DFX Intelligence

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S•••••• A•••• M••••••••• L••••••

Asset manager (funds and pooled vehicles)SEC-registered2 private funds· St. Peter Portwebsite

Asset manager (funds and pooled vehicles), based in St. Peter Port, reporting $4.0B of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

As of 2026-06-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Regulatory AUM: $4.0B
Advisors: 0
RAUM change, 1 year: +42%
Private clients: 0.0%

See where advisers went See teams that moved

Advisors Where the RAUM sits

As of 2026-06-30 · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

What matters now

4 changes
ownership and control
2 control persons joined and 2 left Schedule A in the last 12 months.
A change of owner or control is when advisors reconsider where they sit and when an acquirer's retention is tested.
FactForm ADV Schedule A and Item 4For Recruiters, acquirersOwnership →
+42.1%
RAUM, one year
RAUM $2.78B to $3.96B (+42.1%) on the Form ADV filed 30 Jun 2026.
The one filed measure of whether clients are staying.
FactForm ADV Item 5History →

Every filed figure, and the identifiersCRD 164382 · SEC 801-76754 · 21 filingsShow

CRD 164382SEC 801-76754First filing on the tape May 29, 2012, latest Jun 30, 2026SEC status approved since Jun 11, 2012IAPD

RAUM

$4.0B

reported, Item 5.F

Discretionary

95%

of RAUM

Private clients

0.0%

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

Not computed

derived; firm RAUM over IAPD count

Employees

4 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

21 filings and snapshots on the tape

RAUM +16% a year over three years · the tape starts May 29, 2012

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow

RAUM$4.0B as of Jun 30, 2026

Jun 27, 2013$2.1B then

HNW client RAUM$1.2B as of Jun 29, 2021

Jun 29, 2018$1.3B then

State-registered IARs (5.B.3)0 as of Jun 30, 2026

Jun 27, 20130 then

Employees (5.A)14 as of Jun 30, 2026

Jun 27, 20137 then

Private funds2 as of Jun 30, 2026

Jun 27, 20132 then

RAUM +42% over the last fiscal year+16% a year over threeIARs 0 to 0

Practice profile

derived from the filing of Jun 30, 2026; every figure names its basis

The rule behind each archetype, and every derived figureShow

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: $19.8MderivedRAUM over accounts (5.F.2.f)
Discretionary: 95%derivedof RAUM
Institutional: 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year: +5.5%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
a related person has custody of client cash (9.B.1.a)
a related person has custody of client securities (9.B.1.b)
marketing includes hypothetical performance (5.L.3)

Where the RAUM sits

Form ADV Item 5.D, latest filing

85% pooled investment vehicles, 14% pension and profit-sharing plans, and 2 other client types

The breakdown by client type, and the client counts4 client typesShow

Pooled investment vehicles$2.7B85%
Pension and profit-sharing plans$435M14%
State and municipal entities$15.9M0.5%
Investment companies$722,0000.0%

Individual clients: n/areported
HNW clients: n/areported
Pension plan clients: 2reported
Charitable clients: n/areported
Accounts: 200reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: % of AUM, performancereported
Class basis: RAUM: 0% private clients, 67% pooled funds, 11% institutions; no related broker-dealer; no related bankderived

Advisor movement

Left, latest

none on the tape

Joined, latest

none on the tape

Every departure Every arrival

Advisors registered through the firm

0 on IAPD today; the longest tenured first

No representative is registered through this CRD on IAPD.

Private funds

7 reported on Schedule D 7.B.(1)

Fund	Type	Gross assets	Owners	First reported
S•••••• U•••••••• I• I••••••••• H••••••• I•••no longer reported	Hedge Fund	$548M	527	May 29, 2012
S•••••• Q••••••• I••••••••• H••••••• I•••no longer reported	Hedge Fund	$544M	550	May 29, 2012
S•••••• T•••••• P•••••••• I•••no longer reported	Hedge Fund	$389M	138	May 29, 2012
S•••••• U•••••••• I••••••••• H••••••• I•••no longer reported	Hedge Fund	$98.6M	370	Apr 30, 2013
S•••••• R• S•••••••• F••• I•	Hedge Fund	$76.6M	2	Jun 30, 2026

All 7 private fundslargest gross assets first

Fund	Type	Gross assets	Owners	First reported
S•••••• M•••• S•••••••• F••• I•	Hedge Fund	$75.1M	3	Aug 14, 2024
S•••••• G••••• I••••••••• H••••••• L••••••no longer reported	Hedge Fund	$19.1M	113	Jun 30, 2015

