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•••• S••••• P••••••• L••

Former SEC-registered adviserLondon, CRD 284557SEC 801-108824IAPD
Latest filing Jun 21, 2023
First filing on the tape Dec 8, 2016 · 13 filings
RAUM
$189M
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
2
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$189M as of Jun 21, 2023
Jun 13, 2017$45.0M then
HNW client RAUM$0 as of Jun 21, 2023
Jun 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 21, 2023
Jun 13, 20170 then
Employees (5.A)2 as of Jun 21, 2023
Jun 13, 20173 then
Private funds: 1
RAUM +16% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 21, 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
$189MderivedRAUM 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
+16%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 institutionsreportedItem 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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•••• S••••• G••••• M••••• F••• L••••••no longer reportedHedge Fund$3.0M12Jul 25, 2016
      Owners and control persons
      Schedule A and B, latest filing
      • I••••••• N••• · Chief Compliance Officercontrol
        since 10/2017 · owns less than 5%
      • M••••••••• K•••• · Chief Investment Officercontrol
        since 12/2015 · owns 75% or more
      Entity owners
      • A•••• S••••• P••••••• S••••••• L•••••• · Corporate Member
        direct · owns less than 5%
      • A•••• S••••• P••••••• ••••••• L•• · Shareholder
        indirect · owns 75% or more of A•••• S••••• P••••••• S••••••• L••••••
      Related persons
      Schedule D 7.A
      No related person reported.
      Advisers that list A•••• S••••• P••••••• L•• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $163M to $189M
        Jul 21, 2022 to Jun 21, 2023
      • RAUM · $163M to $189M
        Jul 21, 2022 to Jun 21, 2023
      • Discretionary RAUM · $158M to $163M
        Jun 29, 2021 to Jun 29, 2022
      • RAUM · $158M to $163M
        Jun 29, 2021 to Jun 29, 2022
      • HQ city · unset to LONDON
        Jun 26, 2020 to Jun 29, 2021
      • Discretionary RAUM · $117M to $158M
        Jun 26, 2020 to Jun 29, 2021
      • RAUM · $117M to $158M
        Jun 26, 2020 to Jun 29, 2021
      • Advisory employees · 3 to 1
        Jun 24, 2019 to Jun 26, 2020
      • Advisory activities · 3 to 1
        Jun 24, 2019 to Jun 26, 2020
      • Employees · 4 to 2
        Jun 24, 2019 to Jun 26, 2020
      • HQ city · LONDON to unset
        Jun 24, 2019 to Jun 26, 2020
      • Discretionary RAUM · $143M to $117M
        Jun 24, 2019 to Jun 26, 2020
      • RAUM · $143M to $117M
        Jun 24, 2019 to Jun 26, 2020
      • Advisory employees · 4 to 3
        Jun 28, 2018 to Jun 24, 2019
      • Discretionary RAUM · $80.5M to $143M
        Jun 28, 2018 to Jun 24, 2019
      • RAUM · $80.5M to $143M
        Jun 28, 2018 to Jun 24, 2019
      • Accounts · 2 to 1
        Mar 29, 2018 to Jun 28, 2018
      • Advisory employees · 2 to 4
        Mar 29, 2018 to Jun 28, 2018
      • Employees · 3 to 4
        Mar 29, 2018 to Jun 28, 2018
      • Private funds · 1 to unset
        Mar 29, 2018 to Jun 28, 2018
      • Discretionary RAUM · $45.0M to $80.5M
        Mar 29, 2018 to Jun 28, 2018
      • HNW RAUM · unset to 0.0
        Mar 29, 2018 to Jun 28, 2018
      • Individual RAUM · unset to 0.0
        Mar 29, 2018 to Jun 28, 2018
      • Pension RAUM · unset to 0.0
        Mar 29, 2018 to Jun 28, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Mar 29, 2018 to Jun 28, 2018
      • RAUM · $45.0M to $80.5M
        Mar 29, 2018 to Jun 28, 2018
      • Organization form · Partnership to Limited Liability Partnership
        Feb 20, 2018 to Mar 29, 2018
      • Other offices · unset to 0.0
        Aug 24, 2017 to Feb 20, 2018
      • Organization form · Limited Liability Partnership to Partnership
        Feb 20, 2018 to Feb 20, 2018
      • Accounts · 1 to 2
        Dec 8, 2016 to Jun 13, 2017
      • Private funds · 2 to 1
        Dec 8, 2016 to Jun 13, 2017
      • Discretionary RAUM · $4.3M to $45.0M
        Dec 8, 2016 to Jun 13, 2017
      • RAUM · $4.3M to $45.0M
        Dec 8, 2016 to Jun 13, 2017
      Signals
      3 dated events
      • Andre David Byron Houdayer (Partner) no longer on Schedule A of A•••• S••••• P••••••• L•• (listed 2019-06-24, absent 2020-06-26)
        Jun 26, 2020 · Control person left · inference
      • Nmn Rajkumar Gopalan (Partner) no longer on Schedule A of A•••• S••••• P••••••• L•• (listed 2019-06-24, absent 2020-06-26)
        Jun 26, 2020 · Control person left · inference
      • A•••• S••••• P••••••• L•• filed its initial SEC registration (Form ADV)
        Dec 8, 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