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

R•••• G••••• I•••••••• L••

Former SEC-registered adviserLondon, CRD 165028SEC 801-76988websiteIAPD
Latest filing Dec 24, 2024
First filing on the tape Jul 30, 2012 · 31 filings
SEC status approved since Aug 14, 2012
RAUM
$2.7B
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
12
11 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$2.7B as of Dec 24, 2024
May 30, 2013$3.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 24, 2024
May 30, 20130 then
Employees (5.A)12 as of Dec 24, 2024
May 30, 201318 then
Private funds1 as of Jun 29, 2022
Jun 30, 20201 then
RAUM +8.7% over the last fiscal year-25% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 24, 2024; 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
$124MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
8.9%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
+8.7%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-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$2.0B74%
  • Other investment advisers$473M17%
  • Pension and profit-sharing plans$242M8.9%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
2reported
Charitable clients
n/areported
Accounts
22reported
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
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      R•••• A•• M••••••••• I••••••••• H••• A•••• F•••no longer reportedOther Private Fund$00Jun 30, 2020
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• G•••••• H••• · Chief Compliance Officer
        since 12/2022 · owns less than 5%
      Entity owners
      • R•••• G••••• H••••••• L•••••• · Corporate Member
        direct · owns 75% or more
      • A•••••• P•• · Indirect Owner
        indirect · owns 75% or more of R•••• G••••• H••••••• L••••••
      Related persons
      Schedule D 7.A
      • S•• A•••• M••••••••• L••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 12 to 11
        Aug 21, 2024 to Dec 24, 2024
      • Employees · 13 to 12
        Aug 21, 2024 to Dec 24, 2024
      • Accounts · 15 to 22
        Dec 22, 2023 to Jun 28, 2024
      • Advisory employees · 13 to 12
        Dec 22, 2023 to Jun 28, 2024
      • Business name · R•••• A•• M••••••••• A•••• M••••••••• L•• to R•••• G••••• I•••••••• L••
        Dec 22, 2023 to Jun 28, 2024
      • Pooled vehicle clients · 12 to 14
        Dec 22, 2023 to Jun 28, 2024
      • Employees · 15 to 13
        Dec 22, 2023 to Jun 28, 2024
      • Legal name · R•••• A•• M••••••••• A•••• M••••••••• L•• to R•••• G••••• I•••••••• L••
        Dec 22, 2023 to Jun 28, 2024
      • Discretionary RAUM · $2.5B to $2.7B
        Dec 22, 2023 to Jun 28, 2024
      • Pension RAUM · $342M to $242M
        Dec 22, 2023 to Jun 28, 2024
      • Pooled vehicle RAUM · $2.0B to $2.0B
        Dec 22, 2023 to Jun 28, 2024
      • RAUM · $2.5B to $2.7B
        Dec 22, 2023 to Jun 28, 2024
      • Accounts · 17 to 15
        Dec 5, 2022 to Jun 30, 2023
      • Advisory employees · 11 to 13
        Dec 5, 2022 to Jun 30, 2023
      • Pension plan clients · 4 to 2
        Dec 5, 2022 to Jun 30, 2023
      • Private funds · 1 to unset
        Dec 5, 2022 to Jun 30, 2023
      • Discretionary RAUM · $2.3B to $2.5B
        Dec 5, 2022 to Jun 30, 2023
      • Pension RAUM · $445M to $342M
        Dec 5, 2022 to Jun 30, 2023
      • Pooled vehicle RAUM · $1.7B to $2.0B
        Dec 5, 2022 to Jun 30, 2023
      • RAUM · $2.3B to $2.5B
        Dec 5, 2022 to Jun 30, 2023
      • Accounts · 18 to 17
        Jun 29, 2022 to Dec 2, 2022
      • Charity clients · 2.0 to unset
        Jun 29, 2022 to Dec 2, 2022
      • Pension plan clients · 5 to 4
        Jun 29, 2022 to Dec 2, 2022
      • Pooled vehicle clients · 10 to 12
        Jun 29, 2022 to Dec 2, 2022
      • Employees · 41 to 15
        Jun 29, 2022 to Dec 2, 2022
      • Discretionary RAUM · $3.8B to $2.3B
        Jun 29, 2022 to Dec 2, 2022
      • Pension RAUM · $820M to $445M
        Jun 29, 2022 to Dec 2, 2022
      • Pooled vehicle RAUM · $2.6B to $1.7B
        Jun 29, 2022 to Dec 2, 2022
      • RAUM · $3.8B to $2.3B
        Jun 29, 2022 to Dec 2, 2022
      • Related bank · true to false
        Jun 29, 2022 to Dec 2, 2022
      • Pooled vehicle RAUM · $2.2B to $2.6B
        Jun 30, 2021 to Jun 29, 2022
      • RAUM · $6.5B to $3.8B
        Jun 30, 2021 to Jun 29, 2022
      • Accounts · 30 to 18
        Jun 30, 2021 to Jun 29, 2022
      • Advisory employees · 12 to 11
        Jun 30, 2021 to Jun 29, 2022
      • Charity clients · unset to 2.0
        Jun 30, 2021 to Jun 29, 2022
      • Pension plan clients · 11 to 5
        Jun 30, 2021 to Jun 29, 2022
      • Pooled vehicle clients · 11 to 10
        Jun 30, 2021 to Jun 29, 2022
      • Employees · 50 to 41
        Jun 30, 2021 to Jun 29, 2022
      • Discretionary RAUM · $6.5B to $3.8B
        Jun 30, 2021 to Jun 29, 2022
      • Pension RAUM · $2.5B to $820M
        Jun 30, 2021 to Jun 29, 2022
      Signals
      7 dated events
      • R•••• G••••• I•••••••• L•• no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $2.7B)
        May 2, 2025 · Left the SEC roster · derived
      • R•••• G••••• I•••••••• L•• reported RAUM $2.3B, down 39% from $3.8B (2022-06-29 to 2022-12-02)
        Dec 2, 2022 · RAUM change · derived
      • R•••• G••••• I•••••••• L•• reported RAUM $3.8B, down 42% from $6.5B (2021-06-30 to 2022-06-29)
        Jun 29, 2022 · RAUM change · derived
      • R•••• G••••• I•••••••• L•• reported RAUM $6.5B, up 41% from $4.6B (2020-07-29 to 2021-06-30)
        Jun 30, 2021 · RAUM change · derived
      • R•••• G••••• I•••••••• L•• reported RAUM $4.6B, down 27% from $6.3B (2019-06-27 to 2020-06-30)
        Jun 30, 2020 · RAUM change · derived
      • R•••• G••••• I•••••••• L•• reported RAUM $5.7B, up 39% from $4.1B (2018-03-26 to 2018-06-15)
        Jun 15, 2018 · RAUM change · derived
      • R•••• A•• M••••••••• A•••• M••••••••• L•• filed its initial SEC registration (Form ADV)
        Jul 30, 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.
      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