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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SEC-registered adviser
3• C•••••••••
Latest filing Jun 29, 2026
First filing on the tape Feb 13, 2012 · 31 filings
SEC status approved since Mar 30, 2012
RAUM
$2.7B
reported, Item 5.F
Discretionary
21%
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
27
26 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$2.7B as of Jun 29, 2026
Jun 29, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2026
Jun 24, 20130 then
Employees (5.A)27 as of Jun 29, 2026
Jun 24, 20138 then
Private funds8 as of Jun 29, 2026
Jun 29, 20123 then
RAUM +45% over the last fiscal year+31% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 2026; 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
- $300MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 21%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
- +39%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- yesreportedItem 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$2.1B79%
- Pooled investment vehicles$566M21%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 9reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $0 for 0 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
19 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| 3• P• 2•••••• A• L• | Private Equity Fund | $484M | 49 | Jun 28, 2018 |
| 3• P• 2••••••• L• | Private Equity Fund | $458M | 50 | Jun 23, 2020 |
| 3• U• G••••• H••••••••• F••• 2••• L•••no longer reported | Private Equity Fund | $349M | 6 | Feb 13, 2012 |
| 3• P• 2•••••• B• L• | Private Equity Fund | $229M | 43 | Jun 23, 2020 |
| 3• N•••• A••••••• I••••••••• F••• B• L• | Private Equity Fund | $224M | 7 | Jun 28, 2022 |
| 3• P• 2••••••• L• | Private Equity Fund | $184M | 1 | Jun 28, 2017 |
| 3• R• C••••••• L• | Private Equity Fund | $136M | 4 | Jun 28, 2022 |
| 3• P• 2••••••• L• | Private Equity Fund | $135M | 39 | Jun 29, 2015 |
| 3• N•••• A••••••• I••••••••• F••• C• L• | Private Equity Fund | $89.6M | 4 | Jun 28, 2022 |
| 3• M•• C••••••• L• | Private Equity Fund | $40.7M | 4 | Jun 24, 2024 |
| 3• E•• C••••••• L• | Private Equity Fund | $19.2M | 1 | Jun 28, 2022 |
| N•••• A••••••• I••••••••• C•••• A•• C••••••• L• | Private Equity Fund | $6.6M | 1 | Jun 28, 2022 |
| 3• P• 2••••••• L• | Private Equity Fund | $5.6M | 9 | Jun 29, 2015 |
| P• 2•••••• C•••••••• L• | Private Equity Fund | $5.5M | 49 | Jun 23, 2020 |
| P• 2•••••• C•••••••• L• | Private Equity Fund | $4.8M | 48 | Jun 28, 2018 |
| 3• J•••••• H•• L• | Private Equity Fund | $2.8M | 39 | Jun 28, 2021 |
| 3• J•••••• H•• L• | Private Equity Fund | $1.9M | 39 | Jun 28, 2021 |
| 3• G••••• •••• 2••• L•••no longer reported | Private Equity Fund | $102,410 | 60 | Jun 29, 2012 |
| 3• U• G••••• P••••••• L•••no longer reported | Private Equity Fund | $0 | 11 | Feb 13, 2012 |
Owners and control persons
Schedule A and B, latest filing
- C••••••• R•••••• K• · Directorcontrolsince 04/2017 · owns less than 5%
- D•••••••• J•••• P••• · Chief Compliance Officercontrolsince 03/2012 · owns less than 5%
- H••••• J•••• H••• · Directorcontrolsince 04/2019 · owns less than 5%
- K•••••• B•••••••• D••••• · Directorcontrolsince 02/2017 · owns less than 5%
- R•••••• R••••••• V••••• · Directorcontrolsince 11/2010 · owns less than 5%
Entity owners
- 3• H••••••• P•• · Shareholderdirect · owns 75% or more
- 3• G•••• P•• · Shareholder, Common Stockindirect · owns 75% or more of 3• H••••••• P••
Related persons
Schedule D 7.A
- 3• B•••••• B•••investment advisern
- 3• D••••••••• G••••••••• F•• I••••••••• M••investment advisern
- 3• F••••• S••investment advisern
- 3• I•••• P•••••• L••investment advisern
- 3• I••••••••• ••••••••• S•••investment advisern
- 3• I••••••••• P••investment advisern
- 3• N•••• A••••••• I••••••••• G•• L••pooled vehicle sponsory
- 3• N•••• A••••••• I••••••••• P•••••••• L••investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory employees · 23 to 26Aug 21, 2025 to Jun 29, 2026
