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•••• P••••••• L••••••

Former SEC-registered adviserSydney, Nsw, CRD 165751SEC 801-77723IAPD
Latest filing Jun 12, 2023
First filing on the tape Mar 1, 2013 · 39 filings
RAUM
$944M
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
23
9 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
$32.9M gross assets
History
39 filings and snapshots on the tape
RAUM$944M as of Mar 30, 2023
Sep 26, 2013$400M then
HNW client RAUM$30.1M as of Mar 30, 2020
Sep 28, 2018$28.7M then
State-registered IARs (5.B.3)0 as of Mar 30, 2023
Sep 26, 20130 then
Employees (5.A)23 as of Mar 30, 2023
Sep 26, 201310 then
Private funds1 as of Mar 30, 2023
Sep 26, 20131 then
RAUM -50% over the last fiscal year-24% a year over threeIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Jun 12, 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
$135MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-50%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 vehiclesreportedItem 5.G
Custody
$944M, 7 clientsreportedItem 9.A
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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$868M92%
  • Corporations and businesses$76.2M8.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$944M for 7 clientsreported
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
      V•• P••••••• O••••••• M••••• F•••Hedge Fund$32.9M20Mar 1, 2013
      Owners and control persons
      Schedule A and B, latest filing
      • G•••••• I•• M••• · Executive Directorcontrol
        since 06/2022 · owns less than 5%
      • L••• K••••••• · General Counsel / Joint Company Secretarycontrol
        since 06/2022 · owns less than 5%
      • O•••••••• B•••••• J••• · Chief Executive Officer / Directorcontrol
        since 06/2022 · owns less than 5%
      • G•••• D••••• A•••• · Membercontrol
        since 04/2022 · owns 25% to 50% of F•••• F•••••••• L••••••
      • K•••• A•••••• R••••• V••••• · Membercontrol
        since 04/2022 · owns 25% to 50% of F•••• F•••••••• L••••••
      • K•••• P•••••• D•••• · Membercontrol
        since 04/2022 · owns 25% to 50% of F•••• F•••••••• L••••••
      • K•••• P•••••• B•••• V••••• · Shareholdercontrol
        since 01/2002 · owns 75% or more of N•• H••••••• P•• L••••••
      • L••••••• R•••••• M•••••• P••• · Shareholdercontrol
        since 05/2011 · owns 75% or more of R••• I••••••••• P•• L••
      • C••••••• I••• J•••• · Joint Company Secretary
        since 11/2019 · owns less than 5%
      • C•••• M••••••• J••• · Independent Chairman
        since 06/2022 · owns less than 5%
      • D•••••••• S••••• J••• · Non-Executive Director
        since 06/2022 · owns less than 5%
      • G••••••• J•••• L••••• · Non-Executive Director
        since 05/2019 · owns less than 5%
      • J••••• D••••• F••••••• · Non-Executive Director
        since 06/2022 · owns less than 5%
      • L•••••••• G••••••• W•••••• · Chief Compliance Officer
        since 03/2023 · owns less than 5%
      Entity owners
      • K••• F••••• T•••• · Shareholder
        direct · owns 25% to 50%
      • P••••• K••• F••••• T•••• · Shareholder
        direct · owns 5% to 10%
      • F•••• F•••••••• L•••••• · Trustee
        indirect · owns F of R•••• F•••••••••
      • N•• H••••••• P•• L•••••• · Trustee
        indirect · owns F of K••• F••••• T••••
      • N•• H••••••• P•• L•••••• · Trustee
        indirect · owns F of P••••• K••• F••••• T••••
      • R••• I••••••••• P•• L•• · Trustee
        indirect · owns F of R••• F••••• T••••
      • R•••• F••••••••• · Shareholder
        direct · owns 5% to 10%
      • R••• F••••• T•••• · Shareholder
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      Advisers that list R•••• P••••••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Sydney, Nsw, Australia7 employees
      What changed
      consecutive filings, newest first
      • Advisory employees · 11 to 9
        Dec 21, 2022 to Mar 30, 2023
      • Assets in custody · $1.3B to $944M
        Dec 21, 2022 to Mar 30, 2023
      • Employees · 26 to 23
        Dec 21, 2022 to Mar 30, 2023
      • Other offices · 2 to 1
        Dec 21, 2022 to Mar 30, 2023
      • Discretionary RAUM · $1.3B to $944M
        Dec 21, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $1.2B to $868M
        Dec 21, 2022 to Mar 30, 2023
      • RAUM · $1.3B to $944M
        Dec 21, 2022 to Mar 30, 2023
      • Other offices · 3 to 2
        Jul 8, 2022 to Dec 21, 2022
      • Accounts · 10 to 7
        Mar 30, 2022 to Jul 8, 2022
