 5%
      • C•••••••• P••• J•••• · Board Directorcontrol
        since 07/2020 · owns less than 5%
      • E•••••••• L•••• E••• · Chairman Of The Board Of Directorcontrol
        since 12/2020 · owns less than 5%
      • F•••••• B•••••• E•••••••• · Chief Risk Officercontrol
        since 01/2009 · owns less than 5%
      • H•••••• K••• A•••• I••••• · Chief Executive Officercontrol
        since 07/2019 · owns less than 5%
      • H•••••• S••••• J•••••• · Chief Client Officercontrol
        since 11/2019 · owns less than 5%
      • O••••••••• B••••• H••••• · Chief Investment Officercontrol
        since 05/2008 · owns less than 5%
      • O••••••••• M•••• P•• J•••• · Chief Compliance Officercontrol
        since 05/2015 · owns less than 5%
      • V•••••••• E••• · Board Directorcontrol
        since 12/2015 · owns less than 5%
      • Y••••• R••• · Board Directorcontrol
        since 02/2021 · owns less than 5%
      • C•••••••• P••• J•••• · Shareholdercontrol
        since 05/2000 · owns F of C••••••• • A••••••• A•
      Entity owners
      • C•••••• H•••••• A• · Shareholder
        direct · owns 10% to 25%
      • I•• I••••••• P•••••••• M••••••••• B• · Shareholder
        direct · owns 75% or more
      • C• I••••••••• A• · Shareholder
        indirect · owns 25% to 50% of C• P••••••••• A•
      • C• P••••••••• A• · Shareholder
        indirect · owns 25% to 50% of C•••••• A•
      • C•••••• A• · Shareholder
        indirect · owns 50% to 75% of C•••••• H•••••• A•
      • C•••••• H•••••• A• · Shareholder
        indirect · owns 25% to 50% of I•• I••••••• P•••••••• M••••••••• B•
      • C••••••• • A••••••• A• · Shareholder
        indirect · owns 25% to 50% of C• I••••••••• A•
      Related persons
      Schedule D 7.A
      • I•• G•
        pooled vehicle sponsory
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom5 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 36 to 32
        Oct 5, 2020 to Mar 25, 2021
      • Pooled vehicle clients · 8 to 7
        Oct 5, 2020 to Mar 25, 2021
      • Employees · 70 to 62
        Oct 5, 2020 to Mar 25, 2021
      • Other offices · 2 to 1
        Oct 5, 2020 to Mar 25, 2021
      • Discretionary RAUM · $3.4B to $1.5B
        Oct 5, 2020 to Mar 25, 2021
      • Pooled vehicle RAUM · $3.1B to $1.2B
        Oct 5, 2020 to Mar 25, 2021
      • RAUM · $3.4B to $1.5B
        Oct 5, 2020 to Mar 25, 2021
      • Accounts · 17 to 6
        Dec 17, 2019 to Mar 26, 2020
      • Advisory employees · 31 to 36
        Dec 17, 2019 to Mar 26, 2020
      • Pension plan clients · unset to 1.0
        Dec 17, 2019 to Mar 26, 2020
      • Pooled vehicle clients · 18 to 8
        Dec 17, 2019 to Mar 26, 2020
      • Employees · 63 to 70
        Dec 17, 2019 to Mar 26, 2020
      • Discretionary RAUM · $6.8B to $3.4B
        Dec 17, 2019 to Mar 26, 2020
      • Pension RAUM · 2038222028.0 to unset
        Dec 17, 2019 to Mar 26, 2020
      • Pooled vehicle RAUM · $4.3B to $3.1B
        Dec 17, 2019 to Mar 26, 2020
      • RAUM · $6.8B to $3.4B
        Dec 17, 2019 to Mar 26, 2020
      • Assets in custody · 1846906913.0 to unset
        Oct 31, 2018 to Mar 28, 2019
      • Custody of client assets · true to false
        Oct 31, 2018 to Mar 28, 2019
      • Employees · 57 to 63
        Oct 31, 2018 to Mar 28, 2019
      • Other offices · 1 to 2
        Oct 31, 2018 to Mar 28, 2019
      • Discretionary RAUM · $3.5B to $6.8B
        Oct 31, 2018 to Mar 28, 2019
      • Pension RAUM · unset to 2038222028.0
        Oct 31, 2018 to Mar 28, 2019
      • Pooled vehicle RAUM · $112M to $4.3B
        Oct 31, 2018 to Mar 28, 2019
      • RAUM · $3.5B to $6.8B
        Oct 31, 2018 to Mar 28, 2019
      • Accounts · 10 to 17
        Oct 31, 2018 to Mar 28, 2019
      • Advisory employees · 22 to 31
        Oct 31, 2018 to Mar 28, 2019
      • Advisory activities · 2 to 3
        Oct 31, 2018 to Mar 28, 2019
      • Pooled vehicle clients · 2 to 18
        Oct 31, 2018 to Mar 28, 2019
      • Accounts · 11 to 10
        Mar 31, 2017 to Mar 29, 2018
      • Advisory employees · 20 to 22
        Mar 31, 2017 to Mar 29, 2018
      • Advisory activities · 3 to 2
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 2.0
        Mar 31, 2017 to Mar 29, 2018
      • Assets in custody · $975M to $1.8B
        Mar 31, 2017 to Mar 29, 2018
