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

A••••••••• I••••••••• M••••••••• P••••••• L••••••

Former SEC-registered adviserLondon, CRD 282138SEC 801-107166IAPD
Latest filing May 12, 2023
First filing on the tape Jan 11, 2016 · 14 filings
RAUM
$1.1B
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
22
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$41.4M gross assets
History
14 filings and snapshots on the tape
RAUM$1.1B as of Jan 4, 2023
Feb 8, 2017$15.0M then
HNW client RAUM$55.6M as of Feb 21, 2022
Feb 9, 2018$15.0M then
State-registered IARs (5.B.3)0 as of Jan 4, 2023
Feb 8, 20170 then
Employees (5.A)22 as of Jan 4, 2023
Feb 8, 201710 then
Private funds1 as of Jan 4, 2023
Feb 26, 20191 then
RAUM -10% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 12, 2023; 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
$151MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
8.9%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
-10%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 vehiclesreportedItem 5.G
Custody
$41.4M, 1 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
  • Other investment advisers$919M87%
  • Insurance companies$93.5M8.9%
  • Pooled investment vehicles$41.4M3.9%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$41.4M for 1 clientsreported
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
      A•• U•• L••••• I••••• F••• L••Hedge Fund$41.4M4Feb 26, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • S••••• M•••••••• A••• · Senior Partner; Chief Operating Officer; Chief Compliance Officercontrol
        since 12/2014 · owns less than 5%
      • F••••••••• S••••••• C•••••• · Managing Partner
        since 06/2014 · owns less than 5%
      • P••••••• J•••••• P•••••• · Director
        since 12/2022 · owns less than 5%
      Entity owners
      • M•••••• I••••••••• M••••••••• H••••••• •••••••• L•••••• · Corporate Shareholder
        direct · owns 75% or more
      • A••••••• L••• I•••••••• C•••••• · Indirect Corporate Shareholder
        indirect · owns 75% or more of M•••••• G••••• H•••••• C•••••• I• G•••
      • M•••••• G••••• H•••••• C•••••• I• G••• · Indirect Corporate Shareholder
        indirect · owns 75% or more of M•••••• G••••• H•••••• C•••••• I• G•••
      • M•••••• G••••• H•••••• C•••••• I• G••• · Indirect Corporate Shareholder
        indirect · owns 75% or more of M•••••• I••••••••• M••••••••• H••••••• •••••••• L••••••
      • M••••••• I•• · Indirect Corporate Shareholder
        indirect · owns 75% or more of A••••••• L••• I•••••••• C•••••• · public reporting company
      Related persons
      Schedule D 7.A
      • A••••••••• I••••••••• M••••••••• U• L••
        pooled vehicle sponsory
      Advisers that list A••••••••• I••••••••• M••••••••• P••••••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 6 to 7
        Oct 7, 2022 to Jan 4, 2023
      • Advisory employees · 12 to 15
        Oct 7, 2022 to Jan 4, 2023
      • HNW clients · 1.0 to unset
        Oct 7, 2022 to Jan 4, 2023
      • Assets in custody · $41.2M to $41.4M
        Oct 7, 2022 to Jan 4, 2023
      • Employees · 20 to 22
        Oct 7, 2022 to Jan 4, 2023
      • Discretionary RAUM · $1.2B to $1.1B
        Oct 7, 2022 to Jan 4, 2023
      • HNW RAUM · 55599520.0 to unset
        Oct 7, 2022 to Jan 4, 2023
      • Pooled vehicle RAUM · $41.2M to $41.4M
