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

I••••••••• S••••••••• L••••••

Former SEC-registered adviserLondon, England, CRD 287521SEC 801-110126IAPD
Latest filing Sep 28, 2022
First filing on the tape Mar 2, 2017 · 14 filings
RAUM
$255M
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
45
31 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
4
$255M gross assets
History
14 filings and snapshots on the tape
RAUM$255M as of Sep 28, 2022
Sep 28, 2018$133M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 28, 2022
Sep 28, 20170 then
Employees (5.A)45 as of Sep 28, 2022
Sep 28, 201727 then
Private funds4 as of Sep 28, 2022
Sep 28, 20183 then
RAUM -83% over the last fiscal year-37% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 28, 2022; 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
$63.8MderivedRAUM 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
-83%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 pooled vehiclesreportedItem 5.G
Custody
$255M, 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
  • is a broker-dealer (6.A.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$255M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$255M for 4 clientsreported
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
      12 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      I••••••••• E••••••• B••••• F••• 2••• B• L•••Private Equity Fund$794M8Sep 30, 2019
      I••••••••• T••••••••• P••••••• V• S••••• S•••• R•••Private Equity Fund$466M4Sep 12, 2023
      I••••••••• T••••••••• P••••••• I•• L•••Private Equity Fund$263M89Aug 17, 2017
      I••••••••• T••••••••• P••••••• I•••• L•••Private Equity Fund$239M17Sep 28, 2018
      I••••••••• E••••••• B••••• F••• 2••• A• L•••Private Equity Fund$200M8Sep 30, 2019
      I••••••••• T••••••••• P••••••• C••• L•••Private Equity Fund$156M9Sep 6, 2024
      I••••••••• T••••••••• P••••••• I•••• L•••Private Equity Fund$110M16Aug 17, 2017
      I••••••••• T••••••••• P••••••• V••••• S•••Private Equity Fund$71.4M32Sep 28, 2022
      I••••••••• T••••••••• P••••••• V••• L••Private Equity Fund$61.1M16Sep 28, 2022
      I••••••••• E••••••• B••••• 2••• B••• L•••Private Equity Fund$36.7M3Sep 30, 2019
      I••••••••• T••••••••• P••••••• V••• L•••Private Equity Fund$12.4M70Sep 28, 2022
      I••••••••• E••••••• B••••• 2••• A••• L•••Private Equity Fund$9.0M3Sep 30, 2019
      Owners and control persons
      Schedule A and B, latest filing
      • D••••• A•••••• J•••• · Directorcontrol
        since 08/2018 · owns less than 5%
      • H•••••• N•••• N••••• · Directorcontrol
        since 09/2017 · owns less than 5%
      • K••••••••• G••••••• B••••••• · Directorcontrol
        since 11/2019 · owns less than 5%
      • L••• J•••••••• A••• · Chief Compliance Officer, Corporate Secretarycontrol
        since 06/2017 · owns less than 5%
      • L••••••••• D•••••• J••• · Director, Chief Executive Officercontrol
        since 09/2014 · owns less than 5%
      • S••••••••• C•••• · Directorcontrol
        since 08/2017 · owns less than 5%
      Entity owners
      • I••••••••• I••••••••• L•••••• · Shareh•••••
        direct · owns 75% or more
      • C• H••••••• L•• · Shareh•••••
        indirect · owns 50% to 75% of I••••••••• H••••••• L••
      • I•••• H••••••• L•• · Shareh•••••
        indirect · owns 75% or more of I•••• I••••••••• S•• L••
      • I•••• I••••••••• S•• L•• · Shareh•••••
        indirect · owns 50% to 75% of S•••• L••
      • I••••••••• H••••••• L•• · Shareh•••••
        indirect · owns 75% or more of I••••••••• S•••
      • I••••••••• S••• · Shareh•••••
        indirect · owns 75% or more of I••••••••• I••••••••• L••••••
      • O•••••••• H••••••• L•• · Shareh•••••
        indirect · owns 50% to 75% of C• H••••••• L••
      • S•••• L•• · Shareh•••••
        indirect · owns 25% to 50% of O•••••••• H••••••• L••
      Related persons
