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.

Former SEC-registered adviser

Mellon Investments (Uk) Limited

Former SEC-registered adviserLondon, CRD 169469SEC 801-78888IAPD
Latest filing Mar 29, 2019
First filing on the tape Nov 26, 2013 · 11 filings
RAUM
$232M
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
9
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$232M as of Mar 29, 2019
Mar 31, 2015$309M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 31, 20150 then
Employees (5.A)9 as of Mar 29, 2019
Mar 31, 20157 then
Private funds: no history
RAUM -23% over the last fiscal year+22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2019; 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
$232MderivedRAUM 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
-23%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, publicationsreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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
  • Pooled investment vehicles$232M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
0reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Frank Jonathan Lubran · Directorcontrol
        since 05/2014 · owns less than 5%
      • St Aubyn Patrick Lyn · Directorcontrol
        since 07/2013 · owns less than 5%
      • Brian Alexander Over · Directorcontrol
        since 10/2010 · owns less than 5%
      • Matthew Simon Surtees · Directorcontrol
        since 06/2017 · owns less than 5%
      Entity owners
      • Bny Mellon International Asset Management Group Limited · Shareholder
        direct · owns 75% or more
      • Bny Mellon Investment Management (Europe) Limited · Shareholder
        indirect · owns 75% or more of Bny Mellon Investment Management Europe Holdings Limited
      • Bny Mellon Investment Management (Jersey) Limited · Shareholder
        indirect · owns 75% or more of Bny Mellon Investment Management (Europe) Limited
      • Bny Mellon Investment Management Europe Holdings Limited · Shareholder
        indirect · owns 75% or more of Bny Mellon International Asset Management Group Limited
      • Mbc Investments Corporation · Shareholder
        indirect · owns 75% or more of Bny Mellon Investment Management (Jeresy) Limited
      • The Bank Of New York Mellon Corporation · Owner
        indirect · owns 75% or more of Mbc Investments Corporation · public reporting company
      Related persons
      Schedule D 7.A
      • Benefit Street Partners Limited
        investment adviserbankpooled vehicle sponsornRAUM $23B
      • Bsp Ny LLC
        investment adviserpooled vehicle sponsornRAUM $14B
      • Arx Investimentos Ltda
        investment adviserbanknRAUM $1.9B
      • Bny Mellon Alocacao De Patrimonio Ltda
        investment advisern
      • Bny Mellon Asset Management Canada Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Management Japan Limited
        investment advisernRAUM $32B
      • Bny Mellon Banco S.A.
        n
      • Bny Mellon Capital Markets Emea Limited
        broker-dealerinvestment adviserbankn
      • Bny Mellon Capital Markets, LLC
        broker-dealern
      • Bny Mellon Fund Management (Luxembourg) S.A.
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Fund Managers Limited
        pooled vehicle sponsorn
      • Bny Mellon Global Management Limited
        investment adviserpooled vehicle sponsorn
      • Bny Mellon Im Korea Limited
        investment advisern
      • Bny Mellon International Managment Limited
        investment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Management Cayman Ltd
        investment adviserpooled vehicle sponsornRAUM $10B
      • Bny Mellon Investment Management Emea Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Management Hong Kong Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Management Singapore Pte. Limited
        investment advisern
      • Bny Mellon Investment Managment Australia Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon National Association
        investment advisern
      • Bny Mellon Servicos Financeiros Distibuidora De Titulos E Valores Mobiliarios (Dtvm) S.A.
        broker-dealerinvestment advisern
      • Bny Mellon Trust Company (Ireland) Limited
        n
      • Bny Mellon Trust Company Of Illinois
        n
      • Bny Mellon Trust Of Delaware
        investment advisern
      • Bny Mellon Wealth Management, Advisory Services, Inc.
        broker-dealerinvestment adviserbankpooled vehicle sponsorn
      • Cibc Mellon Global Securities Services Company
        n
      • Cibc Mellon Trust Company
        n
      • Eacm Advisors LLC
        investment adviserbankpooled vehicle sponsornRAUM $617M
      • Hedgemark Securities LLC
        broker-dealern
      • Insight Investment Australia Pty Limited
        investment advisern
      Advisers that list Mellon Investments (Uk) Limited as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Business name · STANDISH (UK) to MELLON INVESTMENTS (UK) LIMITED
        Jan 7, 2019 to Mar 29, 2019
      • Legal name · STANDISH MELLON ASSET MANAGEMENT (UK) LIMITED to MELLON INVESTMENTS (UK) LIMITED
        Jan 7, 2019 to Mar 29, 2019
      • Discretionary RAUM · $300M to $232M
        Mar 29, 2018 to Jan 7, 2019
      • Pooled vehicle RAUM · $300M to $232M
        Mar 29, 2018 to Jan 7, 2019
      • RAUM · $300M to $232M
        Mar 29, 2018 to Jan 7, 2019
      • Advisory employees · 5 to 4
        Jul 6, 2017 to Mar 29, 2018
      • Pooled vehicle clients · unset to 1.0
        Jul 6, 2017 to Mar 29, 2018
      • Employees · 6 to 9
        Jul 6, 2017 to Mar 29, 2018
      • Other offices · unset to 0.0
        Jul 6, 2017 to Mar 29, 2018
      • Discretionary RAUM · $145M to $300M
        Jul 6, 2017 to Mar 29, 2018
      • Pooled vehicle RAUM · unset to 300250069.0
        Jul 6, 2017 to Mar 29, 2018
      • RAUM · $145M to $300M
        Jul 6, 2017 to Mar 29, 2018
      • Advisory employees · 4 to 5
        Sep 16, 2016 to Mar 31, 2017
      • Discretionary RAUM · $127M to $145M
        Sep 16, 2016 to Mar 31, 2017
      • RAUM · $127M to $145M
        Sep 16, 2016 to Mar 31, 2017
      • Advisory employees · 5 to 4
        Nov 25, 2015 to Mar 30, 2016
      • Employees · 7 to 6
        Nov 25, 2015 to Mar 30, 2016
      • Discretionary RAUM · $309M to $127M
        Nov 25, 2015 to Mar 30, 2016
      • RAUM · $309M to $127M
        Nov 25, 2015 to Mar 30, 2016
      • Advisory employees · 4 to 5
        Nov 26, 2013 to Mar 31, 2015
      • Business name · STANDISH MELLON ASSET MANAGEMENT (UK) LIMITED to STANDISH (UK)
        Nov 26, 2013 to Mar 31, 2015
      • Employees · 6 to 7
        Nov 26, 2013 to Mar 31, 2015
      • Discretionary RAUM · $205M to $309M
        Nov 26, 2013 to Mar 31, 2015
      • RAUM · $205M to $309M
        Nov 26, 2013 to Mar 31, 2015
      Signals
      2 dated events
      • Mellon Investments (Uk) Limited reported RAUM $300.3M, up 108% from $144.6M (2017-07-06 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • Standish Mellon Asset Management (Uk) Limited filed its initial SEC registration (Form ADV)
        Nov 26, 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