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
J•••• H••••• • P••••••• L••
Latest filing Jul 16, 2026
First filing on the tape Jun 15, 2017 · 15 filings
SEC status approved since Jul 27, 2017
RAUM
$13B
reported, Item 5.F
Discretionary
86%
of RAUM
Private clients
52%
$6.8B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
175
25 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$13B as of Jul 16, 2026
Jun 28, 2018$3.6B then
HNW client RAUM$5.9B as of Jul 16, 2026
Jun 28, 2018$1.5B then
State-registered IARs (5.B.3)0 as of Jul 16, 2026
Jun 28, 20180 then
Employees (5.A)175 as of Jul 16, 2026
Jun 28, 201882 then
Private funds: no history
RAUM +87% over the last fiscal year+26% a year over threeIARs 0 to 0offices 2 to 3
Practice profile
derived from the filing of Jul 16, 2026; every figure names its basis
Archetypes, each a printed rule
- HNW wealth manager · private-client share of RAUM at least 50 percent and HNW share of private-client RAUM 50 to 90 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
- $2.8MderivedHNW RAUM over HNW clients
- Average account
- $1.2MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +22%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +41%derived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- High-net-worth individuals$5.9B45%
- Pooled investment vehicles$2.6B20%
- Pension and profit-sharing plans$1.7B13%
- Corporations and businesses$1.5B11%
- Individuals$888M6.8%
- Charitable organizations$393M3.0%
- Individual clients
- 2,956reported
- HNW clients
- 2,117reported
- Pension plan clients
- 1,608reported
- Charitable clients
- 73reported
- Accounts
- 11,028reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.52 fund_share=0.2 institutional_share=0.16 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••• J••••• A•••••• E••••• · Head Of Investments, Partnercontrolsince 07/2017 · owns less than 5%
- C•••••• P•••• B•••••• · Deputy Chairman, Partnercontrolsince 08/2012 · owns 5% to 10%
- H•••••• J••••• D•••• · Chairman, Partnercontrolsince 12/2011 · owns less than 5%
- I•••••••• M••••••• N•• · Head Of Wealth, Partnercontrolsince 05/2025 · owns less than 5%
- L••••••• D•••• N•• · Chief Operating Officercontrolsince 05/2025 · owns less than 5%
- M••••••• J••• · Chief Risk Officer, Partnercontrolsince 05/2017 · owns less than 5%
- R•••• A•••••• C•••• · Head Of Finance, Partnercontrolsince 10/2016 · owns less than 5%
- S••••• A•••••• J• · Ceo, Partnercontrolsince 03/2010 · owns 5% to 10%
- H•••••• J••••• D•••• · Directorcontrolsince 09/2011 · owns F of R•••••• L••••••
- V•• S••••••••• W••••••• H••••••• · Deputy Chairman, Partnersince 03/2010 · owns 10% to 25%
Entity owners
- R•••••• L•••••• · Partnerdirect · owns 10% to 25%
- J••• H••••••• L•••••• · Partnerdirect · owns 10% to 25%
- M•• E•••• H••••••• L•••••• · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- J•••• H••••• • C•••••• L••investment advisery
Offices
Schedule D 1.F, the 25 largest
- Leeds, United Kingdom3 employees
- Bristol, United Kingdom2 employees
- Edinburgh, United Kingdom2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 16, 2026I•••••••• M••••••• N•• (HEAD OF WEALTH, PARTNER) appeared on Schedule A between the filings of 2022-07-11 and 2026-07-16peers: independent wealth managers, $5B to $20B (289)
- control person changedChange between filings · filing Jul 16, 2026L••••••• D•••• N•• (CHIEF OPERATING OFFICER) appeared on Schedule A between the filings of 2022-07-11 and 2026-07-16peers: independent wealth managers, $5B to $20B (289)
What changed
consecutive filings, newest first
- Accounts · 10,063 to 11,028Nov 14, 2025 to Jul 16, 2026
- Advisory employees · 22 to 25Nov 14, 2025 to Jul 16, 2026
- Corporate clients · 212 to 213Nov 14, 2025 to Jul 16, 2026
- HNW clients · 1,867 to 2,117Nov 14, 2025 to Jul 16, 2026
