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.

Former SEC-registered adviser

Columbia Threadneedle (Em) Investments Limited

Former SEC-registered adviserLondon, CRD 160460SEC 801-74649IAPD
Latest filing Dec 12, 2023
First filing on the tape Mar 15, 2012 · 35 filings
RAUM
$2.9B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.7%
$20.2M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$2.9B as of Mar 27, 2023
Jan 28, 2013$626M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2023
Jan 28, 20130 then
Employees (5.A)3 as of Mar 27, 2023
Jan 28, 201319 then
Private funds1 as of Jan 28, 2021
Jan 28, 20151 then
RAUM -38% over the last fiscal year+3.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 12, 2023; 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
42%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
-38%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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$1.6B56%
  • State and municipal entities$922M32%
  • Pension and profit-sharing plans$302M10%
  • Corporations and businesses$27.9M1.0%
  • Individuals$20.2M0.7%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
2reported
Charitable clients
n/areported
Accounts
15reported
Financial planning clients
0reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Bmo Investments II (Ireland) Plc-Bmo Lgm Frontier Markets Fundno longer reportedOther Private Fund$130M34Jan 28, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • Nmn Benjamin Apfel · Associate General Counselcontrol
        since 09/2007 · owns less than 5%
      • David Logan · Executive Directorcontrol
        since 06/2015 · owns less than 5%
      • Toby Maude · Chief Financial Officercontrol
        since 03/2015 · owns less than 5%
      • James Darrel Buckley · Chief Compliance Officer
        since 04/2023 · owns less than 5%
      • J Nicholas Ring · Executive Director
        since 11/2021 · owns less than 5%
      • Adrian Richard Watts · Executive Director
        since 02/2022 · owns less than 5%
      Entity owners
      • Columbia Threadneedle Investments Uk International Limited · Shareholder
        direct · owns 75% or more
      • Ameriprise Financial Services, LLC · Shareholder
        indirect · owns 75% or more of Columbia Threadneedle Investments Uk International Limited · public reporting company
      • Ameriprise Financial, Inc. · Shareholder
        indirect · owns 75% or more of Columbia Threadneedle Investments Uk International Limited · public reporting company
      Related persons
      Schedule D 7.A
      • Ameriprise Captive Insurance Company
        real estaten
      • Columbia Management Investment Advisers, LLC
        investment adviserbankpooled vehicle sponsornRAUM $502B
      • Columbia Threadneedle Fund Management Limited
        investment advisern
      • Columbia Threadneedle Luxembourg S.A.
        pooled vehicle sponsorn
      • Columbia Threadneedle Management Limited
        investment advisern
      • Columbia Threadneedle Multi-Manager Llp
        investment advisern
      • Columbia Threadneedle Netherlands B.V.
        investment advisern
      • Columbia Threadneedle Rep Am Plc
        investment advisern
      • F&C Aurora (Gp) Limited
        pooled vehicle sponsorn
      • F&C Climate Opportunity Partners (Gp) Limited
        pooled vehicle sponsorn
      • F&C European Capital Partners (Gp) Limited
        pooled vehicle sponsorn
      • Fosca Managers Sarl
        investment advisern
      • Pyrford International Ltd
        investment adviserpooled vehicle sponsornRAUM $7.1B
      • Thames River Capital Llp
        investment advisernRAUM $3.1B
      • Threadneedle Asset Management Limited
        investment advisern
      Advisers that list Columbia Threadneedle (Em) Investments Limited as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 21 to 15
        Oct 4, 2022 to Mar 27, 2023
      • Advisory employees · 12 to 3
        Oct 4, 2022 to Mar 27, 2023
      • Advisory activities · 3 to 2
        Oct 4, 2022 to Mar 27, 2023
      • Pension plan clients · unset to 2.0
        Oct 4, 2022 to Mar 27, 2023
      • Pooled vehicle clients · 14 to 9
        Oct 4, 2022 to Mar 27, 2023
      • Employees · 16 to 3
        Oct 4, 2022 to Mar 27, 2023
      • Discretionary RAUM · $4.7B to $2.9B
        Oct 4, 2022 to Mar 27, 2023
      • Individual RAUM · unset to 20231833.0
        Oct 4, 2022 to Mar 27, 2023
      • Pension RAUM · unset to 301684942.0
        Oct 4, 2022 to Mar 27, 2023
      • Pooled vehicle RAUM · $2.9B to $1.6B
        Oct 4, 2022 to Mar 27, 2023
      • RAUM · $4.7B to $2.9B
        Oct 4, 2022 to Mar 27, 2023
      • Business name · LGM INVESTMENTS to COLUMBIA THREADNEEDLE (EM) INVESTMENTS LIMITED
        Jul 4, 2022 to Oct 4, 2022
      • Legal name · LGM INVESTMENTS LIMITED to COLUMBIA THREADNEEDLE (EM) INVESTMENTS LIMITED
