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.

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Former SEC-registered adviser

D••• G••••• F••• M••••••••• L••••••

Former SEC-registered adviserDublin 2, CRD 171792SEC 801-79900IAPD
Latest filing Oct 11, 2021
First filing on the tape Jun 5, 2014 · 16 filings
RAUM
$11B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.1%
$6.1M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
70
18 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
5
$1.6B gross assets
History
16 filings and snapshots on the tape
RAUM$10B as of Mar 31, 2021
Mar 31, 2015$4.1B then
HNW client RAUM$6.1M as of Mar 31, 2021
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 31, 2021
Mar 31, 20150 then
Employees (5.A)70 as of Mar 31, 2021
Mar 31, 201544 then
Private funds5 as of Mar 31, 2021
Mar 29, 20194 then
RAUM +41% over the last fiscal year+24% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Oct 11, 2021; 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
$136MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
3.0%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
+37%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 individuals, portfolio management for businesses and institutions, 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
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$10B97%
  • Insurance companies$167M1.6%
  • Charitable organizations$157M1.5%
  • Corporations and businesses$18.8M0.2%
  • High-net-worth individuals$6.1M0.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
5reported
Accounts
79reported
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
      8 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      C•• L••• S••••••••• F••• I• I•••Other Private Fund$435M44Mar 1, 2019
      L••••••• C••••• O••••••••• R••••••Private Equity Fund$289M101Apr 29, 2022
      M•• F••• F•••• A• S••••••• O• E••••• Q•••• P••Other Private Fund$240M1Mar 31, 2021
      M•• S•• F•••• A• S••••••• O• E••••• Q•••• P••Other Private Fund$237M1Apr 29, 2022
      M•• F••• F•••• A• S••••••• O• E••••• Q•••• P••Other Private Fund$185M1Mar 29, 2019
      M•• S•••• F•••Other Private Fund$173M1Mar 29, 2023
      M•• T•••• F•••• A• S••••••• O• E••••• Q•••• P••Other Private Fund$139M1Mar 29, 2019
      M•• T•• F•••• A• S••••••• O• E••••• Q•••• P••no longer reportedOther Private Fund$00Mar 29, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••••• T•• · Ceo And Directorcontrol
        since 11/2019 · owns less than 5%
      • B••••••• B••••• · Non-Executive Directorcontrol
        since 11/2019 · owns less than 5%
      • D••••••• N••• · Designated Person For Capital And Financial Managementcontrol
        since 11/2019 · owns less than 5%
      • G•••••• P•••• R•••••• · Directorcontrol
        since 10/2014 · owns less than 5%
      • O•••••••• M••• · Non-Executive Directorcontrol
        since 11/2019 · owns less than 5%
      • O•••••• P••• · Coo And Directorcontrol
        since 01/2014 · owns less than 5%
      • O••••••••• C••••• M••••••• · Chief Compliance Officercontrol
        since 09/2021 · owns less than 5%
      • W•••• E••••• · Non-Executive Directorcontrol
        since 11/2019 · owns less than 5%
      Entity owners
      • G••••••• A••••••••• L•••••• · Direct Entity
        direct · owns 75% or more
      • A•••• N••• · Shareholder
        indirect · owns 75% or more of W•••• N••• L••••••
      • G•••• N••• · Shareholder
        indirect · owns 75% or more of J•• D••• H•••••••
      • J•• D••• H••••••• · Shareholder
