DFX Intelligence
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3• S•••• C•••••• A••••••• L••
Asset manager (funds and pooled vehicles), based in London, reporting $1.0B of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $1.0B
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- -15%
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV, consecutive annual filings
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- RAUM a year earlier $1.2BRAUM now $1.0B
- Contact points 2
Every filed figure, and the identifiersCRD 166406 · SEC 801-77793 · 21 filingsShowHide
CRD 166406SEC 801-77793First filing on the tape Mar 18, 2013, latest Mar 27, 2026SEC status approved since Mar 28, 2013IAPD
RAUM
$1.0B
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
24
7 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
6
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.0B as of Mar 27, 2026
Mar 28, 2014$602M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 28, 20140 then
Employees (5.A)24 as of Mar 27, 2026
Mar 28, 201416 then
Private funds6 as of Mar 27, 2026
Mar 28, 20145 then
RAUM -15% over the last fiscal year-19% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $102MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 19%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
- -15%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
- Custody
- $827M, 9 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$827M81%
- State and municipal entities$191M19%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 10reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $827M for 9 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.81 institutional_share=0.19 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
Private funds
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| K••••••• C••• F••• | Hedge Fund | $210M | 29 | Dec 12, 2012 |
| K••••••• C••• ••••••• M••••• F••• | Hedge Fund | $158M | 61 | Mar 28, 2014 |
| K••••••• C•••• N•••••• P••••••••• F••• | Hedge Fund | $154M | 9 | Mar 18, 2021 |
| L••••• F••• | Hedge Fund | $25.9M | 9 | Mar 30, 2018 |
| K••••••• S••••• T•••• F••• | Hedge Fund | $18.8M | 14 | Dec 12, 2012 |
| T•• 3• S•••• C••••••• F••• | Hedge Fund | $11.7M | 13 | Mar 27, 2026 |
| 3• S•••• B•••• E•••• F•••no longer reported | Hedge Fund | $10.9M | 8 | Dec 12, 2012 |
| 3• S•••• C••••••• F•••no longer reported | Hedge Fund | $5.0M | 38 | Dec 12, 2012 |
| K••••••• C••• ••••••• F•••no longer reported | Hedge Fund | $0 | 0 | Mar 18, 2013 |
Owners and control persons
Schedule A and B, latest filing
- H••••••• R••••••• J••••• · Partnercontrolsince 10/2010 · owns 75% or more
- L••••• T•••••• D••••• · Chief Compliance Officercontrolsince 01/2018 · owns less than 5%
- T•••••• M••••••• L•• · Partnercontrolsince 06/2009 · owns 25% to 50%
- E••••• T••••••• J•••• · Chief Operating Officersince 01/2020 · owns less than 5%
Related persons
Schedule D 7.A
- 3• S•••• G• L••investment adviserpooled vehicle sponsorn
- 3• S•••• I••••••••• M••••••• ••••••• L••••••pooled vehicle sponsorn
- 3• S•••• I••••••••• M••••••• •••••••• L••••••investment adviserpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 9 to 10Mar 27, 2025 to Mar 27, 2026
- Pooled vehicle clients · 8 to 9Mar 27, 2025 to Mar 27, 2026
- Assets in custody · $995M to $827MMar 27, 2025 to Mar 27, 2026
- Employees · 25 to 24Mar 27, 2025 to Mar 27, 2026
- Private funds · 5 to 6Mar 27, 2025 to Mar 27, 2026
- Discretionary RAUM · $1.2B to $1.0BMar 27, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $995M to $827MMar 27, 2025 to Mar 27, 2026
- RAUM · $1.2B to $1.0BMar 27, 2025 to Mar 27, 2026
- Advisory employees · 8 to 7Mar 7, 2024 to Mar 27, 2025
- Assets in custody · $1.0B to $995MMar 7, 2024 to Mar 27, 2025
- Financial planning clients · unset to Mar 7, 2024 to Mar 27, 2025
- HQ state · unset to Mar 7, 2024 to Mar 27, 2025
- Discretionary RAUM · $1.2B to $1.2BMar 7, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $1.0B to $995MMar 7, 2024 to Mar 27, 2025
- RAUM · $1.2B to $1.2BMar 7, 2024 to Mar 27, 2025
- Accounts · 13 to 9Mar 13, 2023 to Mar 7, 2024
- Pooled vehicle clients · 12 to 8Mar 13, 2023 to Mar 7, 2024
- Assets in custody · $1.7B to $1.0BMar 13, 2023 to Mar 7, 2024
- Employees · 23 to 25Mar 13, 2023 to Mar 7, 2024
- Discretionary RAUM · $1.9B to $1.2BMar 13, 2023 to Mar 7, 2024
- Pooled vehicle RAUM · $1.7B to $1.0BMar 13, 2023 to Mar 7, 2024
- RAUM · $1.9B to $1.2BMar 13, 2023 to Mar 7, 2024
- Advisory employees · 7 to 8Feb 25, 2022 to Mar 13, 2023
- Assets in custody · $1.4B to $1.7BFeb 25, 2022 to Mar 13, 2023
- Employees · 21 to 23Feb 25, 2022 to Mar 13, 2023
- Discretionary RAUM · $1.6B to $1.9BFeb 25, 2022 to Mar 13, 2023
- Pooled vehicle RAUM · $1.4B to $1.7BFeb 25, 2022 to Mar 13, 2023
- RAUM · $1.6B to $1.9BFeb 25, 2022 to Mar 13, 2023
- Accounts · 12 to 13Mar 18, 2021 to Feb 25, 2022
- Advisory activities · 1 to 2Mar 18, 2021 to Feb 25, 2022
- Assets in custody · $1.3B to $1.4BMar 18, 2021 to Feb 25, 2022
- Employees · 22 to 21Mar 18, 2021 to Feb 25, 2022
- Discretionary RAUM · $1.3B to $1.6BMar 18, 2021 to Feb 25, 2022
- Pooled vehicle RAUM · $1.3B to $1.4BMar 18, 2021 to Feb 25, 2022
- RAUM · $1.3B to $1.6BMar 18, 2021 to Feb 25, 2022
- Assets in custody · $1.1B to $1.3BMar 12, 2020 to Mar 18, 2021
- Private funds · 4 to 5Mar 12, 2020 to Mar 18, 2021
- Discretionary RAUM · $1.1B to $1.3BMar 12, 2020 to Mar 18, 2021
- Pooled vehicle RAUM · $1.1B to $1.3BMar 12, 2020 to Mar 18, 2021
- RAUM · $1.1B to $1.3BMar 12, 2020 to Mar 18, 2021
Signals
12 dated events
- ••• LockedMar 27, 2026 · ria principal change · derived
- ••• LockedMar 27, 2026 · Control person joined · fact
- ••• LockedMar 27, 2026 · Control person joined · fact
- ••• LockedMar 27, 2026 · ria principal change · fact
- ••• LockedMar 27, 2026 · ria principal change · fact
- ••• LockedMar 27, 2026 · private fund first reported · fact
- ••• LockedMar 7, 2024 · RAUM change · derived
- ••• LockedMar 7, 2024 · Control person left · inference
- ••• LockedMar 12, 2020 · Control person joined · fact
- ••• LockedFeb 18, 2019 · RAUM change · derived
- ••• LockedMar 25, 2013 · ria registration change · fact
- ••• LockedMar 18, 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.
How to reach
public business contact points only, each with its source
- Website
- ••• Lockedreportedpublic record, Form ADV, Mar 27, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Mar 27, 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
- Asset manager (funds and pooled vehicles)deriveda 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