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

Finisterre Capital Llp

Former SEC-registered adviserLondon, CRD 162101SEC 801-76937IAPD
Latest filing Jul 6, 2020
First filing on the tape Jul 16, 2012 · 32 filings
RAUM
$3.2B
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
31
13 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
8
$1.6B gross assets
History
32 filings and snapshots on the tape
RAUM$3.2B as of Mar 30, 2020
Mar 28, 2013$2.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 28, 20130 then
Employees (5.A)31 as of Mar 30, 2020
Mar 28, 201337 then
Private funds8 as of Mar 30, 2020
Mar 28, 201311 then
RAUM -42% over the last fiscal year-17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 6, 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
$270MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%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
-42%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 vehicles, portfolio management for investment companiesreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.0B61%
  • Investment companies$1.3B39%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
12reported
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
      15 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Finisterre Sovereign Debt Master Fundno longer reportedHedge Fund$1.7B12Mar 30, 2012
      Finisterre Credit Master FundHedge Fund$765M8Mar 30, 2012
      Finisterre Sovereign Debt Fundno longer reportedHedge Fund$689M2Mar 30, 2012
      Finisterre Credit FundHedge Fund$576M7Mar 30, 2012
      Credit Surge Master FundHedge Fund$227M0Mar 27, 2015
      Credit Surge FundHedge Fund$208M0Mar 27, 2015
      Finisterre Credit Partners, LPHedge Fund$180M4Mar 30, 2012
      Finisterre Sovereign Debt Partners, LPno longer reportedHedge Fund$55.0M5Mar 30, 2012
      Finisterre Multi-Strategy Fund, A Sub-Fund Of Finisterre Multi-Strategy Fund IcavHedge Fund$19.0M1Feb 28, 2018
      Finisterre Credit Value Master FundHedge Fund$12.3M5Mar 28, 2019
      Finisterre Global Opportunity Master FundHedge Fund$10.4M0Mar 30, 2012
      Finisterre Global Opportunity FundHedge Fund$9.9M0Mar 30, 2012
      Finisterre Global Opportunity Partners, LPHedge Fund$280,7450Mar 30, 2012
      Finisterre Equity Partners, LPno longer reportedHedge Fund$00Mar 30, 2012
      Finisterre Equity Master Fundno longer reportedHedge Fund$00Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Raphael Biosse-Duplan · Partner, Board Member And Chief Executive Officercontrol
        since 02/2006 · owns less than 5%
      • Antoine Buchet Damien · Partner And Board Membercontrol
        since 06/2016 · owns less than 5%
      • John Andrew Donohue · Chief Compliance Officercontrol
        since 12/2019 · owns less than 5%
      • Joshua Oliver Penn · Chief Risk Officercontrol
        since 10/2019 · owns less than 5%
      • Royston Michael Thornton · Chief Financial Officercontrol
        since 02/2019 · owns less than 5%
      Entity owners
      • Finisterre Capital Uk Limited · Partner
        direct · owns 50% to 75%
      • Pgi Finisterre Holding Company Ltd · Partner
        direct · owns 5% to 10%
      • Principal Global Financial Services (Europe) II, Ltd · Partner
        direct · owns 25% to 50%
      • Finisterre Holdings Limited · Shareholder
        indirect · owns 75% or more of Finisterre Capital Uk Limited
      • Principal Financial Group, Inc. · Shareholder
        indirect · owns 75% or more of Principal Financial Services, Inc. · public reporting company
      • Principal Financial Services, Inc. · Shareholder
        indirect · owns 75% or more of Principal Global Investors Holding Company, LLC
      • Principal Global Financial Services (Europe) II Ltd · Shareholder
        indirect · owns 75% or more of Pgi Finisterre Holding Company Ltd
      • Principal Global Financial Services (Europe) II, Ltd · Shareholder
        indirect · owns 25% to 50% of Finisterre Holdings Limited
      • Principal Global Investors Holding Company, LLC · Shareholder
        indirect · owns 75% or more of Principal Global Financial Services (Europe) II, Ltd