      Schedule D 7.A
      Advisers that list I••••••••• S••••••••• L•••••• as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 7 to 4
        Sep 28, 2021 to Sep 28, 2022
      • Advisory employees · 19 to 31
        Sep 28, 2021 to Sep 28, 2022
      • Pooled vehicle clients · 7 to 4
        Sep 28, 2021 to Sep 28, 2022
      • Assets in custody · $1.5B to $255M
        Sep 28, 2021 to Sep 28, 2022
      • Employees · 33 to 45
        Sep 28, 2021 to Sep 28, 2022
      • Private funds · 7 to 4
        Sep 28, 2021 to Sep 28, 2022
      • Discretionary RAUM · $1.5B to $255M
        Sep 28, 2021 to Sep 28, 2022
      • Pooled vehicle RAUM · $1.5B to $255M
        Sep 28, 2021 to Sep 28, 2022
      • RAUM · $1.5B to $255M
        Sep 28, 2021 to Sep 28, 2022
      • Assets in custody · $1.0B to $1.5B
        May 4, 2021 to Sep 28, 2021
      • Employees · 32 to 33
        May 4, 2021 to Sep 28, 2021
      • Discretionary RAUM · $1.0B to $1.5B
        May 4, 2021 to Sep 28, 2021
      • Pooled vehicle RAUM · $1.0B to $1.5B
        May 4, 2021 to Sep 28, 2021
      • RAUM · $1.0B to $1.5B
        May 4, 2021 to Sep 28, 2021
      • Accounts · 6 to 7
        Sep 30, 2019 to Sep 29, 2020
      • Advisory employees · 21 to 19
        Sep 30, 2019 to Sep 29, 2020
      • Pooled vehicle clients · 6 to 7
        Sep 30, 2019 to Sep 29, 2020
      • Assets in custody · $1.0B to $1.0B
        Sep 30, 2019 to Sep 29, 2020
      • Employees · 29 to 32
        Sep 30, 2019 to Sep 29, 2020
      • Discretionary RAUM · $1.0B to $1.0B
        Sep 30, 2019 to Sep 29, 2020
      • Pooled vehicle RAUM · $1.0B to $1.0B
        Sep 30, 2019 to Sep 29, 2020
      • RAUM · $1.0B to $1.0B
        Sep 30, 2019 to Sep 29, 2020
      • Accounts · 3 to 6
        Sep 28, 2018 to Sep 30, 2019
      • Pooled vehicle clients · 3 to 6
        Sep 28, 2018 to Sep 30, 2019
      • Assets in custody · unset to 1001217392.0
        Sep 28, 2018 to Sep 30, 2019
      • Custody of client assets · false to true
        Sep 28, 2018 to Sep 30, 2019
      • Employees · 27 to 29
        Sep 28, 2018 to Sep 30, 2019
      • Private funds · 3 to 7
        Sep 28, 2018 to Sep 30, 2019
      • Discretionary RAUM · $133M to $1.0B
        Sep 28, 2018 to Sep 30, 2019
      • Pooled vehicle RAUM · $133M to $1.0B
        Sep 28, 2018 to Sep 30, 2019
      • RAUM · $133M to $1.0B
        Sep 28, 2018 to Sep 30, 2019
      • Accounts · unset to 3.0
        Sep 28, 2017 to Sep 28, 2018
      • Pooled vehicle clients · unset to 3.0
        Sep 28, 2017 to Sep 28, 2018
      • Other offices · unset to 0.0
        Sep 28, 2017 to Sep 28, 2018
      • Private funds · unset to 3
        Sep 28, 2017 to Sep 28, 2018
      • Discretionary RAUM · unset to 133062167.0
        Sep 28, 2017 to Sep 28, 2018
      • Non-discretionary RAUM · unset to 0.0
        Sep 28, 2017 to Sep 28, 2018
      • Pooled vehicle RAUM · unset to 133062167.0
        Sep 28, 2017 to Sep 28, 2018
      • RAUM · unset to 133062167.0
        Sep 28, 2017 to Sep 28, 2018
      Signals
      5 dated events
      • I••••••••• S••••••••• L•••••• reported RAUM $255.2M, down 83% from $1.5B (2021-09-28 to 2022-09-28)
        Sep 28, 2022 · RAUM change · derived
      • I••••••••• S••••••••• L•••••• reported RAUM $1.5B, up 44% from $1.0B (2021-05-04 to 2021-09-28)
        Sep 28, 2021 · RAUM change · derived
      • B••••••• G•••••• K••••••••• (Director) appeared on Schedule A of I••••••••• S••••••••• L••••••
        Sep 29, 2020 · Control person joined · fact
      • I••••••••• S••••••••• L•••••• reported RAUM $1.0B, up 652% from $133.1M (2018-09-28 to 2019-09-30)
        Sep 30, 2019 · RAUM change · derived
      • I••••••••• S••••••••• L•••••• filed its initial SEC registration (Form ADV)
        Mar 2, 2017 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      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