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RIA Intelligence

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H•••••••• I••••••••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser· London

Former SEC-registered adviser, based in London, reporting $670M of regulatory assets.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
$670M
Form ADV
RAUM change, 1 year
-39%
Form ADV, consecutive annual filings
Private clients
0.0%
of RAUM
Form ADV
See where advisers wentSee teams that moved
More
AdvisorsWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily

Nothing material in the last 180 days. Last change: 11 May 2017, RAUM $1.09B to $670M (-38.8%) on the Form ADV filed 11 May 2017.

Every filed figure, and the identifiersCRD 167597 · SEC 801-78136 · 9 filingsShow
CRD 167597SEC 801-78136First filing on the tape May 24, 2013, latest May 11, 2017IAPD
RAUM
$670M
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
Not computed
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
9 filings and snapshots on the tape

RAUM +67% a year over three years · the tape starts May 24, 2013

RAUM, HNW assets, advisors, employees and funds over time5 seriesShow
RAUM$670M as of May 11, 2017
Jun 18, 2014$145M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 11, 2017
Jun 18, 20140 then
Employees (5.A)5 as of May 11, 2017
Jun 18, 201411 then
Private funds: no history
RAUM -39% over the last fiscal year+67% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 11, 2017; every figure names its basis
The rule behind each archetype, and every derived figureShow
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
$55.8MderivedRAUM 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
unknownderived1 office incl. principal (1.F.5)
RAUM growth, one year
-39%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, performance-basedreportedItem 5.E
Advisory activities
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
  • 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
Where the RAUM sits
Form ADV Item 5.D, latest filing

No Item 5.D breakdown on this filing.

The breakdown by client type, and the client countsShow
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
12reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, performancereported
Class basis
absent from the latest SEC rosterderived
Advisor movement
Left, latest
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Advisors registered through the firm
      0 on IAPD today; the longest tenured first
      No representative is registered through this CRD on IAPD.
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • H•••• L••••• V•••••• · Chief Investment Officercontrol
        since 04/2016 · owns 25% to 50%
      • M••••••• T••••••• A••• · Chief Compliance Officercontrol
        since 12/2015 · owns 25% to 50%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 12
        Sep 28, 2016 to May 11, 2017
      • Discretionary RAUM · $1.1B to $670M
        Sep 28, 2016 to May 11, 2017
      • RAUM · $1.1B to $670M
        Sep 28, 2016 to May 11, 2017
      • Accounts · 28 to 6
        Jun 18, 2015 to May 18, 2016
      • Advisory employees · 8 to 3
        Jun 18, 2015 to May 18, 2016
      Full history · 28 changes
      • Employees · 10 to 5
        Jun 18, 2015 to May 18, 2016
      • Discretionary RAUM · $1.3B to $1.1B
        Jun 18, 2015 to May 18, 2016
      • Non-discretionary RAUM · $3.2M to $0
        Jun 18, 2015 to May 18, 2016
      • RAUM · $1.3B to $1.1B
        Jun 18, 2015 to May 18, 2016
      • Accounts · 19 to 28
        Nov 14, 2014 to Jun 18, 2015
      • Advisory employees · 7 to 8
        Nov 14, 2014 to Jun 18, 2015
      • Employees · 11 to 10
        Nov 14, 2014 to Jun 18, 2015
      • Discretionary RAUM · $4.9M to $1.3B
        Nov 14, 2014 to Jun 18, 2015
      • Non-discretionary RAUM · $140M to $3.2M
        Nov 14, 2014 to Jun 18, 2015
      • RAUM · $145M to $1.3B
        Nov 14, 2014 to Jun 18, 2015
      • Accounts · 16 to 19
        Aug 28, 2013 to Jun 18, 2014
      • Advisory employees · 10 to 7
        Aug 28, 2013 to Jun 18, 2014
      • Employees · 12 to 11
        Aug 28, 2013 to Jun 18, 2014
      • Discretionary RAUM · $3.7M to $4.9M
        Aug 28, 2013 to Jun 18, 2014
      • Non-discretionary RAUM · $0 to $140M
        Aug 28, 2013 to Jun 18, 2014
      • RAUM · $3.7M to $145M
        Aug 28, 2013 to Jun 18, 2014
      • Accounts · unset to 16.0
        May 24, 2013 to Aug 28, 2013
      • Advisory employees · 8 to 10
        May 24, 2013 to Aug 28, 2013
      • Employees · 10 to 12
        May 24, 2013 to Aug 28, 2013
      • Discretionary RAUM · unset to 3651946.0
        May 24, 2013 to Aug 28, 2013
      • Non-discretionary RAUM · unset to 0.0
        May 24, 2013 to Aug 28, 2013
      • RAUM · unset to 3651946.0
        May 24, 2013 to Aug 28, 2013
      • Succession · true to false
        May 24, 2013 to Aug 28, 2013
      Signals
      2 dated events
      • ••• Locked
        May 24, 2013 · Succession (Item 4) · fact
      • ••• Locked
        May 24, 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
      Sources, class rule and load dateForm ADV and IAPD, loaded Sep 14, 2026Show
      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
      Not computedderivedfirm RAUM over the IAPD count; not a book size
      Loaded
      Sep 14, 2026