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

L•••••• C•••••• P••••••• L••

Former SEC-registered adviserLondon, CRD 158320SEC 801-74219IAPD
Latest filing Dec 16, 2015
First filing on the tape Feb 15, 2012 · 7 filings
RAUM
$1.2B
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
33
14 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$1.2B gross assets
History
7 filings and snapshots on the tape
RAUM$1.2B as of Mar 24, 2015
Mar 27, 2013$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 24, 2015
Mar 27, 20130 then
Employees (5.A)33 as of Mar 24, 2015
Mar 27, 201339 then
Private funds2 as of Mar 24, 2015
Mar 27, 20132 then
RAUM -28% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 16, 2015; 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
$622MderivedRAUM 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
-28%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 pooled vehiclesreportedItem 5.G
Custody
$1.2B, 2 clientsreportedItem 9.A
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$1.2B for 2 clientsreported
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
      L•••••• L•••••••• C••••• F••• L••••••Hedge Fund$746M23Feb 15, 2012
      G•••• T• G• F••• L••••••Hedge Fund$497M12Feb 15, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• C•••••••• J•• · Co-Chief Executive Officer/Chief Compliance Officercontrol
        since 12/2009 · owns 5% to 10%
      • D••••••• P••••• P••• · Board Membercontrol
        since 07/2009 · owns less than 5%
      • S•••••• G•••••••• O••• · Co-Chief Investment Officercontrol
        since 07/2009 · owns 10% to 25%
      • K•••••• B••••• S•••••• · Sole-Shareholdercontrol
        since 02/1983 · owns 75% or more of C••••• C•••••••••
      • C•••• D•••• · Partner/Member
        since 12/2012 · owns 5% to 10%
      • R••••••• K••••• M•••••• · Chief Financial Officer
        since 05/2010 · owns less than 5%
      • S•••••• R••••••• E•••• H••••• · General Counsel
        since 05/2011 · owns less than 5%
      • T••••••••• C••••• P••••• P••••••• · Chief Risk Officer
        since 07/2009 · owns less than 5%
      Entity owners
      • C••••• A••••••••• I••••••••• ••• L•••••• · Corporate Member
        direct · owns 25% to 50%
      • C••••• A••••••••• M••••••••• L• · Shareholder
        indirect · owns 75% or more of C••••• A••••••••• I••••••••• ••• L••••••
      • C••••• C••••••••• · General Partner
        indirect · owns F of C••••• A••••••••• M••••••••• L•
      • A•••••• F•••••• S••••••• · Corporate Member
        direct · owns 10% to 25%
      • A•• A••••••••• L•• · Member
        indirect · owns 75% or more of A•••• M••••••••• F••••••• L••
      • A•••• M••••••••• F•••••• C••••••••• · Member
        indirect · owns 75% or more of A•• A••••••••• L••
      • A•••• M••••••••• F••••••• L•• · Member
        indirect · owns 75% or more of A•••••• Finance, S.A.R.L.
      • C••••• S••••• · Shareholder
        indirect · owns 75% or more of C••••• S••••• H••••••• ••••• I•••
      • C••••• S••••• G•••• A• · Shareholder
        indirect · owns 75% or more of C••••• S•••••
      • C••••• S••••• H••••••• ••••• I••• · Shareholder
        indirect · owns 75% or more of A•••• M••••••••• F•••••• C•••••••••
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY
      • ,
      What changed
      consecutive filings, newest first
      • Advisory employees · 16 to 14
        Apr 10, 2014 to Mar 24, 2015
      • Assets in custody · $1.7B to $1.2B
        Apr 10, 2014 to Mar 24, 2015
      • Employees · 39 to 33
        Apr 10, 2014 to Mar 24, 2015
      • Discretionary RAUM · $1.7B to $1.2B
        Apr 10, 2014 to Mar 24, 2015
      • RAUM · $1.7B to $1.2B
        Apr 10, 2014 to Mar 24, 2015
      • Assets in custody · $1.4B to $1.7B
        Mar 27, 2013 to Mar 28, 2014
      • Discretionary RAUM · $1.4B to $1.7B
        Mar 27, 2013 to Mar 28, 2014
      • RAUM · $1.4B to $1.7B
        Mar 27, 2013 to Mar 28, 2014
      • Advisory employees · unset to 16.0
        Oct 24, 2012 to Mar 27, 2013
      • BD registered reps · unset to 0.0
        Oct 24, 2012 to Mar 27, 2013
      • Assets in custody · $1.3B to $1.4B
        Oct 24, 2012 to Mar 27, 2013
      • Employees · unset to 39.0
        Oct 24, 2012 to Mar 27, 2013
      • State-registered IARs · unset to 0.0
        Oct 24, 2012 to Mar 27, 2013
      • Discretionary RAUM · $1.4B to $1.4B
        Oct 24, 2012 to Mar 27, 2013
      • RAUM · $1.4B to $1.4B
        Oct 24, 2012 to Mar 27, 2013
      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