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

A••• I••••••••• L••••••

Former SEC-registered adviserLondon, CRD 165090SEC 801-106595IAPD
Latest filing Sep 30, 2021
First filing on the tape Aug 24, 2015 · 14 filings
RAUM
$1.4B
reported, Item 5.F
Discretionary
83%
of RAUM
Private clients
46%
$642M 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
14 filings and snapshots on the tape
RAUM$1.4B as of Apr 1, 2021
Jun 30, 2016$1.3B then
HNW client RAUM$642M as of Apr 1, 2021
Jul 2, 2018$1.4B then
State-registered IARs (5.B.3)0 as of Apr 1, 2021
Jun 30, 20160 then
Employees (5.A)12 as of Apr 1, 2021
Jun 30, 201645 then
Private funds: no history
RAUM -42% over the last fiscal year-1.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 30, 2021; 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
$5.4MderivedHNW RAUM over HNW clients
Average account
$6.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
83%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
-42%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-12%derived
Compensation
percentage of assets, performance-based, commissionsreportedItem 5.E
Advisory activities
portfolio management for individuals, 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
  • is a broker-dealer (6.A.1)
  • 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)
  • 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
  • High-net-worth individuals$642M54%
  • Pooled investment vehicles$533M45%
  • Corporations and businesses$4.9M0.4%
Individual clients
0reported
HNW clients
119reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
231reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performance, commissionsreported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B••••• A•••••• W•••••• · Chief Compliance Officercontrol
        since 05/2019 · owns less than 5%
      • C••••• I••• M••• · Directorcontrol
        since 12/2018 · owns less than 5%
      • E•••••• D••••• M•••••• · Directorcontrol
        since 05/2021 · owns less than 5%
      • H•••• M••••••• J•••• · Directorcontrol
        since 05/2021 · owns less than 5%
      • H••••• A••••••••• J••• · Directorcontrol
        since 12/2018 · owns less than 5%
      Entity owners
      • U•••• B••••••• P••••• U•• S••• · Shareholder
        direct · owns 75% or more
      • C•• H••••••• S••• · Shareholder
        indirect · owns 75% or more of U•••• B••••••• P••••• U•• S•••
      • H• D• P• ••••••• D• P••••••••• · Shareholder
        indirect · owns 50% to 75% of C•• H••••••• S•••
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 326 to 231
        Jun 26, 2020 to Apr 1, 2021
      • HNW clients · 133 to 119
        Jun 26, 2020 to Apr 1, 2021
      • Individual clients · 2 to 0
        Jun 26, 2020 to Apr 1, 2021
      • Pooled vehicle clients · 74 to 42
        Jun 26, 2020 to Apr 1, 2021
      • Discretionary RAUM · $1.9B to $1.2B
        Jun 26, 2020 to Apr 1, 2021
      • HNW RAUM · $943M to $642M
        Jun 26, 2020 to Apr 1, 2021
      • Individual RAUM · $860,706 to $0
        Jun 26, 2020 to Apr 1, 2021
      • Non-discretionary RAUM · $485M to $242M
        Jun 26, 2020 to Apr 1, 2021
      • Pooled vehicle RAUM · $1.3B to $533M
        Jun 26, 2020 to Apr 1, 2021
      • RAUM · $2.4B to $1.4B
        Jun 26, 2020 to Apr 1, 2021
      • Accounts · 366 to 326
        May 24, 2019 to Feb 28, 2020
      • Advisory employees · 13 to 11
        May 24, 2019 to Feb 28, 2020
      • Corporate clients · 4 to 3
        May 24, 2019 to Feb 28, 2020
      • HNW clients · 176 to 133
        May 24, 2019 to Feb 28, 2020
      • Pooled vehicle clients · 83 to 74
        May 24, 2019 to Feb 28, 2020
      • Employees · 13 to 12
        May 24, 2019 to Feb 28, 2020
      • Discretionary RAUM · $2.1B to $1.9B
        May 24, 2019 to Feb 28, 2020
      • HNW RAUM · $1.0B to $943M
        May 24, 2019 to Feb 28, 2020
      • Individual RAUM · $854,020 to $860,706
        May 24, 2019 to Feb 28, 2020
      • Non-discretionary RAUM · $617M to $485M
        May 24, 2019 to Feb 28, 2020
