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••••••• I••••••••• A••••••• L••
Latest filing Jul 8, 2026
First filing on the tape Dec 15, 2016 · 14 filings
SEC status approved since Jan 3, 2017
RAUM
$982M
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
10
4 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
reported on Schedule D
History
14 filings and snapshots on the tape
RAUM$982M as of Jul 8, 2026
Jun 29, 2017$1.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 8, 2026
Jun 29, 20170 then
Employees (5.A)10 as of Jul 8, 2026
Jun 29, 201713 then
Private funds4 as of Jul 8, 2026
Jun 29, 20172 then
RAUM -44% over the last fiscal year+39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 8, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $89.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 86%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
- -48%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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
- State and municipal entities$848M87%
- Pooled investment vehicles$73.3M7.5%
- Investment companies$53.0M5.4%
- Insurance companies$391,5510.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.13 institutional_share=0.86 related_bd=false related_bank=false 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
9 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| E••••• I••••••••• F•••• I••• • P••••• C•• F••• | Hedge Fund | $733M | 4 | Jun 26, 2024 |
| E••••• I••••••••• F•••• P••no longer reported | Hedge Fund | $683M | 11 | Dec 15, 2016 |
| E••••• I••••••••• F•••• I••• • G••••• F••• | Hedge Fund | $194M | 9 | Jun 29, 2018 |
| P••••••• M••••• F••• P••no longer reported | Hedge Fund | $61.9M | 8 | Dec 15, 2016 |
| E••••• I••••••••• F•••• I••• • P••••••• O••••••••• C••••• F••• | Hedge Fund | $42.7M | 2 | Jun 28, 2019 |
| P••••••• M••••• F••• P•• • A••••• S••••• 2••••• | Hedge Fund | $24.1M | 4 | Jun 29, 2018 |
| E••••• I••••••••• F•••• I•••• A••••• F••• | Hedge Fund | $17.5M | 2 | Jun 29, 2021 |
| E••••• I••••••••• F•••• I••• • T••• F••• | Hedge Fund | $1.4M | 1 | Jul 1, 2020 |
| E••••• I••••••••• F•••• I••• • M•••••• F•••no longer reported | Hedge Fund | $0 | 0 | Jun 29, 2018 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• A•••••• S•• C•••• · Partnercontrolsince 03/2010 · owns less than 5%
- F•••••••• G•••••• P••• J•••••• · Cco / Partnercontrolsince 03/2010 · owns less than 5%
- H•••• M•••• A••••• C•••••••• · Ceo & Partnercontrolsince 12/2003 · owns less than 5%
Entity owners
- P••••••• A•••• M••••••••• L•••••• · Parent Undertakingdirect · owns 75% or more
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Apr 1, 2026institutional share of RAUM moved from 40.0% to 75.0% between the annual amendments of 2024-06-26 and 2026-04-01peers: institutional managers, $500M to $1B (71)
- RAUM down 25 %Change between filings · filing Apr 1, 2026RAUM (Item 5.F) moved from $1,756,695,572 to $914,790,786 (-48.0%) between the annual amendments of 2024-06-26 and 2026-04-01; the peer median change was +13.0% (63 comparable advisers, 0.0th percentile of changes)peers: institutional managers, $500M to $1B (63) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 12 to 11Apr 1, 2026 to Jun 19, 2026
- Discretionary RAUM · $915M to $982MApr 1, 2026 to Jun 19, 2026
- Pooled vehicle RAUM · $148M to $73.3MApr 1, 2026 to Jun 19, 2026
