DFX Intelligence

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SEC-registered adviser

A••••••• S••••••• R••••••• S•••••••

No RAUM reportedLondon, CRD 164668SEC 801-77227website IAPD

Legal name A••••••• S••••••• R••••••• S•••••••• I••

Latest filing Mar 31, 2026

First filing on the tape Oct 2, 2012 · 19 filings

SEC status approved since Oct 12, 2012

RAUM

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

12 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

19 filings and snapshots on the tape

RAUM$0 as of Mar 31, 2026

Mar 31, 2025$0 then

HNW client RAUM: no history

State-registered IARs (5.B.3)0 as of Mar 31, 2026

Mar 8, 20130 then

Employees (5.A)24 as of Mar 31, 2026

Mar 8, 201317 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Mar 31, 2026; 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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived2 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: fixed fees, subscription, otherreportedItem 5.E
Advisory activities: publications, 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

buys or sells securities as principal to or from clients (8.A.2)
marketing includes hypothetical performance (5.L.3)

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: 0reported
HNW clients: n/areported
Pension plan clients: 0reported
Charitable clients: 0reported
Accounts: 0reported
Financial planning clients: reported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: fixedreported
Class basis: private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

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 departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

B•••••• D••••• P••••• · Director, Presidentcontrol
since 12/2009 · owns less than 5%
H••••••• I••• R•••••• · Director, Treasurercontrol
since 12/2009 · owns less than 5%
M•••••• J••••••• A••••• · Secretary, Chief Compliance Officercontrol
since 04/2020 · owns less than 5%
B•••••• D••••• P••••• · Partnercontrol
since 03/2006 · owns 25% to 50% of A••••••• S••••••• R•••••••• L•••
H••••••• I••• R•••••• · Partnercontrol
since 03/2006 · owns 25% to 50% of A••••••• S••••••• R•••••••• L•••

Entity owners

A••••••• S••••••• R•••••••• L••• · Shareholder
direct · owns 75% or more

Related persons

Schedule D 7.A

A••••••• S••••••• R•••••••• L••
investment advisery

Offices

Schedule D 1.F, the 25 largest

Darien, CT3 employees

What changed

consecutive filings, newest first

Advisory employees · 15 to 12
Mar 31, 2025 to Mar 31, 2026
Advisory activities · 3 to 2
Mar 31, 2025 to Mar 31, 2026
Employees · 21 to 24
Mar 31, 2025 to Mar 31, 2026
Accounts · unset to 0.0
Mar 29, 2024 to Mar 31, 2025
Advisory activities · 2 to 3
Mar 29, 2024 to Mar 31, 2025
HNW clients · 0.0 to unset
Mar 29, 2024 to Mar 31, 2025
Individual clients · unset to 0.0
Mar 29, 2024 to Mar 31, 2025
Employees · 35 to 21
Mar 29, 2024 to Mar 31, 2025
Financial planning clients · unset to
Mar 29, 2024 to Mar 31, 2025
HQ state · unset to
Mar 29, 2024 to Mar 31, 2025
Discretionary RAUM · unset to 0.0
Mar 29, 2024 to Mar 31, 2025
Non-discretionary RAUM · unset to 0.0
Mar 29, 2024 to Mar 31, 2025
RAUM · unset to 0.0
Mar 29, 2024 to Mar 31, 2025
Advisory employees · 14 to 15
Mar 31, 2022 to Mar 31, 2023
Individual clients · 0.0 to unset
Mar 31, 2022 to Mar 31, 2023
Employees · 30 to 35
Mar 31, 2022 to Mar 31, 2023
Charity clients · unset to 0.0
Mar 28, 2017 to Apr 11, 2018
Corporate clients · unset to 0.0
Mar 28, 2017 to Apr 11, 2018
HNW clients · unset to 0.0
Mar 28, 2017 to Apr 11, 2018
Individual clients · unset to 0.0
Mar 28, 2017 to Apr 11, 2018
Pension plan clients · unset to 0.0
Mar 28, 2017 to Apr 11, 2018
Pooled vehicle clients · unset to 0.0
Mar 28, 2017 to Apr 11, 2018
Other offices · unset to 1.0
Mar 28, 2017 to Apr 11, 2018
Advisory employees · 13 to 14
May 31, 2016 to Mar 28, 2017
Employees · 21 to 30
May 31, 2016 to Mar 28, 2017
Employees · 19 to 21
Nov 3, 2015 to May 31, 2016
Advisory employees · 11 to 13
May 29, 2014 to Mar 31, 2015
Employees · 17 to 19
Mar 8, 2013 to Mar 5, 2014
Advisory employees · unset to 11.0
Oct 2, 2012 to Mar 8, 2013
BD registered reps · unset to 0.0
Oct 2, 2012 to Mar 8, 2013
Employees · unset to 17.0
Oct 2, 2012 to Mar 8, 2013
State-registered IARs · unset to 0.0
Oct 2, 2012 to Mar 8, 2013

Signals

3 dated events

Leeper Sarah Franks (Secretary, Chief Compliance Officer) no longer on Schedule A of A••••••• S••••••• R••••••• S••••••• (listed 2020-03-30, absent 2020-05-14)
May 14, 2020 · Control person left · inference
Andrew Jeffrey Marine (Secretary, Chief Compliance Officer) appeared on Schedule A of A••••••• S••••••• R••••••• S•••••••
May 14, 2020 · Control person joined · fact
A••••••• S••••••• R••••••• S••••••• filed its initial SEC registration (Form ADV)
Oct 2, 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.

How to reach

public business contact points only, each with its source

Website: a•••••••••.comreportedpublic record, Form ADV, Mar 31, 2026
Principal office phone: +44 20 7073 0730reportedpublic record, Form ADV, Mar 31, 2026

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: No RAUM reportedderiveda 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