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••••• B••••• C•••••• L••

Former SEC-registered adviserLondon, CRD 282334SEC 801-107099IAPD
Latest filing Apr 1, 2020
First filing on the tape Dec 22, 2015 · 7 filings
RAUM
$379M
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
7
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$40.2M gross assets
History
7 filings and snapshots on the tape
RAUM$379M as of Apr 1, 2020
Mar 31, 2017$131M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2020
Mar 31, 20170 then
Employees (5.A)7 as of Apr 1, 2020
Mar 31, 20179 then
Private funds1 as of Apr 1, 2020
Mar 31, 20171 then
RAUM +56% over the last fiscal year+43% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 1, 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
$75.9MderivedRAUM 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
+56%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 assets, performance-basedreportedItem 5.E
Advisory activities
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
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$40.0M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      A• A•••• E••••• L••• O••• M••••• F••• L••Hedge Fund$40.2M5Mar 31, 2017
      Owners and control persons
      Schedule A and B, latest filing
      • D••••••• A•••••• D•••••• · Managing Membercontrol
        since 03/2016 · owns 50% to 75%
      • G••••• D••••• J•••• A•••••••• · Investor Membercontrol
        since 03/2016 · owns 5% to 10%
      • H••••• C•••••• · Executive Membercontrol
        since 03/2016 · owns 10% to 25%
      • P••••••• D••••••• L••••• · Executive Member/Coo/Ccocontrol
        since 03/2016 · owns 5% to 10%
      • B•••••• S•••••• H•••• · Investor Member
        since 03/2016 · owns 5% to 10%
      Entity owners
      • B•••• O• R•••••• O• T•• U••••••••• O• T•••• S••••• · Investor Member
        direct · owns 5% to 10%
      Related persons
      Schedule D 7.A
      • A••••• B••••• C•••••• C••••• L••
        bankpooled vehicle sponsorn
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 4 to 3
        Apr 1, 2019 to Apr 1, 2020
      • Employees · 8 to 7
        Apr 1, 2019 to Apr 1, 2020
      • Discretionary RAUM · $244M to $379M
        Apr 1, 2019 to Apr 1, 2020
      • Pooled vehicle RAUM · $12.1M to $40.0M
        Apr 1, 2019 to Apr 1, 2020
      • RAUM · $244M to $379M
        Apr 1, 2019 to Apr 1, 2020
      • Discretionary RAUM · $280M to $244M
        Jun 12, 2018 to Apr 1, 2019
      • Pooled vehicle RAUM · $14.2M to $12.1M
        Jun 12, 2018 to Apr 1, 2019
      • RAUM · $280M to $244M
        Jun 12, 2018 to Apr 1, 2019
      • Related adviser · true to false
        Jun 12, 2018 to Apr 1, 2019
      • Accounts · 4 to 5
        Mar 31, 2017 to Mar 30, 2018
      • Advisory employees · 5 to 4
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 3.0
        Mar 31, 2017 to Mar 30, 2018
      • Employees · 9 to 8
        Mar 31, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 31, 2017 to Mar 30, 2018
      • Discretionary RAUM · $131M to $280M
        Mar 31, 2017 to Mar 30, 2018
      • Pooled vehicle RAUM · unset to 14200000.0
        Mar 31, 2017 to Mar 30, 2018
      • RAUM · $131M to $280M
        Mar 31, 2017 to Mar 30, 2018
      • Related adviser · false to true
        Mar 31, 2017 to Mar 30, 2018
      • Accounts · 0 to 4
        Jan 12, 2016 to Mar 31, 2017
      • Advisory employees · 4 to 5
        Jan 12, 2016 to Mar 31, 2017
      • Advisory activities · 1 to 2
        Jan 12, 2016 to Mar 31, 2017
      • Employees · 5 to 9
        Jan 12, 2016 to Mar 31, 2017
      • Private funds · unset to 1
        Jan 12, 2016 to Mar 31, 2017
      • Discretionary RAUM · $0 to $131M
        Jan 12, 2016 to Mar 31, 2017
      • RAUM · $0 to $131M
        Jan 12, 2016 to Mar 31, 2017
      • Related bank · false to true
        Jan 12, 2016 to Mar 31, 2017
      Signals
      3 dated events
      • A••••• B••••• C•••••• L•• reported RAUM $379.4M, up 56% from $243.7M (2019-04-01 to 2020-04-01)
        Apr 1, 2020 · RAUM change · derived
      • A••••• B••••• C•••••• L•• reported RAUM $280.3M, up 114% from $130.8M (2017-03-31 to 2018-03-30)
        Mar 30, 2018 · RAUM change · derived
      • A••••• B••••• C•••••• L•• filed its initial SEC registration (Form ADV)
        Dec 22, 2015 · 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