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Former SEC-registered adviser

D••• A••••••••• I••••••••• ••• L••••••

Former SEC-registered adviserLondon, CRD 299339SEC 801-114442IAPD
Latest filing Dec 19, 2018
First filing on the tape Nov 15, 2018 · 2 filings
RAUM
$102M
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
5
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$102M as of Dec 19, 2018
Nov 15, 2018$102M then
HNW client RAUM$0 as of Dec 19, 2018
Nov 15, 2018$0 then
State-registered IARs (5.B.3)0 as of Dec 19, 2018
Nov 15, 20180 then
Employees (5.A)5 as of Dec 19, 2018
Nov 15, 20185 then
Private funds: no history
Practice profile
derived from the filing of Dec 19, 2018; 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
$102MderivedRAUM 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
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 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
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$102M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
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
      • G••••• H••••• I••• · Director / Chief Executive Officercontrol
        since 04/2009 · owns less than 5%
      • K•••••• K•••• · Directorcontrol
        since 04/2009 · owns less than 5%
      • G••••• H••••• I••• · Equity Ownercontrol
        since 02/2010 · owns 50% to 75% of D••• S••••• L••••••
      • C•••• A•••••• S•••••• · Group General Counsel / Chief Compliance Officer
        since 12/2015 · owns less than 5%
      Entity owners
      • D••• G•••• L•••••• · Equity Owner
        direct · owns 75% or more
      • D••• S••••• L•••••• · Equity Owner
        indirect · owns 75% or more of D••• G•••• L••••••
      Related persons
      Schedule D 7.A
      • D••• A•••• M••••••••• L•••
        investment advisernRAUM $365M
      • D••• C•••••• P••••••• L••••••
        pooled vehicle sponsorn
      • D••• P•••••• E••••• L••••••
        investment advisern
      • D••• R••• E••••• P••••••• 1• L••••••
        pooled vehicle sponsorn
      • E••••••• M•••••• I••••••••• M••••••••• L••••••
        investment advisern
      • E••• I••••••••• A•••••• L••
        investment advisern
      • E••••••• R••• E••••• D••• F••• ••• L••••••
        pooled vehicle sponsorn
      • E••••••• R••• E••••• D••• F••• •••• L••••••
        pooled vehicle sponsorn
      • F•••• I••••
        investment advisern
      • G••••• E••••• T•••••• S•••••••• L••••••
        pooled vehicle sponsorn
      • L•• F••• M••••••• L••••••
        investment advisery
      • M•••• C•••••• N•
        investment advisern
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • D••• A••••••••• I••••••••• ••• L•••••• filed its initial SEC registration (Form ADV)
        Nov 15, 2018 · 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