Owners and control persons

Schedule A and B, latest filing

A••••••• K••••• E••• · M••••• O• I••••••••• A••••••• C••••••••• S•••••• A••••••• P••control
since 06/1997 · owns less than 5%
B••••••••• G••••• · Ceo, S•••••• A•••• M••••••••• Groupcontrol
since 11/2016 · owns less than 5%
F•••••••• M••••••• H••• · Member Of Investment Committeecontrol
since 08/1994 · owns less than 5%
G•••••• R••••• I•••••• C•••••••• · Managing Director, Chief Operations Officer And Member Of Investment Committeecontrol
since 02/2013 · owns less than 5%
M•••••• R•••••• A••••• P•••• · Directorcontrol
since 06/1997 · owns less than 5%

All 11 control persons

W•••••• M••••••• Z••• · Shareholdercontrol
since 02/2022 · owns 25% to 50% of B•••••••• G•••• H••••••• L••••••
B•••• T••••••• K•••••• · M••••• O• I••••••••• A••••••• C••••••••• S•••••• A••••••• P••
since 02/2021 · owns less than 5%
B•••••• T••••• A••• · Chief Compliance Officer
since 02/2022 · owns less than 5%
B•••••• S••••• C•••••• · Member Of Investment Committee
since 12/2010 · owns less than 5%
P••••• R••••• R••••• · H••• O• O••••••••• R•••• S•••••• A••••••• P••
since 06/2020 · owns less than 5%
T•••••••• R••••• E•••• S••••• · Chief Legal Officer
since 02/2007 · owns less than 5%

Entity owners

S•••••• A•••• M••••••••• H••••••• L•••••• · Shareholder
direct · owns 75% or more
B•••••••• C•••••• 5• L•••••• · Shareholder
indirect · owns 75% or more of M••••••• C•••••• L••••••
B•••••••• C•••••• L•••••• · Shareholder
indirect · owns 75% or more of B•••••••• C•••••• 5• L••••••
B•••••••• F•••••• H••••••• L•••••• · Shareholder
indirect · owns 75% or more of B•••••••• C•••••• L••••••
B•••••••• G•••• H••••••• L•••••• · Shareholder
indirect · owns 75% or more of B•••••••• F•••••• H••••••• L••••••

All 12 entity owners

B•••••••• H••••••• L•••••• · Shareholder
indirect · owns 50% to 75% of S•••••• A•••• M••••••••• H••••••• L••••••
E••• F•••••••• A• A• T••••••• O• E•••• J•• T•••• · Trustee
indirect · owns F of E•••• J•• T••••
E••• F•••••••• A• A• T••••••• O• U• I••••••••• T•••• · Trustee
indirect · owns F of U• I••••••••• T••••
E•••• J•• T•••• · Shareholder
indirect · owns 75% or more of S•• G••••• L••••••
M••••••• C•••••• L•••••• · Shareholder
indirect · owns 25% to 50% of B•••••••• H••••••• L••••••
S•• G••••• L•••••• · Shareholder
indirect · owns 50% to 75% of S•••••• A•••• M••••••••• H••••••• L••••••
U• I••••••••• T•••• · Shareholder
indirect · owns 25% to 50% of B•••••••• G•••• H••••••• L••••••

Related persons

Schedule D 7.A

S••••• ••••••••• L••
investment advisery
S•••••• A••••••• P••
investment advisern
S•••••• L••
investment advisery
S•••••• M••••••••• S••••••• ••••• L••••••
investment advisern

Offices

Schedule D 1.F, the 25 largest

No branch office listed.

What changed

consecutive filings, newest first

Accounts · 204 to 200
Jun 30, 2025 to Jun 30, 2026
Pension plan clients · 3 to 2
Jun 30, 2025 to Jun 30, 2026
Employees · 11 to 14
Jun 30, 2025 to Jun 30, 2026
Private funds · 1 to 2
Jun 30, 2025 to Jun 30, 2026
Discretionary RAUM · $3.3B to $3.8B
Jun 30, 2025 to Jun 30, 2026

