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

P••••••• I••••••••• M••••••••• L••••••

Former SEC-registered adviserSydney, New South Wales, CRD 298541SEC 801-116850IAPD
Latest filing Oct 8, 2019
First filing on the tape May 24, 2019 · 3 filings
RAUM
$38B
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
70
10 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
3 filings and snapshots on the tape
RAUM$38B as of Oct 8, 2019
May 24, 2019$29B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Oct 8, 2019
May 24, 20190 then
Employees (5.A)70 as of Oct 8, 2019
May 24, 201970 then
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Oct 8, 2019; 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
$2.9BderivedRAUM 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
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween 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 institutions, selection of other advisersreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$38B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
13reported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • C•••••••• A•••••• C••••••• · Executive Director, Institutional Distributioncontrol
        since 08/2016 · owns less than 5%
      • I••••••••• A•••• N•• · Chief Operating Officer, Chief Financial Officercontrol
        since 02/2011 · owns less than 5%
      • K•••• C•••••• N•• · Chief Legal, Risk And Compliance Officercontrol
        since 01/2018 · owns less than 5%
      • M•••••• I••• N•• · Managing Directorcontrol
        since 08/2006 · owns less than 5%
      • W••••••••• A•••••• B••••••• · Executive Director, Retail Distributioncontrol
        since 08/2016 · owns less than 5%
      Entity owners
      • P••••••• I••••••••• M••••••••• G•••• L•••••• · Shareholder
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom2 employees
      • Melbourne, Australia1 employees
      • Brisbane, Australia
      What changed
      consecutive filings, newest first
      • Advisory employees · 30 to 10
        Jun 13, 2019 to Oct 8, 2019
      • Advisory activities · 4 to 2
        Jun 13, 2019 to Oct 8, 2019
      • Discretionary RAUM · $29B to $38B
        Jun 13, 2019 to Oct 8, 2019
      • RAUM · $29B to $38B
        Jun 13, 2019 to Oct 8, 2019
      Signals
      3 dated events
      • P••••••• I••••••••• M••••••••• L•••••• reported RAUM $38.1B, up 31% from $29.1B (2019-06-13 to 2019-10-08)
        Oct 8, 2019 · RAUM change · derived
      • A•••••••• T••••• O••••••••• (Chief Risk & Compliance Officer) no longer on Schedule A of P••••••• I••••••••• M••••••••• L•••••• (listed 2019-06-13, absent 2019-10-08)
        Oct 8, 2019 · Control person left · inference
      • P••••••• I••••••••• M••••••••• L•••••• filed its initial SEC registration (Form ADV)
        May 24, 2019 · 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