      • Advisory employees · 13 to 11
        Mar 30, 2022 to Jul 8, 2022
      • Corporate clients · 6 to 3
        Mar 30, 2022 to Jul 8, 2022
      • Assets in custody · $1.9B to $1.3B
        Mar 30, 2022 to Jul 8, 2022
      • Employees · 27 to 26
        Mar 30, 2022 to Jul 8, 2022
      • HQ city · SYDNEY to SYDNEY, NSW
        Mar 30, 2022 to Jul 8, 2022
      • Other offices · 2 to 3
        Mar 30, 2022 to Jul 8, 2022
      • Discretionary RAUM · $1.9B to $1.3B
        Mar 30, 2022 to Jul 8, 2022
      • Pooled vehicle RAUM · $1.7B to $1.2B
        Mar 30, 2022 to Jul 8, 2022
      • RAUM · $1.9B to $1.3B
        Mar 30, 2022 to Jul 8, 2022
      • Related adviser · false to true
        Mar 30, 2022 to Jul 8, 2022
      • Related bank · false to true
        Mar 30, 2022 to Jul 8, 2022
      • Business name · V•• P••••••• L•••••• to R•••• P••••••• L••••••
        Jul 8, 2022 to Jul 8, 2022
      • Legal name · V•• P••••••• L•••••• to R•••• P••••••• L••••••
        Jul 8, 2022 to Jul 8, 2022
      • Advisory employees · 11 to 13
        Nov 15, 2021 to Mar 30, 2022
      • Assets in custody · $2.3B to $1.9B
        Nov 15, 2021 to Mar 30, 2022
      • Employees · 24 to 27
        Nov 15, 2021 to Mar 30, 2022
      • Discretionary RAUM · $2.3B to $1.9B
        Nov 15, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $2.1B to $1.7B
        Nov 15, 2021 to Mar 30, 2022
      • RAUM · $2.3B to $1.9B
        Nov 15, 2021 to Mar 30, 2022
      • Accounts · 13 to 10
        Jun 25, 2020 to Mar 31, 2021
      • Advisory employees · 16 to 11
        Jun 25, 2020 to Mar 31, 2021
      • Corporate clients · 8 to 6
        Jun 25, 2020 to Mar 31, 2021
      • HNW clients · 1.0 to unset
        Jun 25, 2020 to Mar 31, 2021
      • Assets in custody · $2.7B to $2.3B
        Jun 25, 2020 to Mar 31, 2021
      • Employees · 29 to 24
        Jun 25, 2020 to Mar 31, 2021
      • Discretionary RAUM · $2.7B to $2.3B
        Jun 25, 2020 to Mar 31, 2021
      • HNW RAUM · 38896000.0 to unset
        Jun 25, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $2.3B to $2.1B
        Jun 25, 2020 to Mar 31, 2021
      • RAUM · $2.7B to $2.3B
        Jun 25, 2020 to Mar 31, 2021
      • Assets in custody · $2.2B to $2.7B
        Mar 30, 2020 to Apr 30, 2020
      • Discretionary RAUM · $2.2B to $2.7B
        Mar 30, 2020 to Apr 30, 2020
      Signals
      14 dated events
      • R•••• P••••••• L•••••• reported RAUM $944.3M, down 27% from $1.3B (2022-12-21 to 2023-03-30)
        Mar 30, 2023 · RAUM change · derived
      • Hugh Douglas Tynan (Member) no longer on Schedule A of R•••• P••••••• L•••••• (listed 2022-07-08, absent 2022-12-21)
        Dec 21, 2022 · Control person left · inference
      • R•••• P••••••• L•••••• reported RAUM $1.3B, down 32% from $1.9B (2022-03-30 to 2022-07-08)
        Jul 8, 2022 · RAUM change · derived
      • Adrian Jonathan Howie (Chief Executive Officer) no longer on Schedule A of R•••• P••••••• L•••••• (listed 2022-03-30, absent 2022-07-08)
        Jul 8, 2022 · Control person left · inference
      • Diane Pamela King (Member) appeared on Schedule A of R•••• P••••••• L••••••
        Jul 8, 2022 · Control person joined · fact
      • Anton David Gore (Member) appeared on Schedule A of R•••• P••••••• L••••••
        Jul 8, 2022 · Control person joined · fact
      • Kathleen Liu (General Counsel / Joint Company Secretary) appeared on Schedule A of R•••• P••••••• L••••••
        Jul 8, 2022 · Control person joined · fact
      • Brendan John O'Connor (Chief Executive Officer / Director) appeared on Schedule A of R•••• P••••••• L••••••
        Jul 8, 2022 · Control person joined · fact
      • Ian Mark Gibson (Director) appeared on Schedule A of R•••• P••••••• L••••••
        Jul 8, 2022 · Control person joined · fact
      • Philip King (Shareholder) appeared on Schedule A of R•••• P••••••• L••••••
        Jul 8, 2022 · Control person joined · fact
      • Andrew King (Member) appeared on Schedule A of R•••• P••••••• L••••••
        Jul 8, 2022 · Control person joined · fact
      • John Robert Poiner (Head Of Us Research) no longer on Schedule A of R•••• P••••••• L•••••• (listed 2019-07-03, absent 2019-09-27)
        Sep 27, 2019 · Control person left · inference
      • R•••• P••••••• L•••••• reported RAUM $1.5B, up 79% from $829.0M (2018-04-28 to 2018-09-28)
        Sep 28, 2018 · RAUM change · derived
      • V•• P••••••• P•• L•••••• filed its initial SEC registration (Form ADV)
        Mar 1, 2013 · 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