Full history · 80 changes

Non-discretionary RAUM · $95.9M to $201M
Jun 30, 2025 to Jun 30, 2026
Pension RAUM · $426M to $435M
Jun 30, 2025 to Jun 30, 2026
Pooled vehicle RAUM · $1.9B to $2.7B
Jun 30, 2025 to Jun 30, 2026
RAUM · $3.4B to $4.0B
Jun 30, 2025 to Jun 30, 2026
Accounts · 206 to 204
Aug 14, 2024 to Jun 30, 2025
Financial planning clients · unset to
Aug 14, 2024 to Jun 30, 2025
HQ state · unset to
Aug 14, 2024 to Jun 30, 2025
Private funds · 3 to 1
Aug 14, 2024 to Jun 30, 2025
Discretionary RAUM · $2.8B to $3.3B
Aug 14, 2024 to Jun 30, 2025
Non-discretionary RAUM · $89.3M to $95.9M
Aug 14, 2024 to Jun 30, 2025
Pension RAUM · $382M to $426M
Aug 14, 2024 to Jun 30, 2025
Pooled vehicle RAUM · $1.5B to $1.9B
Aug 14, 2024 to Jun 30, 2025
RAUM · $2.9B to $3.4B
Aug 14, 2024 to Jun 30, 2025
Private funds · 2 to 3
Jun 27, 2024 to Aug 14, 2024
Discretionary RAUM · $2.7B to $2.8B
Jun 29, 2023 to Jun 27, 2024
Non-discretionary RAUM · $99.0M to $89.3M
Jun 29, 2023 to Jun 27, 2024
Pension RAUM · $367M to $382M
Jun 29, 2023 to Jun 27, 2024
Pooled vehicle RAUM · $1.4B to $1.5B
Jun 29, 2023 to Jun 27, 2024
RAUM · $2.8B to $2.9B
Jun 29, 2023 to Jun 27, 2024
Accounts · 195 to 206
Jun 28, 2022 to Jun 29, 2023
Pension plan clients · 2 to 3
Jun 28, 2022 to Jun 29, 2023
Pooled vehicle clients · 6 to 7
Jun 28, 2022 to Jun 29, 2023
Employees · 9 to 11
Jun 28, 2022 to Jun 29, 2023
Discretionary RAUM · $2.6B to $2.7B
Jun 28, 2022 to Jun 29, 2023
Non-discretionary RAUM · $0 to $99.0M
Jun 28, 2022 to Jun 29, 2023
Pension RAUM · $277M to $367M
Jun 28, 2022 to Jun 29, 2023
Pooled vehicle RAUM · $1.1B to $1.4B
Jun 28, 2022 to Jun 29, 2023
RAUM · $2.6B to $2.8B
Jun 28, 2022 to Jun 29, 2023
Accounts · 141 to 195
Jun 29, 2021 to Jun 28, 2022
HNW clients · 104.0 to unset
Jun 29, 2021 to Jun 28, 2022
Employees · 8 to 9
Jun 29, 2021 to Jun 28, 2022
Private funds · 3 to 2
Jun 29, 2021 to Jun 28, 2022
Discretionary RAUM · $2.5B to $2.6B
Jun 29, 2021 to Jun 28, 2022
HNW RAUM · 1169000000.0 to unset
Jun 29, 2021 to Jun 28, 2022
Pension RAUM · $253M to $277M
Jun 29, 2021 to Jun 28, 2022
Pooled vehicle RAUM · $1.1B to $1.1B
Jun 29, 2021 to Jun 28, 2022
RAUM · $2.5B to $2.6B
Jun 29, 2021 to Jun 28, 2022
Business name · S•••••• A•••• M••••••••• I••• to S•••••• A•••• M••••••••• L••••••
Jan 29, 2021 to Jun 29, 2021
Legal name · S•••••• A•••• M••••••••• I••• to S•••••• A•••• M••••••••• L••••••
Jan 29, 2021 to Jun 29, 2021
Discretionary RAUM · $1.8B to $2.5B
Jan 29, 2021 to Jun 29, 2021
HNW RAUM · $966M to $1.2B
Jan 29, 2021 to Jun 29, 2021
Pension RAUM · $228M to $253M
Jan 29, 2021 to Jun 29, 2021
Pooled vehicle RAUM · $606M to $1.1B
Jan 29, 2021 to Jun 29, 2021
RAUM · $1.8B to $2.5B
Jan 29, 2021 to Jun 29, 2021
Accounts · 132 to 141
Jun 26, 2019 to Jun 29, 2020
Pension plan clients · 1 to 2
Jun 26, 2019 to Jun 29, 2020
Discretionary RAUM · $1.7B to $1.8B
Jun 26, 2019 to Jun 29, 2020
HNW RAUM · $854M to $966M
Jun 26, 2019 to Jun 29, 2020
Non-discretionary RAUM · $6.0M to $0
Jun 26, 2019 to Jun 29, 2020
Pension RAUM · $177M to $228M
Jun 26, 2019 to Jun 29, 2020
Pooled vehicle RAUM · $658M to $606M
Jun 26, 2019 to Jun 29, 2020
RAUM · $1.7B to $1.8B
Jun 26, 2019 to Jun 29, 2020
Accounts · 112 to 132
Jun 29, 2018 to Jun 26, 2019
Discretionary RAUM · $2.0B to $1.7B
Jun 29, 2018 to Jun 26, 2019
HNW RAUM · $1.3B to $854M
Jun 29, 2018 to Jun 26, 2019
Non-discretionary RAUM · $7.0M to $6.0M
Jun 29, 2018 to Jun 26, 2019
Pooled vehicle RAUM · $521M to $658M
Jun 29, 2018 to Jun 26, 2019
RAUM · $2.0B to $1.7B
Jun 29, 2018 to Jun 26, 2019
Accounts · 249 to 112
Jun 29, 2017 to Jun 29, 2018
HNW clients · unset to 104.0
Jun 29, 2017 to Jun 29, 2018
Pension plan clients · unset to 1.0
Jun 29, 2017 to Jun 29, 2018
Pooled vehicle clients · unset to 6.0
Jun 29, 2017 to Jun 29, 2018
Other offices · unset to 0.0
Jun 29, 2017 to Jun 29, 2018
Discretionary RAUM · $3.5B to $2.0B
Jun 29, 2017 to Jun 29, 2018
HNW RAUM · unset to 1274000000.0
Jun 29, 2017 to Jun 29, 2018
Non-discretionary RAUM · $158M to $7.0M
Jun 29, 2017 to Jun 29, 2018
Pension RAUM · unset to 177000000.0
Jun 29, 2017 to Jun 29, 2018
Pooled vehicle RAUM · unset to 521000000.0
Jun 29, 2017 to Jun 29, 2018
RAUM · $3.7B to $2.0B
Jun 29, 2017 to Jun 29, 2018
Accounts · 131 to 249
Jun 29, 2016 to Jun 29, 2017
Advisory employees · 2 to 4
Jun 29, 2016 to Jun 29, 2017
Employees · 6 to 8
Jun 29, 2016 to Jun 29, 2017
Discretionary RAUM · $3.3B to $3.5B
Jun 29, 2016 to Jun 29, 2017
Non-discretionary RAUM · $171M to $158M
Jun 29, 2016 to Jun 29, 2017
RAUM · $3.4B to $3.7B
Jun 29, 2016 to Jun 29, 2017

