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

F••••••• T•••••••• I••••••••• ••• L••••••

Former SEC-registered adviserDubai, CRD 163487SEC 801-77965IAPD
Latest filing Dec 24, 2019
First filing on the tape Apr 10, 2013 · 15 filings
RAUM
$3.6B
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
38
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$3.6B as of Dec 24, 2019
Dec 20, 2013$551M then
HNW client RAUM$0 as of Dec 24, 2019
Dec 22, 2017$0 then
State-registered IARs (5.B.3)0 as of Dec 24, 2019
Dec 20, 20130 then
Employees (5.A)38 as of Dec 24, 2019
Dec 20, 201318 then
Private funds1 as of Dec 22, 2017
Dec 20, 20131 then
RAUM +8.6% over the last fiscal year+40% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 24, 2019; 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
100%derivedof RAUM
Institutional
5.3%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
+8.6%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 companies, otherreportedItem 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$1.6B72%
  • Corporations and businesses$405M18%
  • Sovereign wealth funds$143M6.3%
  • Insurance companies$47.4M2.1%
  • Investment companies$44.9M2.0%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
n/areported
Charitable clients
0reported
Accounts
30reported
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
      F••••••• M•••••• E••••• ••••••• F•••• L•••no longer reportedHedge Fund$7.5M3Dec 20, 2013
      A•••• M••• F•••no longer reportedOther Private Fund$6.3M22Apr 10, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • K••••••• B•••••• N•• · Directorcontrol
        since 11/2015 · owns less than 5%
      • K••••••• M••••••••• N•••• · Directorcontrol
        since 11/2006 · owns less than 5%
      • K••••• V••••• M•••• · Chairmancontrol
        since 05/2009 · owns less than 5%
      • S••••• S••••••• N•• · Chief Executive Officer, Senior Executive Officer And Directorcontrol
        since 01/2017 · owns less than 5%
      • S••••••••• J••••••• N•• · Directorcontrol
        since 11/2015 · owns less than 5%
      • B••••••• N••••••• B••••••• · Company Secretary
        since 06/2012 · owns less than 5%
      • N••••• S••••• J•••• · Chief Compliance Officer
        since 09/2018 · owns less than 5%
      Entity owners
      • F••••••• T•••••••• C•••••• H••••••• P•••••• L•••••• · Parent Corporation Of Registrant
        direct · owns 75% or more
      • F••••••• R••••••••• I••• · Parent Corporation Of T•••••••• W••••••••• I•••
        indirect · owns 75% or more of T•••••••• W••••••••• I••• · public reporting company
      • T•••••••• I••••••••• I••• · Parent Corporation Of F••••••• T•••••••• C•••••• H••••••• P•••••• L••••••
        indirect · owns 75% or more of F••••••• T•••••••• C•••••• H••••••• P•••••• L••••••
      • T•••••••• W••••••••• I••• · Parent Corporation Of T•••••••• International, Inc.
        indirect · owns 75% or more of T•••••••• International, Inc.
      Related persons
      Schedule D 7.A
      Advisers that list F••••••• T•••••••• I••••••••• ••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 34 to 30
        Dec 26, 2018 to Dec 24, 2019
      • Advisory employees · 10 to 11
        Dec 26, 2018 to Dec 24, 2019
      • Corporate clients · 10 to 8
        Dec 26, 2018 to Dec 24, 2019
      • Pooled vehicle clients · 11 to 9
        Dec 26, 2018 to Dec 24, 2019
      • Employees · 39 to 38
        Dec 26, 2018 to Dec 24, 2019
      • Discretionary RAUM · $3.1B to $3.6B
        Dec 26, 2018 to Dec 24, 2019
      • Non-discretionary RAUM · $129M to $0
        Dec 26, 2018 to Dec 24, 2019
      • Pension RAUM · $440M to $0
        Dec 26, 2018 to Dec 24, 2019
      • Pooled vehicle RAUM · $1.4B to $1.6B
        Dec 26, 2018 to Dec 24, 2019
      • RAUM · $3.3B to $3.6B
        Dec 26, 2018 to Dec 24, 2019
      • Accounts · 27 to 34
        Nov 16, 2018 to Dec 26, 2018
      • Advisory activities · 1 to 4
        Nov 16, 2018 to Dec 26, 2018
      • Corporate clients · 6 to 10
        Nov 16, 2018 to Dec 26, 2018
      • Pension plan clients · 0.0 to unset
        Nov 16, 2018 to Dec 26, 2018
      • Pooled vehicle clients · 8 to 11
        Nov 16, 2018 to Dec 26, 2018
      • Employees · 37 to 39
        Nov 16, 2018 to Dec 26, 2018
      • Private funds · 1 to unset
        Nov 16, 2018 to Dec 26, 2018
      • Discretionary RAUM · $2.8B to $3.1B
        Nov 16, 2018 to Dec 26, 2018
      • Non-discretionary RAUM · $213M to $129M
        Nov 16, 2018 to Dec 26, 2018
      • Pension RAUM · $0 to $440M
        Nov 16, 2018 to Dec 26, 2018
      • Pooled vehicle RAUM · $1.3B to $1.4B
        Nov 16, 2018 to Dec 26, 2018
      • RAUM · $3.0B to $3.3B
        Nov 16, 2018 to Dec 26, 2018
      • Accounts · 20 to 27
        Mar 2, 2017 to Dec 22, 2017
      • Advisory employees · 8 to 10
        Mar 2, 2017 to Dec 22, 2017
      • Charity clients · unset to 0.0
        Mar 2, 2017 to Dec 22, 2017
      • Corporate clients · unset to 6.0
        Mar 2, 2017 to Dec 22, 2017
      • HNW clients · unset to 0.0
        Mar 2, 2017 to Dec 22, 2017
      • Individual clients · unset to 0.0
        Mar 2, 2017 to Dec 22, 2017
      • Pension plan clients · unset to 0.0
        Mar 2, 2017 to Dec 22, 2017
      • Pooled vehicle clients · unset to 8.0
        Mar 2, 2017 to Dec 22, 2017
      • Other offices · unset to 0.0
        Mar 2, 2017 to Dec 22, 2017
      • Private funds · unset to 1
        Mar 2, 2017 to Dec 22, 2017
      • Discretionary RAUM · $1.1B to $2.8B
        Mar 2, 2017 to Dec 22, 2017
      • HNW RAUM · unset to 0.0
        Mar 2, 2017 to Dec 22, 2017
      • Individual RAUM · unset to 0.0
        Mar 2, 2017 to Dec 22, 2017
      • Non-discretionary RAUM · $197M to $213M
        Mar 2, 2017 to Dec 22, 2017
      • Pension RAUM · unset to 0.0
        Mar 2, 2017 to Dec 22, 2017
      • Pooled vehicle RAUM · unset to 1325926444.0
        Mar 2, 2017 to Dec 22, 2017
      • RAUM · $1.3B to $3.0B
        Mar 2, 2017 to Dec 22, 2017
      • Accounts · 17 to 20
        Dec 18, 2015 to Dec 23, 2016
      Signals
      1 dated events
      • F••••••• T•••••••• I••••••••• ••• L•••••• filed its initial SEC registration (Form ADV)
        Apr 10, 2013 · 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