- RAUM · $915M to $982MApr 1, 2026 to Jun 19, 2026
- Accounts · 14 to 12Jun 26, 2024 to Jun 27, 2025
- Advisory employees · 6 to 4Jun 26, 2024 to Jun 27, 2025
- Pooled vehicle clients · 6 to 4Jun 26, 2024 to Jun 27, 2025
- Employees · 12 to 10Jun 26, 2024 to Jun 27, 2025
- Financial planning clients · unset to Jun 26, 2024 to Jun 27, 2025
- HQ state · unset to Jun 26, 2024 to Jun 27, 2025
- Private funds · 5 to 4Jun 26, 2024 to Jun 27, 2025
- Discretionary RAUM · $1.8B to $915MJun 26, 2024 to Jun 27, 2025
- Pooled vehicle RAUM · $1.0B to $148MJun 26, 2024 to Jun 27, 2025
- RAUM · $1.8B to $915MJun 26, 2024 to Jun 27, 2025
- Accounts · 6 to 14Jul 18, 2023 to Jun 26, 2024
- Advisory activities · 2 to 4Jul 18, 2023 to Jun 26, 2024
- BD registered reps · 1 to 0Jul 18, 2023 to Jun 26, 2024
- Pooled vehicle clients · 5 to 6Jul 18, 2023 to Jun 26, 2024
- Employees · 11 to 12Jul 18, 2023 to Jun 26, 2024
- Discretionary RAUM · $340M to $1.8BJul 18, 2023 to Jun 26, 2024
- Pooled vehicle RAUM · $270M to $1.0BJul 18, 2023 to Jun 26, 2024
- RAUM · $340M to $1.8BJul 18, 2023 to Jun 26, 2024
- BD registered reps · 0 to 1Jun 28, 2022 to Jul 18, 2023
- Employees · 12 to 11Jun 28, 2022 to Jul 18, 2023
- Discretionary RAUM · $365M to $340MJun 28, 2022 to Jul 18, 2023
- Pooled vehicle RAUM · $280M to $270MJun 28, 2022 to Jul 18, 2023
- RAUM · $365M to $340MJun 28, 2022 to Jul 18, 2023
- Private funds · 6 to 5Jun 29, 2021 to Jun 28, 2022
- Discretionary RAUM · $441M to $365MJun 29, 2021 to Jun 28, 2022
- Pooled vehicle RAUM · $369M to $280MJun 29, 2021 to Jun 28, 2022
- RAUM · $441M to $365MJun 29, 2021 to Jun 28, 2022
- Accounts · 7 to 6Jul 1, 2020 to Jun 29, 2021
- Private funds · 5 to 6Jul 1, 2020 to Jun 29, 2021
- Discretionary RAUM · $680M to $441MJul 1, 2020 to Jun 29, 2021
- Non-discretionary RAUM · $35.6M to $0Jul 1, 2020 to Jun 29, 2021
- Pooled vehicle RAUM · $627M to $369MJul 1, 2020 to Jun 29, 2021
- RAUM · $715M to $441MJul 1, 2020 to Jun 29, 2021
- Accounts · 5 to 7Jun 28, 2019 to Jul 1, 2020
- Advisory employees · 7 to 6Jun 28, 2019 to Jul 1, 2020
- Pooled vehicle clients · 4 to 5Jun 28, 2019 to Jul 1, 2020
Signals
6 dated events
- P••••••• I••••••••• A••••••• L•• reported RAUM $914.8M, down 48% from $1.8B (2024-06-26 to 2025-06-27)Jun 27, 2025 · RAUM change · derived
- P••••••• I••••••••• A••••••• L•• reported RAUM $1.8B, up 417% from $340.0M (2023-07-18 to 2024-06-26)Jun 26, 2024 · RAUM change · derived
- P••••••• I••••••••• A••••••• L•• reported RAUM $441.2M, down 38% from $715.5M (2020-07-01 to 2021-06-29)Jun 29, 2021 · RAUM change · derived
- P••••••• I••••••••• A••••••• L•• reported RAUM $715.5M, up 38% from $520.1M (2019-06-28 to 2020-07-01)Jul 1, 2020 · RAUM change · derived
- P••••••• I••••••••• A••••••• L•• reported RAUM $668.6M, down 27% from $921.3M (2017-10-26 to 2018-06-29)Jun 29, 2018 · RAUM change · derived
- P••••••• I••••••••• A••••••• L•• filed its initial SEC registration (Form ADV)Dec 15, 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/P•••••••AMreportedpublic record, Form ADV, Sep 18, 2026
- Website
- P•••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 020 4570 5514reportedpublic record, Form ADV, Jul 8, 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
- Institutional managerderiveda 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