      Related persons
      Schedule D 7.A
      • Claritas Investment Ltd.
        investment adviserpooled vehicle sponsorn
      • Columbus Circle Investors
        investment adviserpooled vehicle sponsornRAUM $2.3B
      • Delaware Charter Guarantee & Trust Company
        n
      • Finisterre Malta Limited
        investment adviserpooled vehicle sponsorn
      • Principal Origin
        investment adviserpooled vehicle sponsornRAUM $4.6B
      • Post Advisory Group, LLC
        investment adviserbankpooled vehicle sponsornRAUM $13B
      • Principal Advised Services
        investment advisernRAUM $1.4B
      • Principal Bank
        n
      • Principal Enterprise Capital, LLC
        investment advisern
      • Principal Financial Advisors, Inc.
        investment adviserLP sponsornRAUM $9.0B
      • Principal Funds Distributor, Inc.
        broker-dealern
      • Principal Global Investors (Australia) Limited
        investment advisern
      • Principal Global Investors (Eu) Limited
        investment advisern
      • Principal Global Investors (Europe) Limited
        investment advisern
      • Principal Global Investors (Hong Kong) Limited
        investment advisern
      • Principal Global Investors (Ireland) Limited
        investment adviserpooled vehicle sponsorn
      • Principal Global Investors (Japan) Ltd.
        investment adviserpooled vehicle sponsorn
      • Principal Global Investors (Singapore) Limited
        investment advisern
      • Principal Global Investors (Switzerland) Gmbh
        investment advisern
      • Principal Global Investors Trust Company
        n
      • Principal Asset Management
        investment adviserbankpooled vehicle sponsornRAUM $428B
      • Principal Life Insurance Company
        real estaten
      • Principal Real Estate
        investment adviserpooled vehicle sponsornRAUM $106B
      • Principal Real Estate Kapitalverwaltungsgesellschaft Mbh
        investment adviserpooled vehicle sponsorn
      • Principal Real Estate Limited
        investment adviserpooled vehicle sponsorn
      • Principal Real Estate S.A.R.L.
        investment adviserpooled vehicle sponsorn
      • Principal Real Estate Sas
        investment adviserpooled vehicle sponsorn
      • Principal Real Estate Spezialfondsgesellschaft Mbh
        investment adviserpooled vehicle sponsorn
      • Principal Securities, Inc.
        broker-dealerinvestment advisernRAUM $17B
      • Robustwealth, Inc.
        investment advisernRAUM $856M
      Advisers that list Finisterre Capital Llp as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 13 to 12
        Dec 4, 2019 to Mar 30, 2020
      • Advisory employees · 12 to 13
        Dec 4, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 11 to 9
        Dec 4, 2019 to Mar 30, 2020
      • Employees · 33 to 31
        Dec 4, 2019 to Mar 30, 2020
      • Private funds · 10 to 8
        Dec 4, 2019 to Mar 30, 2020
      • Discretionary RAUM · $5.6B to $3.2B
        Dec 4, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $5.3B to $2.0B
        Dec 4, 2019 to Mar 30, 2020
      • RAUM · $5.6B to $3.2B
        Dec 4, 2019 to Mar 30, 2020
      • Accounts · 14 to 13
        Jan 11, 2019 to Mar 28, 2019
      • Advisory employees · 16 to 12
        Jan 11, 2019 to Mar 28, 2019
      • Pooled vehicle clients · 12 to 11
        Jan 11, 2019 to Mar 28, 2019
      • Employees · 43 to 33
        Jan 11, 2019 to Mar 28, 2019
      • Private funds · 9 to 10
        Jan 11, 2019 to Mar 28, 2019
      • Discretionary RAUM · $7.4B to $5.6B
        Jan 11, 2019 to Mar 28, 2019
      • Pooled vehicle RAUM · $7.1B to $5.3B
        Jan 11, 2019 to Mar 28, 2019
      • RAUM · $7.4B to $5.6B
        Jan 11, 2019 to Mar 28, 2019
      • Pooled vehicle clients · 13 to 12
        Feb 28, 2018 to Mar 29, 2018
      • Employees · 48 to 43
        Feb 28, 2018 to Mar 29, 2018
      • Discretionary RAUM · $5.6B to $7.4B
        Feb 28, 2018 to Mar 29, 2018
      • Pooled vehicle RAUM · $0 to $7.1B
        Feb 28, 2018 to Mar 29, 2018
      • RAUM · $5.6B to $7.4B