Signals

16 dated events

••• Locked
Jun 30, 2026 · Control person joined · fact
••• Locked
Jun 30, 2026 · ria principal change · derived
••• Locked
Jun 30, 2026 · ria principal change · fact
••• Locked
Jun 30, 2026 · Control person left · inference
••• Locked
Jun 30, 2026 · Control person left · inference

Full timeline · 16 events

••• Locked
Jun 30, 2026 · Control person joined · fact
••• Locked
Jun 30, 2026 · private fund first reported · fact
••• Locked
Jun 30, 2026 · private fund no longer reported · inference
••• Locked
Jun 30, 2026 · private fund no longer reported · inference
••• Locked
Jun 30, 2026 · ria private fund assets change · fact
••• Locked
Jun 30, 2026 · ria principal change · fact
••• Locked
Aug 14, 2024 · Control person joined · fact
••• Locked
Jun 28, 2022 · Control person left · inference
••• Locked
Jun 29, 2021 · RAUM change · derived
••• Locked
Jun 29, 2021 · Control person joined · fact
••• Locked
Jun 29, 2018 · RAUM change · derived

Across DFX

shared identifiers only, never a name match

No identifier-backed link to the venture, private equity, family office or sponsor graphs.

How to reach

public business contact points only, each with its source

Website: ••• Lockedreportedpublic record, Form ADV, Jun 30, 2026
Principal office phone: ••• Lockedreportedpublic record, Form ADV, Jun 30, 2026

Provenance

Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show

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: Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
RAUM per advisor: Not computedderivedfirm RAUM over the IAPD count; not a book size
Loaded: Sep 14, 2026

Not yet on record: net advisor flow, 12 months.