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

E•• C•••••• P••••••• U• L••

Former SEC-registered adviserLondon, CRD 161460SEC 801-74534IAPD
Latest filing Sep 22, 2021
First filing on the tape Mar 7, 2012 · 24 filings
RAUM
$356M
reported, Item 5.F
Discretionary
0.0%
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
$356M gross assets
History
24 filings and snapshots on the tape
RAUM$356M as of Sep 22, 2021
Mar 14, 2013$231M then
HNW client RAUM$0 as of Sep 22, 2021
May 14, 2018$0 then
State-registered IARs (5.B.3)0 as of Sep 22, 2021
Mar 14, 20130 then
Employees (5.A)2 as of Sep 22, 2021
Mar 14, 201310 then
Private funds3 as of Sep 22, 2021
Mar 14, 20136 then
RAUM -34% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 22, 2021; 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
$119MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
-34%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
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$356M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      E••••••• S•••••• O••••••••• F••• V• S••••••Private Equity Fund$191M17Mar 17, 2016
      E••••••• S•••••• O••••••••• F••• V• F•• S••Private Equity Fund$136M8Mar 26, 2014
      E••••••• S•••••• O••••••••• M••••• F••• I• L••••••no longer reportedHedge Fund$77.6M6Feb 16, 2012
      E••••••• S•••••• O••••••••• F••• I• L••••••no longer reportedHedge Fund$77.6M6Mar 14, 2013
      E••••••• S•••••• O••••••••• C••••• C• S•••no longer reportedOther Private Fund$63.5M2Feb 16, 2012
      E••••••• S•••••• O••••••••• C••••• C• S•••no longer reportedPrivate Equity Fund$26.9M2Nov 3, 2015
      E••••••• S•••••• O••••••••• M••••• F••• I• L••••••no longer reportedHedge Fund$10.6M8Feb 16, 2012
      E••••••• S•••••• O••••••••• F••• I• L••••••no longer reportedHedge Fund$10.5M8Mar 14, 2013
      E••••••• S•••••• O••••••••• F••• I• F•• S••Private Equity Fund$5.6M7Feb 16, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• R•••••• · Chief Operating Officer / Chief Compliance Officercontrol
        since 09/2009 · owns less than 5%
      • S•••••• A•••••••• · Chief Executive Officercontrol
        since 09/2009 · owns less than 5%
      • S•••••• A•••••••• · Ownercontrol
        since 09/2016 · owns 75% or more of B•••• L••• G•••• A•
      Entity owners
      • E•• C•••••• U• L•• · Owner
        direct · owns 75% or more
      • B•••• L••• G•••• A• · Owner
        indirect · owns 75% or more of B•••• L••• L••••••
      • B•••• L••• L•••••• · Owner
        indirect · owns 75% or more of E•• G•••• P••••••• L•
      • E•• G•••• P••••••• L• · Owner
        indirect · owns 75% or more of E•• C•••••• U• L••
      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 3
        Jun 29, 2020 to Sep 22, 2021
      • Advisory employees · 11 to 1
        Jun 29, 2020 to Sep 22, 2021
      • Advisory activities · 2 to 1
        Jun 29, 2020 to Sep 22, 2021
      • Pooled vehicle clients · 5 to 3
        Jun 29, 2020 to Sep 22, 2021
      • Employees · 24 to 2
        Jun 29, 2020 to Sep 22, 2021
      • Non-discretionary RAUM · $536M to $356M
        Jun 29, 2020 to Sep 22, 2021
      • Pooled vehicle RAUM · $522M to $356M
        Jun 29, 2020 to Sep 22, 2021
      • RAUM · $536M to $356M
        Jun 29, 2020 to Sep 22, 2021
      • Accounts · 4 to 6
        Jun 28, 2019 to Jun 29, 2020
      • Advisory employees · 8 to 11
        Jun 28, 2019 to Jun 29, 2020
      • Pooled vehicle clients · 3 to 5
        Jun 28, 2019 to Jun 29, 2020
      • Employees · 21 to 24
        Jun 28, 2019 to Jun 29, 2020
      • Discretionary RAUM · $521M to $0
        Jun 28, 2019 to Jun 29, 2020
      • Non-discretionary RAUM · $0 to $536M
        Jun 28, 2019 to Jun 29, 2020
      • Pooled vehicle RAUM · $506M to $522M
        Jun 28, 2019 to Jun 29, 2020
      • RAUM · $521M to $536M
        Jun 28, 2019 to Jun 29, 2020
      • Accounts · 5 to 4
        Jun 25, 2018 to Jun 28, 2019
      • Advisory employees · 6 to 8
        Jun 25, 2018 to Jun 28, 2019
      • Advisory activities · 1 to 2
        Jun 25, 2018 to Jun 28, 2019
      • Pooled vehicle clients · 5 to 3
        Jun 25, 2018 to Jun 28, 2019
      • Assets in custody · 527533605.0 to unset
        Jun 25, 2018 to Jun 28, 2019
      • Custody of client assets · true to false
        Jun 25, 2018 to Jun 28, 2019
      • Employees · 16 to 21
        Jun 25, 2018 to Jun 28, 2019
      • Private funds · 5 to 3
        Jun 25, 2018 to Jun 28, 2019
      • Discretionary RAUM · $0 to $521M
        Jun 25, 2018 to Jun 28, 2019
      • Non-discretionary RAUM · $528M to $0
        Jun 25, 2018 to Jun 28, 2019
      • Pooled vehicle RAUM · $528M to $506M
        Jun 25, 2018 to Jun 28, 2019
      • RAUM · $528M to $521M
        Jun 25, 2018 to Jun 28, 2019
      • Charity clients · unset to 0.0
        May 8, 2017 to May 14, 2018
      • Corporate clients · unset to 0.0
        May 8, 2017 to May 14, 2018
      • HNW clients · unset to 0.0
        May 8, 2017 to May 14, 2018
      • Individual clients · unset to 0.0
        May 8, 2017 to May 14, 2018
      • Pension plan clients · unset to 0.0
        May 8, 2017 to May 14, 2018
      • Pooled vehicle clients · unset to 5.0
        May 8, 2017 to May 14, 2018
      • Assets in custody · $430M to $528M
        May 8, 2017 to May 14, 2018
      • Other offices · unset to 0.0
        May 8, 2017 to May 14, 2018
      • HNW RAUM · unset to 0.0
        May 8, 2017 to May 14, 2018
      • Individual RAUM · unset to 0.0
        May 8, 2017 to May 14, 2018
      • Non-discretionary RAUM · $430M to $528M
        May 8, 2017 to May 14, 2018
      • Pension RAUM · unset to 0.0
        May 8, 2017 to May 14, 2018
      Signals
      3 dated events
      • E•• C•••••• P••••••• U• L•• reported RAUM $355.6M, down 34% from $536.3M (2020-06-29 to 2021-09-22)
        Sep 22, 2021 · RAUM change · derived
      • R••••• N••••• (Chief Compliance Officer) no longer on Schedule A of E•• C•••••• P••••••• U• L•• (listed 2020-06-29, absent 2021-09-22)
        Sep 22, 2021 · Control person left · inference
      • E•• C•••••• U• L•••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        May 28, 2015 · Succession (Item 4) · fact
      Across DFX
      shared identifiers only, never a name match
      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