        Feb 28, 2018 to Mar 29, 2018
      • Pooled vehicle clients · unset to 13.0
        Aug 23, 2017 to Feb 28, 2018
      • Other offices · unset to 0.0
        Aug 23, 2017 to Feb 28, 2018
      • Private funds · 8 to 9
        Aug 23, 2017 to Feb 28, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Aug 23, 2017 to Feb 28, 2018
      • Advisory employees · 13 to 16
        Jan 26, 2017 to Mar 28, 2017
      • Employees · 42 to 48
        Jan 26, 2017 to Mar 28, 2017
      • Discretionary RAUM · $3.7B to $5.6B
        Jan 26, 2017 to Mar 28, 2017
      • RAUM · $3.7B to $5.6B
        Jan 26, 2017 to Mar 28, 2017
      • Accounts · 16 to 14
        Feb 29, 2016 to Mar 30, 2016
      • Advisory employees · 15 to 13
        Feb 29, 2016 to Mar 30, 2016
      • Employees · 34 to 42
        Feb 29, 2016 to Mar 30, 2016
      • Private funds · 11 to 8
        Feb 29, 2016 to Mar 30, 2016
      • Discretionary RAUM · $520M to $3.7B
        Feb 29, 2016 to Mar 30, 2016
      • RAUM · $520M to $3.7B
        Feb 29, 2016 to Mar 30, 2016
      • Accounts · 12 to 16
        Feb 27, 2015 to Mar 27, 2015
      • Advisory employees · 12 to 15
        Feb 27, 2015 to Mar 27, 2015
      • Advisory activities · 2 to 3
        Feb 27, 2015 to Mar 27, 2015
      • Employees · 36 to 34
        Feb 27, 2015 to Mar 27, 2015
      • Private funds · 9 to 11
        Feb 27, 2015 to Mar 27, 2015
      Signals
      14 dated events
      • W Ellen Shumway (Board Member) no longer on Schedule A of Finisterre Capital Llp (listed 2020-04-23, absent 2020-07-06)
        Jul 6, 2020 · Control person left · inference
      • Hakan Sofuoglu (Partner) no longer on Schedule A of Finisterre Capital Llp (listed 2020-04-23, absent 2020-07-06)
        Jul 6, 2020 · Control person left · inference
      • Gregory Patrick Halter (Board Member) no longer on Schedule A of Finisterre Capital Llp (listed 2020-04-23, absent 2020-07-06)
        Jul 6, 2020 · Control person left · inference
      • Finisterre Capital Llp reported RAUM $3.2B, down 42% from $5.6B (2019-12-04 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • Elizabeth Ursula Newman (Chief Operating Officer, Partner And Board Member) no longer on Schedule A of Finisterre Capital Llp (listed 2019-12-04, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • John Darren Walker (Partner) no longer on Schedule A of Finisterre Capital Llp (listed 2019-07-31, absent 2019-12-04)
        Dec 4, 2019 · Control person left · inference
      • Pierre Thierry Pudet (Chief Risk Officer) no longer on Schedule A of Finisterre Capital Llp (listed 2019-07-31, absent 2019-12-04)
        Dec 4, 2019 · Control person left · inference
      • Joshua Oliver Penn (Chief Risk Officer) appeared on Schedule A of Finisterre Capital Llp
        Dec 4, 2019 · Control person joined · fact
      • John Andrew Donohue (Chief Compliance Officer) appeared on Schedule A of Finisterre Capital Llp
        Dec 4, 2019 · Control person joined · fact
      • Mary Nora Everett (Board Member) no longer on Schedule A of Finisterre Capital Llp (listed 2019-03-28, absent 2019-04-16)
        Apr 16, 2019 · Control person left · inference
      • Royston Michael Thornton (Chief Financial Officer) appeared on Schedule A of Finisterre Capital Llp
        Mar 28, 2019 · Control person joined · fact
      • David Christopher Hill (Chief Financial Officer) no longer on Schedule A of Finisterre Capital Llp (listed 2018-12-06, absent 2019-01-11)
        Jan 11, 2019 · Control person left · inference
      • Finisterre Capital Llp reported RAUM $7.4B, up 32% from $5.6B (2018-02-28 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • Finisterre Capital Llp filed its initial SEC registration (Form ADV)
        Jul 16, 2012 · 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.
      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
      Across the graphs

      Finisterre Capital Llp is the same institution as 1 record in Real Estate Funds.

      Real Estate Funds1

      Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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