- Individual clients · 2,754 to 2,956Nov 14, 2025 to Jul 16, 2026
- Pension plan clients · 1,485 to 1,608Nov 14, 2025 to Jul 16, 2026
- Pooled vehicle clients · 27 to 26Nov 14, 2025 to Jul 16, 2026
- Employees · 166 to 175Nov 14, 2025 to Jul 16, 2026
- Discretionary RAUM · $8.9B to $11BNov 14, 2025 to Jul 16, 2026
- HNW RAUM · $4.8B to $5.9BNov 14, 2025 to Jul 16, 2026
- Individual RAUM · $761M to $888MNov 14, 2025 to Jul 16, 2026
- Non-discretionary RAUM · $1.6B to $1.8BNov 14, 2025 to Jul 16, 2026
- Pension RAUM · $1.4B to $1.7BNov 14, 2025 to Jul 16, 2026
- Pooled vehicle RAUM · $2.0B to $2.6BNov 14, 2025 to Jul 16, 2026
- RAUM · $11B to $13BNov 14, 2025 to Jul 16, 2026
- Financial planning clients · 0 to 0Jul 4, 2025 to Nov 14, 2025
- Accounts · 8,526 to 10,063Jul 5, 2024 to Jul 4, 2025
- Advisory employees · 23 to 22Jul 5, 2024 to Jul 4, 2025
- Charity clients · 67 to 73Jul 5, 2024 to Jul 4, 2025
- Corporate clients · 192 to 212Jul 5, 2024 to Jul 4, 2025
- HNW clients · 1,518 to 1,867Jul 5, 2024 to Jul 4, 2025
- Individual clients · 2,395 to 2,754Jul 5, 2024 to Jul 4, 2025
- Pension plan clients · 1,279 to 1,485Jul 5, 2024 to Jul 4, 2025
- Employees · 151 to 166Jul 5, 2024 to Jul 4, 2025
- HQ state · unset to Jul 5, 2024 to Jul 4, 2025
- Discretionary RAUM · $7.2B to $8.9BJul 5, 2024 to Jul 4, 2025
- HNW RAUM · $3.6B to $4.8BJul 5, 2024 to Jul 4, 2025
- Individual RAUM · $686M to $761MJul 5, 2024 to Jul 4, 2025
- Non-discretionary RAUM · $1.2B to $1.6BJul 5, 2024 to Jul 4, 2025
- Pension RAUM · $1.2B to $1.4BJul 5, 2024 to Jul 4, 2025
- Pooled vehicle RAUM · $1.5B to $2.0BJul 5, 2024 to Jul 4, 2025
- RAUM · $8.5B to $11BJul 5, 2024 to Jul 4, 2025
- Accounts · 7,177 to 8,526Jul 5, 2023 to Jul 5, 2024
- Advisory employees · 22 to 23Jul 5, 2023 to Jul 5, 2024
- Charity clients · 60 to 67Jul 5, 2023 to Jul 5, 2024
- Corporate clients · 162 to 192Jul 5, 2023 to Jul 5, 2024
- HNW clients · 1,229 to 1,518Jul 5, 2023 to Jul 5, 2024
- Individual clients · 1,555 to 2,395Jul 5, 2023 to Jul 5, 2024
- Pension plan clients · 1,037 to 1,279Jul 5, 2023 to Jul 5, 2024
- Pooled vehicle clients · 23 to 27Jul 5, 2023 to Jul 5, 2024
Signals
27 dated events
- Robert Anthony Balniel (Head Of Private Clients, Partner) no longer on Schedule A of J•••• H••••• • P••••••• L•• (listed 2022-07-11, absent 2023-07-05)Jul 5, 2023 · Control person left · inference
- James Andrew Steel (Ceo, Partner) no longer on Schedule A of J•••• H••••• • P••••••• L•• (listed 2021-07-08, absent 2022-07-11)Jul 11, 2022 · Control person left · inference
- J Andrew Steel (Ceo, Partner) appeared on Schedule A of J•••• H••••• • P••••••• L••Jul 11, 2022 · Control person joined · fact
- Jane Mackett (Head Of Compliance, Partner) appeared on Schedule A of J•••• H••••• • P••••••• L••Jul 8, 2021 · Control person joined · fact
- Robert Anthony Balniel (Head Of Private Clients, Partner) appeared on Schedule A of J•••• H••••• • P••••••• L••Jul 8, 2021 · Control person joined · fact
- Clive Andrew Rice (Head Of Finance) appeared on Schedule A of J•••• H••••• • P••••••• L••Jul 8, 2021 · Control person joined · fact
- J•••• H••••• • P••••••• L•• reported RAUM $6.5B, up 49% from $4.4B (2020-07-20 to 2021-07-08)Jul 8, 2021 · RAUM change · derived
- Anthony Enkell James Beck (Head Of Investments, Partner) appeared on Schedule A of J•••• H••••• • P••••••• L••Jul 8, 2021 · Control person joined · fact
- Edward Thomas Charles Underwood (Portfolio Manager, Partner) no longer on Schedule A of J•••• H••••• • P••••••• L•• (listed 2019-07-29, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
- Anthony Enkell James Beck (Portfolio Manager, Partner) no longer on Schedule A of J•••• H••••• • P••••••• L•• (listed 2019-07-29, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
