DFX Intelligence
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SEC-registered adviser
A•••• I•••••••••
Legal name A•••• I••••••••• P••••••• ••• L••
Latest filing Apr 14, 2026
First filing on the tape Jun 26, 2017 · 22 filings
SEC status approved since Jul 27, 2017
RAUM
$1.9B
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
31
20 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$1.9B as of Apr 14, 2026
Sep 28, 2018$12.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 14, 2026
Sep 28, 20180 then
Employees (5.A)31 as of Apr 14, 2026
Sep 28, 201817 then
Private funds3 as of Apr 14, 2026
Sep 28, 20181 then
RAUM -11% over the last fiscal year+0.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 14, 2026; 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
- $471MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 4.7%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
- -11%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $1.8B, 3 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$1.8B95%
- Pension and profit-sharing plans$88.8M4.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 1reported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.8B for 3 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.95 institutional_share=0.05 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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| A•••• G••••• I••••••••• F••• | Other Private Fund | $1.8B | 235 | May 24, 2018 |
| A•• U•••• C•• • A•••• • G••••• I••••••••• | Other Private Fund | $245M | 14 | Oct 2, 2023 |
| M••••• S••••••••• L••••• I••••••••• U•••• C•• | Other Private Fund | $19.6M | 133 | Oct 2, 2023 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• D••••• F•••••• · Partnercontrolsince 02/2017 · owns less than 5%
- C•••••••• C•••• A•••••• · Chief Compliance Officercontrolsince 07/2017 · owns less than 5%
- C•••••••• R•••••••• G•••••• · Partnercontrolsince 02/2017 · owns less than 5%
- J•••••• C••••••• L•••• · Partner & Chief Operating Officercontrolsince 03/2018 · owns less than 5%
- B•••• J•••••••• D•••• · Managercontrolsince 09/2024 · owns F of G•• A•••• H••••••• L••••••
- H•••••• M••••••• C•••• · Managercontrolsince 09/2024 · owns F of G•• A•••• H••••••• L••••••
- M•••••• M••••••• J••• · Managercontrolsince 09/2024 · owns F of G•• A•••• H••••••• L••••••
- O•••••••• A••••••• O•••••• · Managercontrolsince 09/2024 · owns F of G•• A•••• H••••••• L••••••
- R••• R•••••• · Managercontrolsince 09/2024 · owns F of G•• A•••• H••••••• L••••••
- W•••••••• W•••••• · Managercontrolsince 09/2024 · owns F of G•• A•••• H••••••• L••••••
Entity owners
- G•• A•••• H••••••• L•••••• · Ownerdirect · owns 75% or more
Related persons
Schedule D 7.A
- A•••• I••••••••• ••••••••• P•• L•••investment advisern
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 5 to 4May 22, 2025 to Sep 26, 2025
- Advisory employees · 18 to 20May 22, 2025 to Sep 26, 2025
- Pooled vehicle clients · 4 to 3May 22, 2025 to Sep 26, 2025
- Assets in custody · unset to 1794165192.0May 22, 2025 to Sep 26, 2025
- Custody of client assets · false to trueMay 22, 2025 to Sep 26, 2025
- Employees · 28 to 31May 22, 2025 to Sep 26, 2025
- Discretionary RAUM · $2.1B to $1.9BMay 22, 2025 to Sep 26, 2025
- Pension RAUM · $55.1M to $88.8MMay 22, 2025 to Sep 26, 2025
- Pooled vehicle RAUM · $2.1B to $1.8BMay 22, 2025 to Sep 26, 2025
- RAUM · $2.1B to $1.9BMay 22, 2025 to Sep 26, 2025
- Financial planning clients · unset to Nov 14, 2024 to May 22, 2025
- HQ state · unset to Nov 14, 2024 to May 22, 2025
- Accounts · 4 to 5May 13, 2024 to Sep 27, 2024
- Pooled vehicle clients · 3 to 4May 13, 2024 to Sep 27, 2024
- Employees · 25 to 28May 13, 2024 to Sep 27, 2024
- Discretionary RAUM · $2.3B to $2.1BMay 13, 2024 to Sep 27, 2024
- Pension RAUM · $101M to $55.1MMay 13, 2024 to Sep 27, 2024
- Pooled vehicle RAUM · $2.2B to $2.1BMay 13, 2024 to Sep 27, 2024
- RAUM · $2.3B to $2.1BMay 13, 2024 to Sep 27, 2024
- Accounts · 2 to 4Nov 8, 2022 to Oct 2, 2023
- Advisory employees · 15 to 18Nov 8, 2022 to Oct 2, 2023
- Pension plan clients · unset to 1.0Nov 8, 2022 to Oct 2, 2023
- Pooled vehicle clients · 1 to 3Nov 8, 2022 to Oct 2, 2023
- Employees · 22 to 25Nov 8, 2022 to Oct 2, 2023
- Private funds · 1 to 3Nov 8, 2022 to Oct 2, 2023
- Discretionary RAUM · $1.8B to $2.3BNov 8, 2022 to Oct 2, 2023
- Pension RAUM · $1.3M to $101MNov 8, 2022 to Oct 2, 2023
- Pooled vehicle RAUM · $1.8B to $2.2BNov 8, 2022 to Oct 2, 2023
- RAUM · $1.8B to $2.3BNov 8, 2022 to Oct 2, 2023
- Business name · A•••• I••••••••• P••••••• to A•••• I•••••••••Sep 21, 2022 to Sep 27, 2022
- Advisory employees · 14 to 15Sep 17, 2021 to Sep 21, 2022
- Employees · 18 to 22Sep 17, 2021 to Sep 21, 2022
- Discretionary RAUM · $1.3B to $1.8BSep 17, 2021 to Sep 21, 2022
- Pension RAUM · $127M to $1.3MSep 17, 2021 to Sep 21, 2022
- Pooled vehicle RAUM · $1.2B to $1.8BSep 17, 2021 to Sep 21, 2022
- RAUM · $1.3B to $1.8BSep 17, 2021 to Sep 21, 2022
- Advisory employees · 13 to 14Mar 2, 2021 to Sep 17, 2021
- Discretionary RAUM · $581M to $1.3BMar 2, 2021 to Sep 17, 2021
- Pension RAUM · $146M to $127MMar 2, 2021 to Sep 17, 2021
- Pooled vehicle RAUM · $435M to $1.2BMar 2, 2021 to Sep 17, 2021
Signals
13 dated events
- ••• LockedNov 14, 2024 · Control person joined · fact
- ••• LockedOct 28, 2024 · Control person left · inference
- ••• LockedOct 2, 2023 · RAUM change · derived
- ••• LockedSep 21, 2022 · RAUM change · derived
- ••• LockedSep 21, 2022 · Control person left · inference
- ••• LockedSep 17, 2021 · RAUM change · derived
- ••• LockedSep 18, 2020 · RAUM change · derived
- ••• LockedSep 18, 2020 · Control person joined · fact
- ••• LockedSep 18, 2020 · Control person joined · fact
- ••• LockedSep 18, 2020 · Control person joined · fact
- ••• LockedSep 18, 2020 · Control person joined · fact
- ••• LockedSep 18, 2020 · Control person joined · fact
- ••• LockedJun 26, 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
- Website
- A••••I•••••••••.COMreportedpublic record, Form ADV, Apr 14, 2026
- Principal office phone
- +44 20 3890 4700reportedpublic record, Form ADV, Apr 14, 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
- Asset manager (funds and pooled vehicles)deriveda 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