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

C•• I••••••••• M••••••••• L••••••

Former SEC-registered adviserLondon, CRD 161286SEC 801-73265IAPD
Latest filing May 22, 2020
First filing on the tape Feb 10, 2012 · 15 filings
RAUM
$506M
reported, Item 5.F
Discretionary
99%
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
6
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$295M gross assets
History
15 filings and snapshots on the tape
RAUM$506M as of May 22, 2020
Dec 14, 2012$1.8B then
HNW client RAUM$0 as of May 22, 2020
Dec 4, 2017$0 then
State-registered IARs (5.B.3)0 as of May 22, 2020
Dec 14, 20120 then
Employees (5.A)6 as of May 22, 2020
Dec 14, 201210 then
Private funds2 as of May 22, 2020
Dec 14, 20124 then
RAUM -30% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 22, 2020; 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
$101MderivedRAUM over accounts (5.F.2.f)
Discretionary
99%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
-30%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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • 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$335M66%
  • Corporations and businesses$169M33%
  • Other investment advisers$3.0M0.6%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
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
      T•• T••• W••• F••• L••••••no longer reportedHedge Fund$53.8M5Feb 10, 2012
      C•• G••••• P••••••• F••• L••••••no longer reportedHedge Fund$21.9M0Feb 10, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B••••••• N•••• C•••••• J••••• · Director Of Operationscontrol
        since 04/2014 · owns less than 5%
      • D•••••• P•••• G••••• · Chief Executive Officercontrol
        since 02/2011 · owns less than 5%
      • J•••••••• M••••••• J••• · Chief Compliance Officercontrol
        since 06/2006 · owns less than 5%
      • M•••••• R•••••• J•••• P• · Shareholder, Chief Investment Officer, S•••• L•••• Asset Management Pte Ltdcontrol
        since 02/2011 · owns 75% or more
      • D••••••• R•••••• J••• · Director
        since 06/2006 · owns less than 5%
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 5
        May 15, 2019 to May 22, 2020
      • Discretionary RAUM · $714M to $503M
        May 15, 2019 to May 22, 2020
      • Non-discretionary RAUM · $5.8M to $3.0M
        May 15, 2019 to May 22, 2020
      • Pooled vehicle RAUM · $330M to $335M
        May 15, 2019 to May 22, 2020
      • RAUM · $720M to $506M
        May 15, 2019 to May 22, 2020
      • Accounts · 11 to 6
        Jun 20, 2018 to May 15, 2019
      • Discretionary RAUM · $852M to $714M
        Jun 20, 2018 to May 15, 2019
      • Non-discretionary RAUM · $7.9M to $5.8M
        Jun 20, 2018 to May 15, 2019
      • Pension RAUM · 24300000.0 to unset
        Jun 20, 2018 to May 15, 2019
      • Pooled vehicle RAUM · $167M to $330M
        Jun 20, 2018 to May 15, 2019
      • RAUM · $860M to $720M
        Jun 20, 2018 to May 15, 2019
      • Advisory employees · 2 to 1
        Apr 30, 2018 to Jun 20, 2018
      • Discretionary RAUM · $862M to $852M
        Apr 30, 2018 to Jun 20, 2018
      • Non-discretionary RAUM · $7.8M to $7.9M
        Apr 30, 2018 to Jun 20, 2018
      • Pension RAUM · $24.6M to $24.3M
        Apr 30, 2018 to Jun 20, 2018
      • Pooled vehicle RAUM · $163M to $167M
        Apr 30, 2018 to Jun 20, 2018
      • RAUM · $870M to $860M
        Apr 30, 2018 to Jun 20, 2018
      • Accounts · 13 to 11
        May 3, 2017 to Dec 4, 2017
      • Pooled vehicle clients · unset to 3.0
        May 3, 2017 to Dec 4, 2017
      • Employees · 8 to 6
        May 3, 2017 to Dec 4, 2017
      • Other offices · unset to 0.0
        May 3, 2017 to Dec 4, 2017
      • Discretionary RAUM · $842M to $862M
        May 3, 2017 to Dec 4, 2017
      • HNW RAUM · unset to 0.0
        May 3, 2017 to Dec 4, 2017
      • Individual RAUM · unset to 0.0
        May 3, 2017 to Dec 4, 2017
      • Non-discretionary RAUM · $7.6M to $7.8M
        May 3, 2017 to Dec 4, 2017
      • Pension RAUM · unset to 24600000.0
        May 3, 2017 to Dec 4, 2017
      • Pooled vehicle RAUM · unset to 162500000.0
        May 3, 2017 to Dec 4, 2017
      • RAUM · $849M to $870M
        May 3, 2017 to Dec 4, 2017
      • Accounts · 14 to 13
        Dec 9, 2015 to Dec 7, 2016
      • Advisory employees · 1 to 2
        Dec 9, 2015 to Dec 7, 2016
      • Employees · 10 to 8
        Dec 9, 2015 to Dec 7, 2016
      • Private funds · 3 to 2
        Dec 9, 2015 to Dec 7, 2016
      • Discretionary RAUM · $1.0B to $842M
        Dec 9, 2015 to Dec 7, 2016
      • Non-discretionary RAUM · $8.1M to $7.6M
        Dec 9, 2015 to Dec 7, 2016
      • RAUM · $1.0B to $849M
        Dec 9, 2015 to Dec 7, 2016
      • Advisory employees · 2 to 1
        Jan 14, 2015 to Dec 9, 2015
      • Employees · 11 to 10
        Jan 14, 2015 to Dec 9, 2015
      • Private funds · 4 to 3
        Jan 14, 2015 to Dec 9, 2015
      • Discretionary RAUM · $1.7B to $1.0B
        Jan 14, 2015 to Dec 9, 2015
      • Non-discretionary RAUM · $3.4M to $8.1M
        Jan 14, 2015 to Dec 9, 2015
      Signals
      1 dated events
      • C•• I••••••••• M••••••••• L•••••• reported RAUM $506.0M, down 30% from $720.0M (2019-05-15 to 2020-05-22)
        May 22, 2020 · 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