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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SEC-registered adviser
P•••••••• C•••••• A••••••• L••
Latest filing Mar 26, 2026
First filing on the tape Apr 22, 2016 · 29 filings
SEC status approved since May 3, 2016
RAUM
$25B
reported, Item 5.F
Discretionary
3.6%
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
146
100 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
5
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$25B as of Mar 26, 2026
Mar 30, 2017$1.4B then
HNW client RAUM$0 as of Mar 26, 2026
Mar 30, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 30, 20170 then
Employees (5.A)146 as of Mar 26, 2026
Mar 30, 201734 then
Private funds5 as of Mar 26, 2026
Mar 30, 20172 then
RAUM +3.8% over the last fiscal year+13% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2026; 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
- $302MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 3.6%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $852M, 4 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$25B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 83reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $852M for 4 clientsreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P•••••••• S•••••••• C••••• F••• D••••••• I• L• | Other Private Fund | $319M | 9 | Sep 29, 2017 |
| P•••••••• E•••••••• A••••••••• C••••• F••• L• | Other Private Fund | $111M | 0 | Mar 29, 2024 |
| P•••••••• D••• F••• D••••••• I• L• | Other Private Fund | $86.8M | 1 | Sep 29, 2017 |
| P•••••••• E••••••• D••• I••••••••• J••••• 1• L•no longer reported | Other Private Fund | $59.5M | 1 | Dec 19, 2016 |
| P•••••••• D••• F••• D••••••• I• L•• | Other Private Fund | $41.5M | 3 | Dec 19, 2016 |
| P•••••••• S•••••••• C••••• F••• C••••• I• L• | Other Private Fund | $35.7M | 6 | Mar 28, 2019 |
| P•••••••• N•• F•••••••• C••• U•• F••••• S••• | Other Private Fund | $11.4M | 1 | Aug 31, 2023 |
| P•••••••• M••••••••• D••• F••• I•• ••• F••••••no longer reported | Other Private Fund | $0 | 1 | Mar 27, 2020 |
Owners and control persons
Schedule A and B, latest filing
- A••••••• P•••• N•• · Partnercontrolsince 06/2020 · owns less than 5%
- B•••• P•••••• W•••••• · Chief Compliance Officercontrolsince 09/2024 · owns less than 5%
- C•••• E•••• M•••••• · Partnercontrolsince 05/2017 · owns less than 5%
- C••••••• R••••• E••••• · Partnercontrolsince 12/2016 · owns less than 5%
- D••••• T•••••• A•••••• · Partnercontrolsince 01/2022 · owns less than 5%
- D••••••••• S••••• R••••••• · Shareholdercontrolsince 11/2010 · owns 25% to 50%
- D••••••• T•••••• S••••• · Partnercontrolsince 09/2014 · owns less than 5%
- G••••• N•••••• J•••• · Partnercontrolsince 10/2016 · owns less than 5%
- G•••••••• C••••••• N•• · Partnercontrolsince 06/2020 · owns less than 5%
- G•••••••• B••• W••••• · Partnercontrolsince 09/2016 · owns less than 5%
- H•••••• M•••• J••••••• · Partner, Coocontrolsince 08/2023 · owns less than 5%
- J••••• K••••• N•• · Officercontrolsince 10/2013 · owns less than 5%
- J••••••••• A••••••• O••••• · Partnercontrolsince 07/2018 · owns less than 5%
- D••••••••• S••••• R••••••• · Partnercontrolsince 11/2010 · owns 25% to 50% of P•••••••• A•••• M••••••••• H••••••• L••••••
Entity owners
- L•••• • G•••••• C•••••• I••••••••• L•• · Shareholderdirect · owns 25% to 50%
- L•••• • G•••••• G•••• P•• · Shareholderindirect · owns 75% or more of L•••• • G•••••• C•••••• I••••••••• L•• · public reporting company
- P•••••••• A•••• M••••••••• S••••••• U• L•••••• · Shareholderdirect · owns 5% to 10%
- I••••••••• T•••••• 2• ••••••• L•••••• · T••••••indirect · owns F of P•••••••• T••••
- L•••• • G•••••• C•••••• I••••••••• L•• · Shareholderindirect · owns 25% to 50% of P•••••••• A•••• M••••••••• H••••••• L••••••
- P•••••••• A•••• M••••••••• H••••••• L•••••• · Shareholderindirect · owns 75% or more of P•••••••• A•••• M••••••••• S••••••• U• L••••••
- P•••••••• T•••• · Shareholderindirect · owns F of P•••••••• A•••• M••••••••• H••••••• L••••••
Related persons
Schedule D 7.A
- P•••••••• A•••• M••••••••• S•••investment adviserbankpooled vehicle sponsorn
