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

O•••••••• C•••••• M••••••••• L••

Former SEC-registered adviserLondon, CRD 163622SEC 801-79391IAPD
Latest filing Jul 11, 2023
First filing on the tape Mar 13, 2014 · 20 filings
RAUM
$800M
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
13
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$690M gross assets
History
20 filings and snapshots on the tape
RAUM$800M as of Jun 23, 2023
Aug 5, 2014$1.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 23, 2023
Aug 5, 20140 then
Employees (5.A)13 as of Jun 23, 2023
Aug 5, 201415 then
Private funds5 as of Jun 23, 2023
Aug 5, 20141 then
RAUM +3.7% over the last fiscal year-20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 11, 2023; 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
$57.1MderivedRAUM 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
+3.7%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-based, otherreportedItem 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
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)
  • 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$800M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
14reported
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
      9 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      O•••••••• O••••••••• M••••• F•••no longer reportedHedge Fund$3.6B104Mar 28, 2012
      O•••••••• O••••••••• M••••• F•••Hedge Fund$486M62Aug 5, 2014
      O•••••••• E••••••• F•••••••• S••••• O••••••••• F••• L•••no longer reportedHedge Fund$249M8Aug 28, 2015
      O•••••••• E••••••• F•••••••• S••••• O••••••••• F•••no longer reportedHedge Fund$210M16Mar 13, 2018
      O•••••••• I••••••••• S•• A••••• F•• A•• O• B••••• O• R•• S••••••••• P••••••••Hedge Fund$102M3Jun 29, 2018
      O•••••••• I••••••••• M••••• S•• A••••• F•• A•• O• B••••• O• O•••••••• N••••• S••• M••••• S••••••••• P••••••••Private Equity Fund$50.3M8Feb 15, 2019
      O•••••••• E••••••• F•••••••• S••••• O••••••••• M••••• F•••Hedge Fund$39.5M9Mar 1, 2018
      O•••••••• E••••••• F••••••••• C•••••• S•••••••• O••••••••• M••••• F•••no longer reportedHedge Fund$37.1M8Nov 14, 2019
      O•••••••• I••••••••• M••••• S•• A••••• F•• A•• O• B••••• O• O•••••••• N••••• S••• M••••• S••••••••• P•••••••• I•Private Equity Fund$12.2M2Nov 14, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• A•••••• A•••••••• R••• · Membercontrol
        since 06/2020 · owns 5% to 10%
      • C•••••• J•••• J••••• · Membercontrol
        since 04/2013 · owns 10% to 25%
      • D•••• A•••••• C•••••• · Membercontrol
        since 06/2020 · owns 5% to 10%
      • G••••••••• J•••••• P•••••• · Membercontrol
        since 03/2009 · owns 10% to 25%
      • M••••••• J•••• G••••• · Membercontrol
        since 06/2020 · owns 5% to 10%
      • S••••••• T•••• A••••••••• · Membercontrol
        since 07/2021 · owns 5% to 10%
      • S••••••• S•••• · Chief Compliance Officercontrol
        since 04/2023 · owns less than 5%
      • T•••••• M••••••• J••••• · Designated Membercontrol
        since 05/2020 · owns 10% to 25%
      • V••••••• J•••••••• D•••• · Membercontrol
        since 01/2019 · owns 5% to 10%
      Entity owners
      • O•••••••• C•••••• S••••••• L•••••• · Corporate Member
        direct · owns 10% to 25%
      • A••• F•••••••• S••••••• ••••• C••••••• L•••••• · Trustee
        indirect · owns F of L•••••• P•••••• P•••
      • L•••••• P•••••• P••• · Discretionary Trust
        indirect · owns 75% or more of O•••••••• H••••••• L••••••
      • O•••••••• H••••••• L•••••• · Holding Company
        indirect · owns 75% or more of O•••••••• C•••••• S••••••• L••••••
      Related persons
      Schedule D 7.A
      • O•••••••• C•••••• A••••••• L••••••
        investment advisern
      • O•••••••• G•••••• P•••••• L••
        pooled vehicle sponsorn
      Advisers that list O•••••••• C•••••• M••••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 10 to 8
        Jan 27, 2023 to Jun 23, 2023
      • Employees · 17 to 13
        Jan 27, 2023 to Jun 23, 2023
      • Discretionary RAUM · $771M to $800M
        Jan 27, 2023 to Jun 23, 2023
      • Pooled vehicle RAUM · $771M to $800M
        Jan 27, 2023 to Jun 23, 2023
      • RAUM · $771M to $800M
        Jan 27, 2023 to Jun 23, 2023
      • Advisory employees · 7 to 10
        Jun 29, 2021 to May 26, 2022
      • Employees · 13 to 17
        Jun 29, 2021 to May 26, 2022
      • Private funds · 6 to 5
        Jun 29, 2021 to May 26, 2022
      • Discretionary RAUM · $1.1B to $771M
        Jun 29, 2021 to May 26, 2022
      • Pooled vehicle RAUM · $1.1B to $771M
        Jun 29, 2021 to May 26, 2022
      • RAUM · $1.1B to $771M
        Jun 29, 2021 to May 26, 2022
      • Related bank · true to false
        Jun 29, 2021 to May 26, 2022
      • Accounts · 13 to 14
        Jun 26, 2020 to Jun 29, 2021
      • Pooled vehicle clients · 13 to 14
        Jun 26, 2020 to Jun 29, 2021