      • Employees · 46 to 57
        Mar 31, 2017 to Mar 29, 2018
      • Other offices · unset to 1.0
        Mar 31, 2017 to Mar 29, 2018
      • Discretionary RAUM · $3.5B to $3.5B
        Mar 31, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 112394880.0
        Mar 31, 2017 to Mar 29, 2018
      • RAUM · $3.5B to $3.5B
        Mar 31, 2017 to Mar 29, 2018
      • Related adviser · true to false
        Mar 31, 2017 to Mar 29, 2018
      • Related broker-dealer · true to false
        Mar 31, 2017 to Mar 29, 2018
      Signals
      20 dated events
      • C••••••••• A••••••• (Board Director) appeared on Schedule A of I•• I••••••• P•••••••• M••••••••• A•
        Mar 25, 2021 · Control person joined · fact
      • Scott Stuart Abel (Chief Operating Officer) appeared on Schedule A of I•• I••••••• P•••••••• M••••••••• A•
        Mar 25, 2021 · Control person joined · fact
      • I•• I••••••• P•••••••• M••••••••• A• reported RAUM $1.5B, down 56% from $3.4B (2020-10-05 to 2021-03-25)
        Mar 25, 2021 · RAUM change · derived
      • Ruth Yosef (Board Director) appeared on Schedule A of I•• I••••••• P•••••••• M••••••••• A•
        Mar 25, 2021 · Control person joined · fact
      • Anders Mikael Jan Lindell (Chairman Of The Board) no longer on Schedule A of I•• I••••••• P•••••••• M••••••••• A• (listed 2020-10-05, absent 2021-03-25)
        Mar 25, 2021 · Control person left · inference
      • A••••• Jan B•••••••• (Chief Operating Officer) no longer on Schedule A of I•• I••••••• P•••••••• M••••••••• A• (listed 2020-10-05, absent 2021-03-25)
        Mar 25, 2021 · Control person left · inference
      • Magnus Johan Dahlquist (Board Director) no longer on Schedule A of I•• I••••••• P•••••••• M••••••••• A• (listed 2020-10-05, absent 2021-03-25)
        Mar 25, 2021 · Control person left · inference
      • Ivan Fredrik Norlander (General Counsel) no longer on Schedule A of I•• I••••••• P•••••••• M••••••••• A• (listed 2020-07-13, absent 2020-10-05)
        Oct 5, 2020 · Control person left · inference
      • Erik Lars Ericsson (Board Director) appeared on Schedule A of I•• I••••••• P•••••••• M••••••••• A•
        Jul 13, 2020 · Control person joined · fact
      • Sven Paul Erik Kjellgren (Board Director) no longer on Schedule A of I•• I••••••• P•••••••• M••••••••• A• (listed 2020-03-26, absent 2020-07-13)
        Jul 13, 2020 · Control person left · inference
      • I•• I••••••• P•••••••• M••••••••• A• reported RAUM $3.4B, down 51% from $6.8B (2019-12-17 to 2020-03-26)
        Mar 26, 2020 · RAUM change · derived
      • Arill Knut Pedersen (Board Director) no longer on Schedule A of I•• I••••••• P•••••••• M••••••••• A• (listed 2019-12-04, absent 2019-12-17)
        Dec 17, 2019 · Control person left · inference
      • Erik Lars Ericsson (Senior Advisor) no longer on Schedule A of I•• I••••••• P•••••••• M••••••••• A• (listed 2019-07-05, absent 2019-12-04)
        Dec 4, 2019 · Control person left · inference
      • A••••• Jan B•••••••• (Chief Operating Officer) appeared on Schedule A of I•• I••••••• P•••••••• M••••••••• A•
        Dec 4, 2019 · Control person joined · fact
      • Stefan Daniel Per Detlof (Chief Operating Officer) no longer on Schedule A of I•• I••••••• P•••••••• M••••••••• A• (listed 2019-07-05, absent 2019-12-04)
        Dec 4, 2019 · Control person left · inference
      • Johan Philip Sixten Carl Nordenfalk (Board Director) no longer on Schedule A of I•• I••••••• P•••••••• M••••••••• A• (listed 2019-03-28, absent 2019-07-05)
        Jul 5, 2019 · Control person left · inference
      • I••••• K••• A••• H••••• (Chief Executive Officer) appeared on Schedule A of I•• I••••••• P•••••••• M••••••••• A•
        Jul 5, 2019 · Control person joined · fact
      • Arill Knut Pedersen (Board Director) appeared on Schedule A of I•• I••••••• P•••••••• M••••••••• A•
        Jul 5, 2019 · Control person joined · fact
      • J•••••• S•••• H••••• (Head Of Client Portfolio Management) appeared on Schedule A of I•• I••••••• P•••••••• M••••••••• A•
        Jul 5, 2019 · Control person joined · fact
      • I•• I••••••• P•••••••• M••••••••• A• reported RAUM $6.8B, up 95% from $3.5B (2018-10-31 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      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