- P•••••••• C•••••• S•••••••investment adviserbankpooled vehicle sponsorn
- P•••••••• D••• F••• G• I•• S•••investment adviserbankpooled vehicle sponsorn
- P•••••••• D••• F••• I• G• S••••••investment adviserbankpooled vehicle sponsorn
- P•••••••• D••• G• I• ••••••• L••investment adviserpooled vehicle sponsorn
- P•••••••• D••• G• I• S•••••••investment adviserbankpooled vehicle sponsorn
- P•••••••• D••• G• I•• S•••investment adviserbankpooled vehicle sponsorn
- P•••••••• D••• G• S•••••••investment adviserbankpooled vehicle sponsorn
- P•••••••• G• I• ••••••• L••••••investment adviserbankpooled vehicle sponsorn
- P•••••••• N•• F•••••••• G• S•••••••investment adviserbankpooled vehicle sponsorn
- P•••••••• R•• G• S•• R•••investment adviserbankpooled vehicle sponsorn
- P•••••••• S••••• L•••• G• I• S••••••investment adviserbankpooled vehicle sponsorn
- P•••••••• S•••••••• C••••• G• I• ••••••• L••investment adviserbankpooled vehicle sponsorn
- P•••••••• S•••••••• C••••• G• I• ••••••• L••investment adviserbankpooled vehicle sponsorn
- P•••••••• S•••••••• C••••• G• I• S•••investment adviserbankpooled vehicle sponsorn
- P•••••••• S•••••••• C••••• G• I•• S•••••••investment adviserbankpooled vehicle sponsorn
- P•••••••• S•••••••• C••••• G• I• S•••••••investment adviserbankpooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- Dubai, United Arab Emirates2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- low discretionary shareStatic outlier · filing Mar 26, 2026discretionary share of RAUM of 4% against a peer median of 100% (512 comparable advisers, 1.0th percentile, 32.5 robust deviations)peers: asset managers, $20B and over (512) · 1.2% percentile
What changed
consecutive filings, newest first
- Accounts · 65 to 83Mar 20, 2025 to Mar 26, 2026
- Advisory employees · 83 to 100Mar 20, 2025 to Mar 26, 2026
- Pooled vehicle clients · 65 to 83Mar 20, 2025 to Mar 26, 2026
- Assets in custody · $823M to $852MMar 20, 2025 to Mar 26, 2026
- Employees · 123 to 146Mar 20, 2025 to Mar 26, 2026
- Discretionary RAUM · $862M to $890MMar 20, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $23B to $24BMar 20, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $24B to $25BMar 20, 2025 to Mar 26, 2026
- RAUM · $24B to $25BMar 20, 2025 to Mar 26, 2026
- Accounts · 54 to 65Dec 13, 2024 to Mar 20, 2025
- Advisory employees · 77 to 83Dec 13, 2024 to Mar 20, 2025
- Pooled vehicle clients · 54 to 65Dec 13, 2024 to Mar 20, 2025
- Assets in custody · $570M to $823MDec 13, 2024 to Mar 20, 2025
- Employees · 113 to 123Dec 13, 2024 to Mar 20, 2025
- Financial planning clients · 0 to 0Dec 13, 2024 to Mar 20, 2025
- HQ state · unset to Dec 13, 2024 to Mar 20, 2025
- Private funds · 6 to 5Dec 13, 2024 to Mar 20, 2025
- Discretionary RAUM · $0 to $862MDec 13, 2024 to Mar 20, 2025
- Non-discretionary RAUM · $24B to $23BDec 13, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $24B to $24BDec 13, 2024 to Mar 20, 2025
- RAUM · $24B to $24BDec 13, 2024 to Mar 20, 2025
- Accounts · 61 to 54Sep 19, 2024 to Dec 13, 2024
- Advisory employees · 48 to 77Sep 19, 2024 to Dec 13, 2024
- Pooled vehicle clients · 61 to 54Sep 19, 2024 to Dec 13, 2024
- Assets in custody · unset to 569629045.0Sep 19, 2024 to Dec 13, 2024
- Custody of client assets · false to trueSep 19, 2024 to Dec 13, 2024
- Employees · 100 to 113Sep 19, 2024 to Dec 13, 2024
- Non-discretionary RAUM · $21B to $24BSep 19, 2024 to Dec 13, 2024
- Pooled vehicle RAUM · $21B to $24BSep 19, 2024 to Dec 13, 2024
- RAUM · $21B to $24BSep 19, 2024 to Dec 13, 2024
- Accounts · 58 to 61Aug 31, 2023 to Mar 29, 2024
- Advisory employees · 44 to 48Aug 31, 2023 to Mar 29, 2024
- Pooled vehicle clients · 58 to 61Aug 31, 2023 to Mar 29, 2024
- Employees · 89 to 100Aug 31, 2023 to Mar 29, 2024
- Private funds · 5 to 6Aug 31, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $18B to $21BAug 31, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $18B to $21BAug 31, 2023 to Mar 29, 2024
- RAUM · $18B to $21BAug 31, 2023 to Mar 29, 2024
- Accounts · 55 to 58Mar 31, 2023 to Aug 31, 2023
- Advisory employees · 45 to 44Mar 31, 2023 to Aug 31, 2023
Signals
25 dated events
