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Former SEC-registered adviser

D••••• I• L••

Former SEC-registered adviserLondon, CRD 169063SEC 801-78593IAPD
Latest filing Mar 31, 2014
First filing on the tape Sep 16, 2013 · 3 filings
RAUM
$851M
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
53
14 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$201M gross assets
History
3 filings and snapshots on the tape
RAUM$851M as of Mar 31, 2014
Sep 16, 2013$525M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2014
Sep 16, 20130 then
Employees (5.A)53 as of Mar 31, 2014
Sep 16, 201353 then
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 31, 2014; 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
$34.0MderivedRAUM 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 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
  • 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
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
25reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      C••••••• W•• M••••• F••• S•Hedge Fund$201M1Mar 31, 2014
      Owners and control persons
      Schedule A and B, latest filing
      • A•••• R••••• · Head Of Investment Managementcontrol
        since 09/2012 · owns less than 5%
      • B••••••••• S•••• · General Counselcontrol
        since 10/2012 · owns less than 5%
      • G••••• V••••• · Chief Executive Officercontrol
        since 09/2012 · owns less than 5%
      • M••••• D••• · Chief Compliance Officercontrol
        since 01/2013 · owns less than 5%
      • R•••••• C••••••••• P••••• E••• · Head Of Client Strategy And Marketingcontrol
        since 04/2013 · owns less than 5%
      • T••••••• C••••••••• H•••• · Chief Financial Officercontrol
        since 06/2013 · owns less than 5%
      Entity owners
      • D••••• I• I••••••••• L•• · Partner
        direct · owns 75% or more
      • C••••••• H•••• T••••••• L•••••• · Trustee
        indirect · owns F of V••••• G•••• F••••• T••••
      • G•• ••••••••• H••••••• L•• · Shareholder
        indirect · owns 75% or more of G•• 2• ••••••••• L••
      • G•• 2• ••••••••• L•• · Partner
        indirect · owns 75% or more of D••••• I• I••••••••• L••
      • V••••• G•••• F••••• T•••• · Shareholder
        indirect · owns 75% or more of G•• ••••••••• H••••••• L••
      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 · 11 to 25
        Dec 10, 2013 to Mar 31, 2014
      • Advisory employees · 13 to 14
        Dec 10, 2013 to Mar 31, 2014
      • Private funds · unset to 1
        Dec 10, 2013 to Mar 31, 2014
      • Discretionary RAUM · $525M to $851M
        Dec 10, 2013 to Mar 31, 2014
      • RAUM · $525M to $851M
        Dec 10, 2013 to Mar 31, 2014
      Signals
      1 dated events
      • ••• Locked
        Sep 16, 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