        Oct 7, 2022 to Jan 4, 2023
      • RAUM · $1.2B to $1.1B
        Oct 7, 2022 to Jan 4, 2023
      • Advisory employees · 15 to 12
        Feb 16, 2021 to Feb 21, 2022
      • Assets in custody · unset to 41218673.0
        Feb 16, 2021 to Feb 21, 2022
      • Custody of client assets · false to true
        Feb 16, 2021 to Feb 21, 2022
      • Employees · 22 to 20
        Feb 16, 2021 to Feb 21, 2022
      • Discretionary RAUM · $1.1B to $1.2B
        Feb 16, 2021 to Feb 21, 2022
      • HNW RAUM · $58.6M to $55.6M
        Feb 16, 2021 to Feb 21, 2022
      • Pooled vehicle RAUM · $42.2M to $41.2M
        Feb 16, 2021 to Feb 21, 2022
      • RAUM · $1.1B to $1.2B
        Feb 16, 2021 to Feb 21, 2022
      • Advisory employees · 12 to 15
        Feb 25, 2020 to Feb 16, 2021
      • Employees · 19 to 22
        Feb 25, 2020 to Feb 16, 2021
      • Discretionary RAUM · $649M to $1.1B
        Feb 25, 2020 to Feb 16, 2021
      • HNW RAUM · $53.9M to $58.6M
        Feb 25, 2020 to Feb 16, 2021
      • Pooled vehicle RAUM · $37.0M to $42.2M
        Feb 25, 2020 to Feb 16, 2021
      • RAUM · $649M to $1.1B
        Feb 25, 2020 to Feb 16, 2021
      • HNW clients · 2 to 1
        Feb 26, 2019 to Feb 25, 2020
      • Discretionary RAUM · $427M to $649M
        Feb 26, 2019 to Feb 25, 2020
      • HNW RAUM · $65.2M to $53.9M
        Feb 26, 2019 to Feb 25, 2020
      • Pooled vehicle RAUM · $29.0M to $37.0M
        Feb 26, 2019 to Feb 25, 2020
      • RAUM · $427M to $649M
        Feb 26, 2019 to Feb 25, 2020
      • Accounts · 3 to 6
        Feb 9, 2018 to Feb 26, 2019
      • Advisory employees · 14 to 12
        Feb 9, 2018 to Feb 26, 2019
      • Advisory activities · 1 to 2
        Feb 9, 2018 to Feb 26, 2019
      • Business name · A••••••••• I••••••••• M••••••••• U• L•• to A••••••••• I••••••••• M••••••••• P••••••• L••••••
        Feb 9, 2018 to Feb 26, 2019
      • HNW clients · 1 to 2
        Feb 9, 2018 to Feb 26, 2019
      • Pension plan clients · 1.0 to unset
        Feb 9, 2018 to Feb 26, 2019
      • Employees · 16 to 19
        Feb 9, 2018 to Feb 26, 2019
      • Legal name · A••••••••• I••••••••• M••••••••• U• L•• to A••••••••• I••••••••• M••••••••• P••••••• L••••••
        Feb 9, 2018 to Feb 26, 2019
      • Private funds · unset to 1
        Feb 9, 2018 to Feb 26, 2019
      • Discretionary RAUM · $415M to $427M
        Feb 9, 2018 to Feb 26, 2019
      • HNW RAUM · $15.0M to $65.2M
        Feb 9, 2018 to Feb 26, 2019
      • Pension RAUM · 100000000.0 to unset
        Feb 9, 2018 to Feb 26, 2019
      Signals
      4 dated events
      • Leigh Stuart Kinnersley (Managing Partner) no longer on Schedule A of A••••••••• I••••••••• M••••••••• P••••••• L•••••• (listed 2021-02-16, absent 2022-02-21)
        Feb 21, 2022 · Control person left · inference
      • A••••••••• I••••••••• M••••••••• P••••••• L•••••• reported RAUM $1.1B, up 71% from $649.4M (2020-02-25 to 2021-02-16)
        Feb 16, 2021 · RAUM change · derived
      • A••••••••• I••••••••• M••••••••• P••••••• L•••••• reported RAUM $649.4M, up 52% from $427.2M (2019-02-26 to 2020-02-25)
        Feb 25, 2020 · RAUM change · derived
      • A••••••••• I••••••••• M••••••••• filed its initial SEC registration (Form ADV)
        Jan 11, 2016 · 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