        indirect · owns 75% or more of G••••••• A••••••••• L••••••
      • W•••• N••• L•••••• · Shareholder
        indirect · owns 75% or more of G•••• N•••
      Related persons
      Schedule D 7.A
      • A•••••• F••• M••••••••• L••••••
        pooled vehicle sponsorn
      • D••• C•••••••• F••••••
        broker-dealern
      • D••• G••••• F••• M••••••••• L••••••••• S•••
        bankn
      • D••• S•••••••••
        broker-dealern
      • J•• D•••
        broker-dealerinvestment adviserpooled vehicle sponsorcustodiann
      • J•• D••• ••• L••••••
        broker-dealerinvestment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $10B to $11B
        Mar 31, 2021 to Jul 23, 2021
      • Pooled vehicle RAUM · $10B to $10B
        Mar 31, 2021 to Jul 23, 2021
      • RAUM · $10B to $11B
        Mar 31, 2021 to Jul 23, 2021
      • Accounts · 68 to 79
        Jun 23, 2020 to Mar 31, 2021
      • Pooled vehicle clients · 59 to 70
        Jun 23, 2020 to Mar 31, 2021
      • Employees · 63 to 70
        Jun 23, 2020 to Mar 31, 2021
      • Private funds · 4 to 5
        Jun 23, 2020 to Mar 31, 2021
      • Discretionary RAUM · $7.6B to $10B
        Jun 23, 2020 to Mar 31, 2021
      • HNW RAUM · $0 to $6.1M
        Jun 23, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $7.3B to $10B
        Jun 23, 2020 to Mar 31, 2021
      • RAUM · $7.6B to $10B
        Jun 23, 2020 to Mar 31, 2021
      • Related bank · false to true
        Jun 23, 2020 to Mar 31, 2021
      • Accounts · 82 to 68
        Mar 4, 2020 to Mar 30, 2020
      • Advisory employees · 17 to 18
        Mar 4, 2020 to Mar 30, 2020
      • Charity clients · 12 to 5
        Mar 4, 2020 to Mar 30, 2020
      • Corporate clients · 1.0 to unset
        Mar 4, 2020 to Mar 30, 2020
      • HNW clients · 0.0 to unset
        Mar 4, 2020 to Mar 30, 2020
      • Individual clients · 1.0 to unset
        Mar 4, 2020 to Mar 30, 2020
      • Pension plan clients · 7.0 to unset
        Mar 4, 2020 to Mar 30, 2020
      • Employees · 32 to 63
        Mar 4, 2020 to Mar 30, 2020
      • Financial planning clients · 0 to unset
        Mar 4, 2020 to Mar 30, 2020
      • Other offices · 1 to 0
        Mar 4, 2020 to Mar 30, 2020
      • Discretionary RAUM · $6.2B to $7.6B
        Mar 4, 2020 to Mar 30, 2020
      • Individual RAUM · 0.0 to unset
        Mar 4, 2020 to Mar 30, 2020
      • Non-discretionary RAUM · $1.6M to $0
        Mar 4, 2020 to Mar 30, 2020
      • Pension RAUM · 7797847.0 to unset
        Mar 4, 2020 to Mar 30, 2020
      • Pooled vehicle RAUM · $6.0B to $7.3B
        Mar 4, 2020 to Mar 30, 2020
      • RAUM · $6.2B to $7.6B
        Mar 4, 2020 to Mar 30, 2020
      • Business name · D••• A•••• M••••••••• L•••••• to D••• G••••• F••• M••••••••• L••••••
        Dec 23, 2019 to Mar 4, 2020
      • Legal name · D••• A•••• M••••••••• L•••••• to D••• G••••• F••• M••••••••• L••••••
        Dec 23, 2019 to Mar 4, 2020
      • Succession · true to false
        Dec 23, 2019 to Mar 4, 2020
      • Succession · false to true
        Jul 10, 2019 to Dec 23, 2019
      • Advisory employees · 16 to 17
        Mar 29, 2019 to Jul 10, 2019
      • Employees · 31 to 32
        Mar 29, 2019 to Jul 10, 2019
      • Other offices · 0 to 1
        Mar 29, 2019 to Jul 10, 2019
      • Discretionary RAUM · $6.2B to $6.2B
        Mar 29, 2019 to Jul 10, 2019
      • Pooled vehicle RAUM · $6.0B to $6.0B
        Mar 29, 2019 to Jul 10, 2019
      • RAUM · $6.2B to $6.2B
        Mar 29, 2019 to Jul 10, 2019
      • Accounts · 95 to 82
