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 284242SEC 801-108177IAPD
Latest filing Jul 26, 2019
First filing on the tape Jul 20, 2016 · 6 filings
RAUM
$76.2M
reported, Item 5.F
Discretionary
0.0%
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$21.7M gross assets
History
6 filings and snapshots on the tape
RAUM$76.2M as of Jun 14, 2019
Mar 29, 2017$127M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 14, 2019
Mar 29, 20170 then
Employees (5.A)3 as of Jun 14, 2019
Mar 29, 20173 then
Private funds1 as of Jun 14, 2019
Mar 29, 20171 then
RAUM -46% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jul 26, 2019; 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
$25.4MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%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
-46%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 vehicles, otherreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$76.2M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
0reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • B•••••• C•••• · Shareholdercontrol
        since 01/2018 · owns F of A•• M••••••••• L•••
      • D••••• J••••••••• · Shareholdercontrol
        since 01/2014 · owns 25% to 50% of A•• M••••••••• L•••
      Entity owners
      • A•• M••••••••• L••• · Owner
        direct · owns 75% or more
      • B••• · Shareholder
        indirect · owns 50% to 75% of N••••••
      • H•• A• H•••••• S• · Shareholder
        indirect · owns 75% or more of H•• A• L••••••
      • H•• A• L•••••• · Shareholder
        indirect · owns 75% or more of H•• A• L••
      • H•• A• L•• · Shareholder
        indirect · owns 50% to 75% of A•• M••••••••• L•••
      • I•••••• H•••••••• L••• · Shareholder
        indirect · owns 50% to 75% of Abc Management, Ltd.
      • N•••••• · Shareholder
        indirect · owns 75% or more of N•••••• I••••••••• M•••••••
      • N•••••• I••••••••• M••••••• · Shareholder
        indirect · owns F of H•• A• L••
      Related persons
      Schedule D 7.A
      • A•• M••••••••• L•••
        investment adviserpooled vehicle sponsory
      • H•• A• A••• P•• L••
        investment advisern
      • H•• A•
        investment adviserbankyRAUM $18B
      • H•• M••••• S••
        investment advisern
      • P••••••• C•••••• M••••••••• L••••••
        investment advisern
      • P••••••••• W••••• M•••••••••
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 10 to 3
        Oct 2, 2018 to Jun 14, 2019
      • Charity clients · 0.0 to unset
        Oct 2, 2018 to Jun 14, 2019
      • HNW clients · 0.0 to unset
        Oct 2, 2018 to Jun 14, 2019
      • Pension plan clients · 0.0 to unset
        Oct 2, 2018 to Jun 14, 2019
      • Pooled vehicle clients · 0.0 to unset
        Oct 2, 2018 to Jun 14, 2019
      • Employees · 2 to 3
        Oct 2, 2018 to Jun 14, 2019
      • Non-discretionary RAUM · $140M to $76.2M
        Oct 2, 2018 to Jun 14, 2019
      • RAUM · $140M to $76.2M
        Oct 2, 2018 to Jun 14, 2019
      • Accounts · 5 to 10
        Mar 29, 2017 to Mar 30, 2018
      • Advisory employees · 3 to 2
        Mar 29, 2017 to Mar 30, 2018
      • Charity clients · unset to 0.0
        Mar 29, 2017 to Mar 30, 2018
      • HNW clients · unset to 0.0
        Mar 29, 2017 to Mar 30, 2018
      • Pension plan clients · unset to 0.0
        Mar 29, 2017 to Mar 30, 2018
      • Pooled vehicle clients · unset to 0.0
        Mar 29, 2017 to Mar 30, 2018
      • Employees · 3 to 2
        Mar 29, 2017 to Mar 30, 2018
      • Financial planning clients · unset to 0
        Mar 29, 2017 to Mar 30, 2018
      • Other offices · unset to 0.0
        Mar 29, 2017 to Mar 30, 2018
      • Discretionary RAUM · $127M to $0
        Mar 29, 2017 to Mar 30, 2018
      • Non-discretionary RAUM · $0 to $140M
        Mar 29, 2017 to Mar 30, 2018
      • RAUM · $127M to $140M
        Mar 29, 2017 to Mar 30, 2018
      • Related broker-dealer · false to true
        Mar 29, 2017 to Mar 30, 2018
      • Accounts · 3 to 5
        Jul 20, 2016 to Mar 29, 2017
      • Discretionary RAUM · $48.4M to $127M
        Jul 20, 2016 to Mar 29, 2017
      • RAUM · $48.4M to $127M
        Jul 20, 2016 to Mar 29, 2017
      Signals
      2 dated events
      • Cyril Beriot (Shareholder) appeared on Schedule A of A••••• B••• C•••••• L•••
        Jun 14, 2019 · Control person joined · fact
      • A••••• B••• C•••••• L••• filed its initial SEC registration (Form ADV)
        Jul 20, 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