      • Employees · 11 to 13
        Jun 26, 2020 to Jun 29, 2021
      • Discretionary RAUM · $1.6B to $1.1B
        Jun 26, 2020 to Jun 29, 2021
      • Pooled vehicle RAUM · $1.6B to $1.1B
        Jun 26, 2020 to Jun 29, 2021
      • RAUM · $1.6B to $1.1B
        Jun 26, 2020 to Jun 29, 2021
      • Accounts · 11 to 13
        Jun 28, 2019 to Jun 26, 2020
      • Advisory employees · 11 to 7
        Jun 28, 2019 to Jun 26, 2020
      • Pooled vehicle clients · 11 to 13
        Jun 28, 2019 to Jun 26, 2020
      • Employees · 16 to 11
        Jun 28, 2019 to Jun 26, 2020
      • Private funds · unset to 6
        Jun 28, 2019 to Jun 26, 2020
      • Discretionary RAUM · $2.6B to $1.6B
        Jun 28, 2019 to Jun 26, 2020
      • Pooled vehicle RAUM · $2.6B to $1.6B
        Jun 28, 2019 to Jun 26, 2020
      • RAUM · $2.6B to $1.6B
        Jun 28, 2019 to Jun 26, 2020
      • Accounts · 9 to 11
        Feb 15, 2019 to Jun 28, 2019
      • Advisory employees · 10 to 11
        Feb 15, 2019 to Jun 28, 2019
      • Pooled vehicle clients · 9 to 11
        Feb 15, 2019 to Jun 28, 2019
      • Private funds · 7 to unset
        Feb 15, 2019 to Jun 28, 2019
      • Discretionary RAUM · $3.9B to $2.6B
        Feb 15, 2019 to Jun 28, 2019
      • Pooled vehicle RAUM · $3.9B to $2.6B
        Feb 15, 2019 to Jun 28, 2019
      • RAUM · $3.9B to $2.6B
        Feb 15, 2019 to Jun 28, 2019
      • Private funds · 6 to 7
        Jun 29, 2018 to Feb 15, 2019
      • Accounts · 7 to 9
        Mar 13, 2018 to Jun 29, 2018
      • Advisory employees · 12 to 10
        Mar 13, 2018 to Jun 29, 2018
      • Advisory activities · 2 to 1
        Mar 13, 2018 to Jun 29, 2018
      • Pooled vehicle clients · 7 to 9
        Mar 13, 2018 to Jun 29, 2018
      • Employees · 18 to 16
        Mar 13, 2018 to Jun 29, 2018
      • Private funds · 4 to 6
        Mar 13, 2018 to Jun 29, 2018
      Signals
      18 dated events
      • S•••• S•••••• (Chief Compliance Officer) appeared on Schedule A of O•••••••• C•••••• M••••••••• L••
        Jun 23, 2023 · Control person joined · fact
      • J••• R•••••• T•••• (Designated Member, Chief Compliance Officer) no longer on Schedule A of O•••••••• C•••••• M••••••••• L•• (listed 2022-05-26, absent 2023-01-27)
        Jan 27, 2023 · Control person left · inference
      • O•••••••• C•••••• M••••••••• L•• reported RAUM $771.4M, down 30% from $1.1B (2021-06-29 to 2022-05-26)
        May 26, 2022 · RAUM change · derived
      • David A••••• Waugh (Member) no longer on Schedule A of O•••••••• C•••••• M••••••••• L•• (listed 2021-06-29, absent 2022-05-26)
        May 26, 2022 · Control person left · inference
      • A••••••••• T••• S•••••• (Member) appeared on Schedule A of O•••••••• C•••••• M••••••••• L••
        May 26, 2022 · Control person joined · fact
      • Alexander Ross A••••• Baker (Member) appeared on Schedule A of O•••••••• C•••••• M••••••••• L••
        May 26, 2022 · Control person joined · fact
      • C•••••• A••••• D••• (Member) appeared on Schedule A of O•••••••• C•••••• M••••••••• L••
        May 26, 2022 · Control person joined · fact
      • G••••• J••• M•••••• (Member) appeared on Schedule A of O•••••••• C•••••• M••••••••• L••
        May 26, 2022 · Control person joined · fact
      • O•••••••• C•••••• M••••••••• L•• reported RAUM $1.1B, down 30% from $1.6B (2020-06-26 to 2021-06-29)
        Jun 29, 2021 · RAUM change · derived
      • O•••••••• C•••••• M••••••••• L•• reported RAUM $1.6B, down 39% from $2.6B (2019-06-28 to 2020-06-26)
        Jun 26, 2020 · RAUM change · derived
      • David A••••• Waugh (Member) appeared on Schedule A of O•••••••• C•••••• M••••••••• L••
        Jun 26, 2020 · Control person joined · fact
      • J••••• M•••••• T••••• (Member) appeared on Schedule A of O•••••••• C•••••• M••••••••• L••
        Jun 26, 2020 · Control person joined · fact
      • O•••••••• C•••••• M••••••••• L•• reported RAUM $2.6B, down 34% from $3.9B (2019-02-15 to 2019-06-28)
        Jun 28, 2019 · RAUM change · derived
      • David Vaamonde Juanatey (Member) appeared on Schedule A of O•••••••• C•••••• M••••••••• L••
        Feb 15, 2019 · Control person joined · fact
      • Reginald Christopher Gate (Designated Member) no longer on Schedule A of O•••••••• C•••••• M••••••••• L•• (listed 2018-06-29, absent 2019-02-15)
        Feb 15, 2019 · Control person left · inference
      • J Luke Lynch (Designated Member) no longer on Schedule A of O•••••••• C•••••• M••••••••• L•• (listed 2018-06-29, absent 2019-02-15)
        Feb 15, 2019 · Control person left · inference
      • J••••• M•••••• T••••• (Designated Member) no longer on Schedule A of O•••••••• C•••••• M••••••••• L•• (listed 2018-06-29, absent 2019-02-15)
        Feb 15, 2019 · Control person left · inference
      • O•••••••• C•••••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Mar 13, 2014 · First SEC registration · 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