        Mar 29, 2018 to Mar 29, 2019
      • Advisory employees · 17 to 16
        Mar 29, 2018 to Mar 29, 2019
      Signals
      18 dated events
      • Gerard Ciaran Toner (Chief Compliance Officer) no longer on Schedule A of D••• G••••• F••• M••••••••• L•••••• (listed 2021-07-23, absent 2021-10-11)
        Oct 11, 2021 · Control person left · inference
      • Margaret Carol O'Sullivan (Chief Compliance Officer) appeared on Schedule A of D••• G••••• F••• M••••••••• L••••••
        Oct 11, 2021 · Control person joined · fact
      • D••• G••••• F••• M••••••••• L•••••• reported RAUM $10.5B, up 37% from $7.6B (2020-06-23 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • Gerard Ciaran Toner (Acting Chief Compliance Officer) appeared on Schedule A of D••• G••••• F••• M••••••••• L••••••
        Mar 4, 2020 · Control person joined · fact
      • Ger Knowles (Cco) no longer on Schedule A of D••• G••••• F••• M••••••••• L•••••• (listed 2019-12-23, absent 2020-03-04)
        Mar 4, 2020 · Control person left · inference
      • N••• D•••••• (Designated Person For Capital And Financial Management) appeared on Schedule A of D••• G••••• F••• M••••••••• L••••••
        Dec 23, 2019 · Control person joined · fact
      • B••••• B•••••• (Non-Executive Director) appeared on Schedule A of D••• G••••• F••• M••••••••• L••••••
        Dec 23, 2019 · Control person joined · fact
      • E••••• W••• (Non-Executive Director) appeared on Schedule A of D••• G••••• F••• M••••••••• L••••••
        Dec 23, 2019 · Control person joined · fact
      • Tom B••••••• (Ceo And Director) appeared on Schedule A of D••• G••••• F••• M••••••••• L••••••
        Dec 23, 2019 · Control person joined · fact
      • M••• O••••••• (Non-Executive Director) appeared on Schedule A of D••• G••••• F••• M••••••••• L••••••
        Dec 23, 2019 · Control person joined · fact
      • P••••• J•••••••• (Director) no longer on Schedule A of D••• G••••• F••• M••••••••• L•••••• (listed 2019-07-10, absent 2019-12-23)
        Dec 23, 2019 · Control person left · inference
      • Vincent N••• Mulvey (Head Of Finance) no longer on Schedule A of D••• G••••• F••• M••••••••• L•••••• (listed 2019-07-10, absent 2019-12-23)
        Dec 23, 2019 · Control person left · inference
      • Gerard Eamonn Doyle (Director) no longer on Schedule A of D••• G••••• F••• M••••••••• L•••••• (listed 2019-03-29, absent 2019-07-10)
        Jul 10, 2019 · Control person left · inference
      • P••••• Peter Newman (Cfo) no longer on Schedule A of D••• G••••• F••• M••••••••• L•••••• (listed 2018-03-29, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Vincent N••• Mulvey (Head Of Finance) appeared on Schedule A of D••• G••••• F••• M••••••••• L••••••
        Mar 29, 2019 · Control person joined · fact
      • D••• G••••• F••• M••••••••• L•••••• reported RAUM $5.7B, up 32% from $4.3B (2017-03-31 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • A•••••• I••••••••• M••••••• L•••••• filed its initial SEC registration (Form ADV)
        Jun 5, 2014 · First SEC registration · fact
      • A•••••• I••••••••• M••••••• L•••••• reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Jun 5, 2014 · Succession (Item 4) · fact
      Across DFX
      shared identifiers only, never a name match
      How to reach
      public business contact points only, each with its source
      Website
      IQEQ.COMreportedpublic record, Form ADV, Sep 18, 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
      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