- Employees · 25 to 27Aug 21, 2025 to Jun 29, 2026
- Discretionary RAUM · $534M to $556MAug 21, 2025 to Jun 29, 2026
- Non-discretionary RAUM · $2.1B to $2.1BAug 21, 2025 to Jun 29, 2026
- Pooled vehicle RAUM · $544M to $566MAug 21, 2025 to Jun 29, 2026
- RAUM · $2.6B to $2.7BAug 21, 2025 to Jun 29, 2026
- Advisory employees · 19 to 23Jun 24, 2024 to Jun 25, 2025
- Employees · 21 to 25Jun 24, 2024 to Jun 25, 2025
- Financial planning clients · unset to Jun 24, 2024 to Jun 25, 2025
- Discretionary RAUM · $516M to $534MJun 24, 2024 to Jun 25, 2025
- Non-discretionary RAUM · $2.1B to $2.1BJun 24, 2024 to Jun 25, 2025
- Pooled vehicle RAUM · $526M to $544MJun 24, 2024 to Jun 25, 2025
- RAUM · $2.6B to $2.6BJun 24, 2024 to Jun 25, 2025
- Accounts · 15 to 9Jul 11, 2023 to Jun 24, 2024
- Advisory employees · 22 to 19Jul 11, 2023 to Jun 24, 2024
- Pooled vehicle clients · 15 to 8Jul 11, 2023 to Jun 24, 2024
- Assets in custody · $345M to $0Jul 11, 2023 to Jun 24, 2024
- Employees · 24 to 21Jul 11, 2023 to Jun 24, 2024
- Private funds · 15 to 8Jul 11, 2023 to Jun 24, 2024
- Discretionary RAUM · $345M to $516MJul 11, 2023 to Jun 24, 2024
- Non-discretionary RAUM · $1.5B to $2.1BJul 11, 2023 to Jun 24, 2024
- Pooled vehicle RAUM · $1.9B to $526MJul 11, 2023 to Jun 24, 2024
- RAUM · $1.9B to $2.6BJul 11, 2023 to Jun 24, 2024
- Advisory employees · 19 to 22Aug 25, 2022 to Jun 26, 2023
- Assets in custody · $299M to $345MAug 25, 2022 to Jun 26, 2023
- Employees · 21 to 24Aug 25, 2022 to Jun 26, 2023
- Discretionary RAUM · $299M to $345MAug 25, 2022 to Jun 26, 2023
- Non-discretionary RAUM · $1.7B to $1.5BAug 25, 2022 to Jun 26, 2023
- Pooled vehicle RAUM · $2.0B to $1.9BAug 25, 2022 to Jun 26, 2023
- RAUM · $2.0B to $1.9BAug 25, 2022 to Jun 26, 2023
- Accounts · 10 to 15May 11, 2022 to Jun 28, 2022
- Advisory employees · 17 to 19May 11, 2022 to Jun 28, 2022
- Pooled vehicle clients · 10 to 15May 11, 2022 to Jun 28, 2022
- Assets in custody · $0 to $299MMay 11, 2022 to Jun 28, 2022
- Employees · 18 to 21May 11, 2022 to Jun 28, 2022
- Private funds · 10 to 15May 11, 2022 to Jun 28, 2022
- Discretionary RAUM · $0 to $299MMay 11, 2022 to Jun 28, 2022
- Non-discretionary RAUM · $1.2B to $1.7BMay 11, 2022 to Jun 28, 2022
- Pooled vehicle RAUM · $1.2B to $2.0BMay 11, 2022 to Jun 28, 2022
- RAUM · $1.2B to $2.0BMay 11, 2022 to Jun 28, 2022
Signals
8 dated events
- 3• C••••••••• reported RAUM $2.6B, up 39% from $1.9B (2023-07-11 to 2024-06-24)Jun 24, 2024 · RAUM change · derived
- 3• C••••••••• reported RAUM $2.0B, up 64% from $1.2B (2022-05-11 to 2022-06-28)Jun 28, 2022 · RAUM change · derived
- Jason Andrew Olinick (Director) no longer on Schedule A of 3• C••••••••• (listed 2021-12-20, absent 2022-05-11)May 11, 2022 · Control person left · inference
- 3• C••••••••• reported RAUM $1.2B, up 50% from $800.8M (2020-06-23 to 2021-06-28)Jun 28, 2021 · RAUM change · derived
- 3• C••••••••• reported RAUM $778.8M, up 30% from $601.0M (2018-06-28 to 2019-06-28)Jun 28, 2019 · RAUM change · derived
- Clifford Bence Alan Giddins (Director) no longer on Schedule A of 3• C••••••••• (listed 2018-06-28, absent 2019-06-28)Jun 28, 2019 · Control person left · inference
- H••• J••• H•••• (Director) appeared on Schedule A of 3• C•••••••••Jun 28, 2019 · Control person joined · fact
- 3• C••••••••• reported RAUM $601.0M, up 46% from $410.9M (2017-06-28 to 2018-06-28)Jun 28, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- 3• C••••••••• · Independent Sponsorsshared crd · capital_provider
- 3• C••••••••• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/3i-group-plc/mycompanyreportedpublic record, Form ADV, Sep 18, 2026
- Website
- w••.3•.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 1 212 848 1400reportedpublic record, Form ADV, Jun 29, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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