        Jul 4, 2022 to Oct 4, 2022
      • Accounts · 27 to 21
        Nov 17, 2021 to Jan 28, 2022
      • Advisory employees · 19 to 12
        Nov 17, 2021 to Jan 28, 2022
      • Pooled vehicle clients · 20 to 14
        Nov 17, 2021 to Jan 28, 2022
      • Employees · 20 to 16
        Nov 17, 2021 to Jan 28, 2022
      • Private funds · 1 to unset
        Nov 17, 2021 to Jan 28, 2022
      • Discretionary RAUM · $4.2B to $4.7B
        Nov 17, 2021 to Jan 28, 2022
      • Pension RAUM · 1098874.0 to unset
        Nov 17, 2021 to Jan 28, 2022
      • Pooled vehicle RAUM · $2.9B to $2.9B
        Nov 17, 2021 to Jan 28, 2022
      • RAUM · $4.2B to $4.7B
        Nov 17, 2021 to Jan 28, 2022
      • Accounts · 17 to 27
        Jul 15, 2020 to Jan 28, 2021
      • Advisory employees · 16 to 19
        Jul 15, 2020 to Jan 28, 2021
      • Pooled vehicle clients · 13 to 20
        Jul 15, 2020 to Jan 28, 2021
      • Employees · 19 to 20
        Jul 15, 2020 to Jan 28, 2021
      • Discretionary RAUM · $2.6B to $4.2B
        Jul 15, 2020 to Jan 28, 2021
      • Pension RAUM · $70.4M to $1.1M
        Jul 15, 2020 to Jan 28, 2021
      • Pooled vehicle RAUM · $2.3B to $2.9B
        Jul 15, 2020 to Jan 28, 2021
      • RAUM · $2.6B to $4.2B
        Jul 15, 2020 to Jan 28, 2021
      • Accounts · 16 to 17
        Jan 29, 2019 to Jan 28, 2020
      • Pooled vehicle clients · 11 to 13
        Jan 29, 2019 to Jan 28, 2020
      • Discretionary RAUM · $2.6B to $2.6B
        Jan 29, 2019 to Jan 28, 2020
      • Pension RAUM · $209M to $70.4M
        Jan 29, 2019 to Jan 28, 2020
      • Pooled vehicle RAUM · $2.2B to $2.3B
        Jan 29, 2019 to Jan 28, 2020
      • RAUM · $2.6B to $2.6B
        Jan 29, 2019 to Jan 28, 2020
      • Accounts · 15 to 16
        Jan 25, 2018 to Jan 29, 2019
      • Advisory employees · 11 to 16
        Jan 25, 2018 to Jan 29, 2019
      • Employees · 14 to 19
        Jan 25, 2018 to Jan 29, 2019
      • Discretionary RAUM · $2.7B to $2.6B
        Jan 25, 2018 to Jan 29, 2019
      Signals
      14 dated events
      • David Nigel Parry (Chief Compliance Officer) no longer on Schedule A of Columbia Threadneedle (Em) Investments Limited (listed 2023-03-27, absent 2023-05-03)
        May 3, 2023 · Control person left · inference
      • Columbia Threadneedle (Em) Investments Limited reported RAUM $2.9B, down 38% from $4.7B (2022-10-04 to 2023-03-27)
        Mar 27, 2023 · RAUM change · derived
      • Lynne Kristi Mitchem (Executive Director) no longer on Schedule A of Columbia Threadneedle (Em) Investments Limited (listed 2021-01-28, absent 2021-11-15)
        Nov 15, 2021 · Control person left · inference
      • Gilles Ouellette (Chair Of Governing Body) no longer on Schedule A of Columbia Threadneedle (Em) Investments Limited (listed 2021-01-28, absent 2021-11-15)
        Nov 15, 2021 · Control person left · inference
      • Columbia Threadneedle (Em) Investments Limited reported RAUM $4.2B, up 65% from $2.6B (2020-07-15 to 2021-01-28)
        Jan 28, 2021 · RAUM change · derived
      • Dinesh Rishikesh Patel (Executive Director) no longer on Schedule A of Columbia Threadneedle (Em) Investments Limited (listed 2020-07-15, absent 2021-01-28)
        Jan 28, 2021 · Control person left · inference
      • Raveendra Sriskandarajah (Chief Executive Officer & Executive Director) no longer on Schedule A of Columbia Threadneedle (Em) Investments Limited (listed 2020-01-28, absent 2020-07-15)
        Jul 15, 2020 · Control person left · inference
      • Lynne Kristi Mitchem (Executive Director) appeared on Schedule A of Columbia Threadneedle (Em) Investments Limited
        Jan 28, 2020 · Control person joined · fact
      • Dinesh Rishikesh Patel (Executive Director) appeared on Schedule A of Columbia Threadneedle (Em) Investments Limited
        Jan 28, 2020 · Control person joined · fact
      • Raveendra Sriskandarajah (Chief Executive Officer & Executive Director) appeared on Schedule A of Columbia Threadneedle (Em) Investments Limited
        Jan 28, 2020 · Control person joined · fact
      • Gilles Ouellette (Chair Of Governing Body) appeared on Schedule A of Columbia Threadneedle (Em) Investments Limited
        Jan 28, 2020 · Control person joined · fact
      • Joseph Scott Matthews (Director) no longer on Schedule A of Columbia Threadneedle (Em) Investments Limited (listed 2019-01-29, absent 2020-01-28)
        Jan 28, 2020 · Control person left · inference
      • Charles Richard Wilson (Chief Executive Officer & Director) no longer on Schedule A of Columbia Threadneedle (Em) Investments Limited (listed 2019-01-29, absent 2020-01-28)
        Jan 28, 2020 · Control person left · inference
      • Columbia Threadneedle (Em) Investments Limited reported RAUM $2.7B, up 31% from $2.1B (2017-01-27 to 2018-01-25)
        Jan 25, 2018 · 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