- Anne Harriet Polturak (Partner) no longer on Schedule A of P•••••••• C•••••• A••••••• L•• (listed 2024-09-19, absent 2024-12-13)Dec 13, 2024 · Control person left · inference
- Anne Harriet Polturak (Partner) appeared on Schedule A of P•••••••• C•••••• A••••••• L••Sep 19, 2024 · Control person joined · fact
- William P••••• Best (Group Head Of Compliance) appeared on Schedule A of P•••••••• C•••••• A••••••• L••Sep 16, 2024 · Control person joined · fact
- Jane Helen Richards (Chief Compliance Officer) no longer on Schedule A of P•••••••• C•••••• A••••••• L•• (listed 2024-03-29, absent 2024-09-16)Sep 16, 2024 · Control person left · inference
- Anne Harriet Polturak (Partner) appeared on Schedule A of P•••••••• C•••••• A••••••• L••Aug 31, 2023 · Control person joined · fact
- John Graeme Dell (Coo, Partner) no longer on Schedule A of P•••••••• C•••••• A••••••• L•• (listed 2023-03-31, absent 2023-08-31)Aug 31, 2023 · Control person left · inference
- P•••••••• C•••••• A••••••• L•• reported RAUM $14.7B, up 28% from $11.5B (2021-07-15 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Nicholas Hamilton Jeremy Hood (Partner) no longer on Schedule A of P•••••••• C•••••• A••••••• L•• (listed 2021-07-15, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Anthony Thomas Doyle (Partner) appeared on Schedule A of P•••••••• C•••••• A••••••• L••Mar 31, 2022 · Control person joined · fact
- John Graeme Dell (Coo, Partner) appeared on Schedule A of P•••••••• C•••••• A••••••• L••Jul 15, 2021 · Control person joined · fact
- Thomas Lack (Partner) no longer on Schedule A of P•••••••• C•••••• A••••••• L•• (listed 2021-03-31, absent 2021-07-15)Jul 15, 2021 · Control person left · inference
- P•••••••• C•••••• A••••••• L•• reported RAUM $10.7B, up 58% from $6.8B (2020-06-12 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Nmn Carsten Guenther (Partner) appeared on Schedule A of P•••••••• C•••••• A••••••• L••Jun 12, 2020 · Control person joined · fact
- Nmn Paul Aldrich (Partner) appeared on Schedule A of P•••••••• C•••••• A••••••• L••Jun 12, 2020 · Control person joined · fact
- Nicholas Hamilton Jeremy Hood (Partner) appeared on Schedule A of P•••••••• C•••••• A••••••• L••Jun 12, 2020 · Control person joined · fact
- John Marcus Barnes (Partner) no longer on Schedule A of P•••••••• C•••••• A••••••• L•• (listed 2020-03-30, absent 2020-06-12)Jun 12, 2020 · Control person left · inference
- Raymond Paul Sullivan (Partner) no longer on Schedule A of P•••••••• C•••••• A••••••• L•• (listed 2019-04-09, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- J•••• P••••• A•••••• (Partner) no longer on Schedule A of P•••••••• C•••••• A••••••• L•• (listed 2019-04-09, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Oliver Antoine Josserand (Partner) appeared on Schedule A of P•••••••• C•••••• A••••••• L••Apr 9, 2019 · Control person joined · fact
- Arthur Olivier Antoine Josserand (Partner) no longer on Schedule A of P•••••••• C•••••• A••••••• L•• (listed 2019-03-28, absent 2019-04-09)Apr 9, 2019 · Control person left · inference
- P•••••••• C•••••• A••••••• L•• reported RAUM $5.5B, up 138% from $2.3B (2018-03-30 to 2019-03-28)Mar 28, 2019 · RAUM change · derived
- Arthur Olivier Antoine Josserand (Partner) appeared on Schedule A of P•••••••• C•••••• A••••••• L••Mar 28, 2019 · Control person joined · fact
- J•••• Michael Anderson (Partner) no longer on Schedule A of P•••••••• C•••••• A••••••• L•• (listed 2018-03-30, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- P•••••••• C•••••• A••••••• L•• reported RAUM $2.3B, up 35% from $1.7B (2017-12-26 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- P•••••••• C•••••• A••••••• L•• filed its initial SEC registration (Form ADV)Apr 22, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/pemberton-asset-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- P••••••••AM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 44 (0) 20 7993 9300reportedpublic record, Form ADV, Mar 26, 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
- Asset manager (funds and pooled vehicles)deriveda 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