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
Finisterre Malta Limited
Latest filing Mar 29, 2020
First filing on the tape Jun 6, 2014 · 18 filings
RAUM
$0
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$0 as of Mar 27, 2020
Mar 27, 2015$4.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2020
Mar 27, 20150 then
Employees (5.A)3 as of Mar 27, 2020
Mar 27, 20156 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2020; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, 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 assets, performance-basedreportedItem 5.E
- Advisory activities
- selection of other advisers, otherreportedItem 5.G
- Custody
- $180M, 2 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)
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
- 0reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $180M for 2 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- George Attard · General Manager And Risk And Regulatory Trading Officercontrolsince 06/2019 · owns less than 5%
- Raymond Busuttil · Board Membercontrolsince 12/2009 · owns less than 5%
- John Andrew Donohue · Chief Compliance Officercontrolsince 12/2019 · owns less than 5%
- James David Mcgeough · Board Membercontrolsince 12/2009 · owns less than 5%
- Joshua Oliver Penn · Board Membercontrolsince 12/2019 · owns less than 5%
Entity owners
- Finisterre Holdings Limited · Shareholderdirect · owns 75% or more
- Principal Financial Group, Inc. · Shareholderindirect · owns 75% or more of Principal Financial Services, Inc. · public reporting company
- Principal Financial Services Inc. · Shareholderindirect · owns 75% or more of Principal Global Investors Holding Company, LLC
- Principal Global Financial Services (Europe) II, Ltd · Shareholderindirect · owns 75% or more of Finisterre Holdings Limited
- Principal Global Investors Holding Company, LLC · Shareholderindirect · owns 75% or more of Principal Global Financial Services (Europe) II, Ltd
Related persons
Schedule D 7.A
- Claritas Investment Ltd.investment adviserpooled vehicle sponsorn
- Columbus Circle Investorsinvestment adviserpooled vehicle sponsornRAUM $2.3B
- Delaware Charter Guarantee & Trust Companyn
- Finisterre Capital Llpinvestment adviserpooled vehicle sponsornRAUM $3.2B
- Finisterre Malta Limitedinvestment adviserpooled vehicle sponsorn
- Principal Origininvestment adviserpooled vehicle sponsornRAUM $4.6B
- Post Advisory Group, LLCinvestment adviserbankpooled vehicle sponsornRAUM $13B
- Principal Advised Servicesinvestment advisernRAUM $1.4B
- Principal Bankn
- Principal Enterprise Capital, LLCinvestment advisern
- Principal Financial Advisors, Inc.investment adviserLP sponsornRAUM $9.0B
- Principal Funds Distributor, Inc.broker-dealern
- Principal Global Investors (Australia) Limitedinvestment advisern
- Principal Global Investors (Eu) Limitedinvestment advisern
- Principal Global Investors (Europe) Limitedinvestment advisern
- Principal Global Investors (Hong Kong) Limitedinvestment advisern
- Principal Global Investors (Ireland) Limitedinvestment adviserpooled vehicle sponsorn
- Principal Global Investors (Japan) Ltd.investment adviserpooled vehicle sponsorn
- Principal Global Investors (Singapore) Limitedinvestment advisern
- Principal Global Investors (Switzerland) Gmbhinvestment advisern
- Principal Global Investors Trust Companyn
- Principal Asset Managementinvestment adviserbankpooled vehicle sponsornRAUM $428B
- Principal Life Insurance Companyreal estaten
- Principal Real Estateinvestment adviserpooled vehicle sponsornRAUM $106B
- Principal Real Estate Kapitalverwaltungsgesellschaft Mbhinvestment adviserpooled vehicle sponsorn
- Principal Real Estate Limitedinvestment adviserpooled vehicle sponsorn
- Principal Real Estate S.A.R.L.investment adviserpooled vehicle sponsorn
- Principal Real Estate Sasinvestment adviserpooled vehicle sponsorn
- Principal Securities, Inc.broker-dealerinvestment advisernRAUM $17B
- Robustwealth, Inc.investment advisernRAUM $856M
Advisers that list Finisterre Malta Limited as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $289M to $180MJan 22, 2020 to Mar 27, 2020
- Employees · 4 to 3Jan 22, 2020 to Mar 27, 2020
- Assets in custody · $246M to $289MDec 6, 2018 to Mar 28, 2019
- Employees · 5 to 4Dec 6, 2018 to Mar 28, 2019
- Accounts · 12 to 0Apr 18, 2017 to Mar 29, 2018
- Advisory activities · 3 to 2Apr 18, 2017 to Mar 29, 2018
- Assets in custody · $299M to $246MApr 18, 2017 to Mar 29, 2018
- Employees · 6 to 5Apr 18, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Apr 18, 2017 to Mar 29, 2018
- Discretionary RAUM · $5.2B to $0Apr 18, 2017 to Mar 29, 2018
- RAUM · $5.2B to $0Apr 18, 2017 to Mar 29, 2018
- Accounts · 13 to 12Jan 26, 2017 to Mar 28, 2017
- Assets in custody · $166M to $299MJan 26, 2017 to Mar 28, 2017
- Discretionary RAUM · $3.1B to $5.2BJan 26, 2017 to Mar 28, 2017
- RAUM · $3.1B to $5.2BJan 26, 2017 to Mar 28, 2017
- Accounts · 15 to 13Aug 12, 2015 to Mar 30, 2016
- Assets in custody · $74.4M to $166MAug 12, 2015 to Mar 30, 2016
- Discretionary RAUM · $4.3B to $3.1BAug 12, 2015 to Mar 30, 2016
- RAUM · $4.3B to $3.1BAug 12, 2015 to Mar 30, 2016
- Related broker-dealer · false to trueAug 12, 2015 to Mar 30, 2016
- Accounts · 11 to 15Jun 6, 2014 to Mar 27, 2015
- Advisory activities · 2 to 3Jun 6, 2014 to Mar 27, 2015
- Employees · 5 to 6Jun 6, 2014 to Mar 27, 2015
Signals
8 dated events
- Elizabeth Ursula Newman (Board Member) no longer on Schedule A of Finisterre Malta Limited (listed 2019-12-04, absent 2020-01-22)Jan 22, 2020 · Control person left · inference
- Joshua Oliver Penn (Board Member) appeared on Schedule A of Finisterre Malta LimitedJan 22, 2020 · Control person joined · fact
- John Andrew Donohue (Chief Compliance Officer) appeared on Schedule A of Finisterre Malta LimitedDec 4, 2019 · Control person joined · fact
- Joshua Oliver Penn (Chief Risk Officer) no longer on Schedule A of Finisterre Malta Limited (listed 2019-06-12, absent 2019-07-02)Jul 2, 2019 · Control person left · inference
- Sylvana Sciberras (General Manager) no longer on Schedule A of Finisterre Malta Limited (listed 2019-04-16, absent 2019-06-12)Jun 12, 2019 · Control person left · inference
- George Attard (General Manager) appeared on Schedule A of Finisterre Malta LimitedJun 12, 2019 · Control person joined · fact
- Finisterre Malta Limited reported RAUM $0, down 100% from $5.2B (2017-04-18 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
- Finisterre Malta Limited filed its initial SEC registration (Form ADV)Jun 6, 2014 · 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