      • Pooled vehicle RAUM · $1.3B to $1.3B
        May 24, 2019 to Feb 28, 2020
      • RAUM · $2.7B to $2.4B
        May 24, 2019 to Feb 28, 2020
      • Accounts · 420 to 366
        Jan 14, 2019 to May 24, 2019
      • Advisory employees · 12 to 13
        Jan 14, 2019 to May 24, 2019
      • HNW clients · 180 to 176
        Jan 14, 2019 to May 24, 2019
      • Individual clients · 4 to 2
        Jan 14, 2019 to May 24, 2019
      • Pooled vehicle clients · 114 to 83
        Jan 14, 2019 to May 24, 2019
      • Employees · 12 to 13
        Jan 14, 2019 to May 24, 2019
      • Discretionary RAUM · $2.6B to $2.1B
        Jan 14, 2019 to May 24, 2019
      • HNW RAUM · $1.4B to $1.0B
        Jan 14, 2019 to May 24, 2019
      • Individual RAUM · $759,148 to $854,020
        Jan 14, 2019 to May 24, 2019
      • Non-discretionary RAUM · $899M to $617M
        Jan 14, 2019 to May 24, 2019
      • Pooled vehicle RAUM · $1.8B to $1.3B
        Jan 14, 2019 to May 24, 2019
      • RAUM · $3.5B to $2.7B
        Jan 14, 2019 to May 24, 2019
      • Accounts · 416 to 420
        Jul 27, 2018 to Jan 10, 2019
      • Advisory employees · 22 to 12
        Jul 27, 2018 to Jan 10, 2019
      • Corporate clients · 1 to 4
        Jul 27, 2018 to Jan 10, 2019
      • HNW clients · 151 to 180
        Jul 27, 2018 to Jan 10, 2019
      • Individual clients · 11 to 4
        Jul 27, 2018 to Jan 10, 2019
      • Pooled vehicle clients · 99 to 114
        Jul 27, 2018 to Jan 10, 2019
      Signals
      15 dated events
      • Matthew David Easton (Director) appeared on Schedule A of A••• I••••••••• L••••••
        Sep 30, 2021 · Control person joined · fact
      • James Michael Hall (Director) appeared on Schedule A of A••• I••••••••• L••••••
        Sep 30, 2021 · Control person joined · fact
      • Attilio Daniel Pasini (Director, Chief Operating Officer) no longer on Schedule A of A••• I••••••••• L•••••• (listed 2021-04-01, absent 2021-09-30)
        Sep 30, 2021 · Control person left · inference
      • William Brett Lankester (Chief Executive Officer) no longer on Schedule A of A••• I••••••••• L•••••• (listed 2021-04-01, absent 2021-09-30)
        Sep 30, 2021 · Control person left · inference
      • A••• I••••••••• L•••••• reported RAUM $1.4B, down 42% from $2.4B (2020-06-26 to 2021-04-01)
        Apr 1, 2021 · RAUM change · derived
      • David Cowley (Chief Compliance Officer) no longer on Schedule A of A••• I••••••••• L•••••• (listed 2019-01-14, absent 2019-05-24)
        May 24, 2019 · Control person left · inference
      • Wallace Andrew Banks (Chief Compliance Officer) appeared on Schedule A of A••• I••••••••• L••••••
        May 24, 2019 · Control person joined · fact
      • Mark Ian Cramb (Director) appeared on Schedule A of A••• I••••••••• L••••••
        Jan 10, 2019 · Control person joined · fact
      • Jane Alexandra Heath (Director) appeared on Schedule A of A••• I••••••••• L••••••
        Jan 10, 2019 · Control person joined · fact
      • Charles Daniel Wyler (Director) no longer on Schedule A of A••• I••••••••• L•••••• (listed 2018-07-27, absent 2019-01-10)
        Jan 10, 2019 · Control person left · inference
      • Robert David Pirouet (Director) no longer on Schedule A of A••• I••••••••• L•••••• (listed 2018-07-27, absent 2019-01-10)
        Jan 10, 2019 · Control person left · inference
      • Lewis Minkler Aaron Dunlop (Director, Chief Financial Officer) no longer on Schedule A of A••• I••••••••• L•••••• (listed 2018-07-27, absent 2019-01-10)
        Jan 10, 2019 · Control person left · inference
      • Alok Oberoi (Director And Shareholder) no longer on Schedule A of A••• I••••••••• L•••••• (listed 2018-07-27, absent 2019-01-10)
        Jan 10, 2019 · Control person left · inference
      • A••• I••••••••• L•••••• reported RAUM $3.6B, up 140% from $1.5B (2017-06-30 to 2018-07-02)
        Jul 2, 2018 · RAUM change · derived
      • A••• I••••••••• L•••••• filed its initial SEC registration (Form ADV)
        Aug 24, 2015 · 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