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
C•••••• A•••• M••••••••• I••••••••• L••••••
Latest filing Dec 19, 2025
First filing on the tape Aug 31, 2016 · 18 filings
SEC status approved since Sep 28, 2016
RAUM
$14B
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
55
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
23
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$14B as of Dec 19, 2025
Dec 21, 2016$13B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 19, 2025
Dec 21, 20160 then
Employees (5.A)55 as of Dec 19, 2025
Dec 21, 201630 then
Private funds23 as of Dec 19, 2025
Dec 21, 201615 then
RAUM -22% over the last fiscal year-22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 19, 2025; 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
- $594MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 3.7%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
- +10%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 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$12B89%
- Corporations and businesses$926M6.8%
- Pension and profit-sharing plans$411M3.0%
- Charitable organizations$99.0M0.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 23reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.89 institutional_share=0.04 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
26 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- F••••••• B••••• M••••• · Managing Director And Head Of Financecontrolsince 02/2009 · owns less than 5%
- K••••• M••••• T••••• · Chief Compliance Officer; Directorcontrolsince 12/2011 · owns less than 5%
- D••••• J••••••••• P••• · Chairmansince 12/2011 · owns less than 5%
- L•••••• P•••••••• B•••••• · Non-Executive Directorsince 11/2011 · owns less than 5%
- M••••••••• D••••• · Non-Executive Directorsince 12/2004 · owns less than 5%
- O••••••••• J•••••• P•••••• · Global Head Of Compliance, Legal And Risksince 08/2011 · owns less than 5%
- S•••••••• G••••••• Z•• · Non-Executive Directorsince 02/2024 · owns less than 5%
- W•••• P••••••• M•••••• · Non-Executive Directorsince 07/2018 · owns less than 5%
- W•••••• B•••••••• C••••• · Non-Executive Directorsince 03/2022 · owns less than 5%
Entity owners
- C•••••• G••••• I•••••••• S••••• · Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- C•••••• A•••• M••••••••• J•••• L••••••investment advisern
- C•••••• F•• E••• L••••••investment advisern
- C•••••• S•••investment advisern
- C•••••• S•••••••• P•• L••investment advisern
- C•••••• U• L••investment advisern
Advisers that list C•••••• A•••• M••••••••• I••••••••• L•••••• as a related person
- 284352 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 29 to 23Dec 20, 2024 to Dec 19, 2025
- Pension plan clients · 5.0 to unsetDec 20, 2024 to Dec 19, 2025
- Pooled vehicle clients · 22 to 19Dec 20, 2024 to Dec 19, 2025
- Employees · 58 to 55Dec 20, 2024 to Dec 19, 2025
- Financial planning clients · unset to Dec 20, 2024 to Dec 19, 2025
- HQ state · unset to Dec 20, 2024 to Dec 19, 2025
- Private funds · 25 to 23Dec 20, 2024 to Dec 19, 2025
- Discretionary RAUM · $19B to $14BDec 20, 2024 to Dec 19, 2025
- Pension RAUM · $969M to $411MDec 20, 2024 to Dec 19, 2025
- Pooled vehicle RAUM · $18B to $12BDec 20, 2024 to Dec 19, 2025
- RAUM · $19B to $14BDec 20, 2024 to Dec 19, 2025
- Accounts · 31 to 29Dec 20, 2023 to Dec 20, 2024
- Assets in custody · unset to 0.0Dec 20, 2023 to Dec 20, 2024
- Employees · 57 to 58Dec 20, 2023 to Dec 20, 2024
- Discretionary RAUM · $18B to $19BDec 20, 2023 to Dec 20, 2024
- Pension RAUM · $864M to $969MDec 20, 2023 to Dec 20, 2024
- Pooled vehicle RAUM · $16B to $18BDec 20, 2023 to Dec 20, 2024
- RAUM · $18B to $19BDec 20, 2023 to Dec 20, 2024
- Accounts · 30 to 31Aug 22, 2023 to Dec 20, 2023
- Pension plan clients · 6 to 5Aug 22, 2023 to Dec 20, 2023
- Pooled vehicle clients · 20 to 22Aug 22, 2023 to Dec 20, 2023
- Employees · 51 to 57Aug 22, 2023 to Dec 20, 2023
- Discretionary RAUM · $16B to $18BAug 22, 2023 to Dec 20, 2023
- Pension RAUM · $776M to $864MAug 22, 2023 to Dec 20, 2023
- Pooled vehicle RAUM · $14B to $16BAug 22, 2023 to Dec 20, 2023
- RAUM · $16B to $18BAug 22, 2023 to Dec 20, 2023
- Advisory activities · 3 to 2Dec 17, 2021 to Dec 21, 2022
- Pooled vehicle clients · 19 to 20Dec 17, 2021 to Dec 21, 2022
- Employees · 49 to 51Dec 17, 2021 to Dec 21, 2022
- Private funds · 26 to 25Dec 17, 2021 to Dec 21, 2022
- Discretionary RAUM · $29B to $16BDec 17, 2021 to Dec 21, 2022
- Pension RAUM · $1.3B to $776MDec 17, 2021 to Dec 21, 2022
- Pooled vehicle RAUM · $26B to $14BDec 17, 2021 to Dec 21, 2022
- RAUM · $29B to $16BDec 17, 2021 to Dec 21, 2022
- Accounts · 23 to 30Jan 6, 2021 to Dec 17, 2021
- Pension plan clients · 7 to 6Jan 6, 2021 to Dec 17, 2021
- Pooled vehicle clients · 14 to 19Jan 6, 2021 to Dec 17, 2021
- Employees · 42 to 49Jan 6, 2021 to Dec 17, 2021
- Private funds · 25 to 26Jan 6, 2021 to Dec 17, 2021
- Discretionary RAUM · $24B to $29BJan 6, 2021 to Dec 17, 2021
Signals
3 dated events
- C•••••• A•••• M••••••••• I••••••••• L•••••• reported RAUM $13.7B, down 29% from $19.4B (2024-12-20 to 2025-12-19)Dec 19, 2025 · RAUM change · derived
- C•••••• A•••• M••••••••• I••••••••• L•••••• reported RAUM $15.9B, down 45% from $28.8B (2021-12-17 to 2022-12-21)Dec 21, 2022 · RAUM change · derived
- C•••••• A•••• M••••••••• I••••••••• L•••••• filed its initial SEC registration (Form ADV)Aug 31, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- C••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- +353 1 631 0100reportedpublic record, Form ADV, Dec 19, 2025
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