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

D••••••• A•••• M••••••••• ••• L••••••

Former SEC-registered adviserLondon, CRD 163186SEC 801-76740IAPD
Latest filing Jun 12, 2012
First filing on the tape May 23, 2012 · 2 filings
RAUM
$17B
reported, Item 5.F
Discretionary
85%
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
3
$394M gross assets
History
2 filings and snapshots on the tape
RAUM$17B as of Jun 12, 2012
May 23, 2012$17B then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds3 as of Jun 12, 2012
May 23, 20123 then
Practice profile
derived from the filing of Jun 12, 2012; 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
$286MderivedRAUM over accounts (5.F.2.f)
Discretionary
85%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
unknownderivedbetween 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, selection of other advisersreportedItem 5.G
Custody
$394M, 3 clientsreportedItem 9.A
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
61reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$394M for 3 clientsreported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      D• S•••••••• O••••••••• F••• C• L•••Private Equity Fund$197M34May 23, 2012
      D• S•••••••• O••••••••• F••• A• L•••Private Equity Fund$104M35May 23, 2012
      D• S•••••••• O••••••••• F••• B• L•••Private Equity Fund$93.0M3May 23, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• M•••• W•••••• · Chief Executive Officer And Board Membercontrol
        since 05/2005 · owns less than 5%
      • S••••••• I•••••• A•• · Chief Compliance Officercontrol
        since 02/2006 · owns less than 5%
      • C••••••• J•••• · Chief Financial Officer
        since 09/2009 · owns less than 5%
      • E••••••••• D•••• · Chief Legal Officer
        since 08/2008 · owns less than 5%
      • H•••••••• L••• · Board Member
        since 03/2008 · owns less than 5%
      Entity owners
      • D••••••• A•••• M••••••••• G•••• L•••••• · Shareholder
        direct · owns 75% or more
      • D• U• P••• H•••••• C•••••• · Shareholder
        indirect · owns 75% or more of D••••••• A•••• M••••••••• G•••• L••••••
      • D••••••• B••• A• · Shareholder
        indirect · owns 75% or more of D• U• P••• H•••••• C•••••• · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list D••••••• A•••• M••••••••• ••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      No event on the tape.
      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