- Movorn William Francklin (Portfolio Manager, Partner) no longer on Schedule A of J•••• H••••• • P••••••• L•• (listed 2019-07-29, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
- Jane Mackett (Cco, Partner) no longer on Schedule A of J•••• H••••• • P••••••• L•• (listed 2019-07-29, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
- Clive Beagles (Partner) no longer on Schedule A of J•••• H••••• • P••••••• L•• (listed 2019-07-29, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
- Alexander James Lowen (Partner) no longer on Schedule A of J•••• H••••• • P••••••• L•• (listed 2019-07-29, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
- Thomas Alexander Black (Partner) no longer on Schedule A of J•••• H••••• • P••••••• L•• (listed 2019-07-29, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
- Brian John Langrish (Head Of Investments, Partner) no longer on Schedule A of J•••• H••••• • P••••••• L•• (listed 2019-07-29, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
- Nmn Martina Iannotti (Coo Partner) no longer on Schedule A of J•••• H••••• • P••••••• L•• (listed 2019-07-29, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
- Diana Rosemary Bullard (Portfolio Manager, Partner) no longer on Schedule A of J•••• H••••• • P••••••• L•• (listed 2019-07-29, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
- Edward Jonathon James Horniman (Portfolio Manager, Partner) no longer on Schedule A of J•••• H••••• • P••••••• L•• (listed 2019-07-29, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
- Kate Penelope Kunzig (Head Of Client Admin, Partner) no longer on Schedule A of J•••• H••••• • P••••••• L•• (listed 2019-07-29, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
- Charles Christopher Macklin (Head Of Business Development, Partner) no longer on Schedule A of J•••• H••••• • P••••••• L•• (listed 2019-07-29, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
- Robert Anthony Balniel (Head Of Private Clients, Partner) no longer on Schedule A of J•••• H••••• • P••••••• L•• (listed 2019-07-29, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
- Jane Nicola Barber (Head Of Charities, Partner) no longer on Schedule A of J•••• H••••• • P••••••• L•• (listed 2019-07-29, absent 2020-06-26)Jun 26, 2020 · Control person left · inference
- Alexander James Lowen (Partner) appeared on Schedule A of J•••• H••••• • P••••••• L••Jul 29, 2019 · Control person joined · fact
- Thomas Alexander Black (Partner) appeared on Schedule A of J•••• H••••• • P••••••• L••Jul 29, 2019 · Control person joined · fact
- Clive Beagles (Partner) appeared on Schedule A of J•••• H••••• • P••••••• L••Jul 29, 2019 · Control person joined · fact
- J•••• H••••• • P••••••• L•• filed its initial SEC registration (Form ADV)Jun 15, 2017 · 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
- Business email
- abutler@jameshambro.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- amontgomery@jameshambro.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- cmacklin@jameshambro.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- ealexander@jameshambro.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- iarnold@jameshambro.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- miannotti@jameshambro.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- nbarber@jameshambro.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- nday@jameshambro.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- pcherry@jameshambro.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business email
- sgoose@jameshambro.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 203-817-3391reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 203-817-3500reportedpublished by the firm, firm site, Sep 17, 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
- Independent wealth 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