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
C••••••• C•••••• I••••••••• I••••••••• P•• L••••••
Latest filing Sep 29, 2025
First filing on the tape Mar 20, 2020 · 8 filings
SEC status approved since Apr 27, 2020
RAUM
$9.8B
reported, Item 5.F
Discretionary
92%
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
46
27 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$9.8B as of Sep 29, 2025
Sep 2, 2020$2.7B then
HNW client RAUM$0 as of Sep 4, 2023
Sep 2, 2020$0 then
State-registered IARs (5.B.3)0 as of Sep 29, 2025
Sep 2, 20200 then
Employees (5.A)46 as of Sep 29, 2025
Sep 2, 202023 then
Private funds1 as of Sep 4, 2023
Sep 2, 20201 then
RAUM +89% over the last fiscal year+21% a year over threeIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Sep 29, 2025; 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
- $233MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 92%derivedof RAUM
- Institutional
- 28%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +31%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- is a trust company (6.A.8)
- has discretionary authority over which securities are bought or sold (8.C.1)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$1.8B40%
- Pension and profit-sharing plans$1.7B38%
- Insurance companies$686M15%
- Sovereign wealth funds$308M6.8%
- Charitable organizations$16.7M0.4%
- Investment companies$348,2750.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 10reported
- Charitable clients
- 7reported
- Accounts
- 42reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.18 institutional_share=0.28 related_bd=false related_bank=true 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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C••••••• I••••••••• C••• P••• F••• | Liquidity Fund | $85.0M | 3 | Mar 20, 2020 |
Owners and control persons
Schedule A and B, latest filing
- D•••••••• M••••• K•• · Chair And Directorcontrolsince 09/2015 · owns less than 5%
- H•••••• D•••••• P••• · Directorcontrolsince 09/2011 · owns 10% to 25%
- H•••••••• R•••••• J••• · Independent Directorcontrolsince 03/2017 · owns less than 5%
- J•••• C••••••••• R••••• E••••• · Director, Chief Executive Office And Chief Investment Officercontrolsince 09/2011 · owns 25% to 50%
- B•••••• L•••• B••••••• · Chief Operating Officersince 06/2018 · owns less than 5%
- D•••••••• S•••••• · Chief Risk Officersince 12/2022 · owns less than 5%
- D••••• D•••••• P•••• · Chief Financial Officersince 09/2020 · owns less than 5%
- S•••• S••••• P••••••• · General Counsel (Chief Legal Officer)since 01/2022 · owns less than 5%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- Sydney, Australia5 employees
What changed
consecutive filings, newest first
- Accounts · 32 to 42Sep 30, 2024 to Sep 29, 2025
- Charity clients · unset to 7.0Sep 30, 2024 to Sep 29, 2025
- Pension plan clients · unset to 10.0Sep 30, 2024 to Sep 29, 2025
- Financial planning clients · 0 to 0Sep 30, 2024 to Sep 29, 2025
- HQ state · unset to Sep 30, 2024 to Sep 29, 2025
- Discretionary RAUM · $5.7B to $9.0BSep 30, 2024 to Sep 29, 2025
- Non-discretionary RAUM · $1.1B to $827MSep 30, 2024 to Sep 29, 2025
- Pension RAUM · unset to 1688581927.0Sep 30, 2024 to Sep 29, 2025
- RAUM · $6.8B to $9.8BSep 30, 2024 to Sep 29, 2025
- Accounts · 22 to 32Sep 4, 2023 to Sep 30, 2024
- Advisory employees · 40 to 27Sep 4, 2023 to Sep 30, 2024
- Advisory activities · 5 to 3Sep 4, 2023 to Sep 30, 2024
- HNW clients · 1.0 to unsetSep 4, 2023 to Sep 30, 2024
- Employees · 40 to 46Sep 4, 2023 to Sep 30, 2024
- Other offices · 2 to 1Sep 4, 2023 to Sep 30, 2024
- Private funds · 1 to unsetSep 4, 2023 to Sep 30, 2024
- Discretionary RAUM · $3.2B to $5.7BSep 4, 2023 to Sep 30, 2024
- HNW RAUM · 0.0 to unsetSep 4, 2023 to Sep 30, 2024
- Individual RAUM · 0.0 to unsetSep 4, 2023 to Sep 30, 2024
- Non-discretionary RAUM · $1.9B to $1.1BSep 4, 2023 to Sep 30, 2024
- Pension RAUM · 0.0 to unsetSep 4, 2023 to Sep 30, 2024
- Pooled vehicle RAUM · 0.0 to unsetSep 4, 2023 to Sep 30, 2024
- RAUM · $5.2B to $6.8BSep 4, 2023 to Sep 30, 2024
- Accounts · 29 to 22Sep 5, 2022 to Sep 4, 2023
- Advisory employees · 27 to 40Sep 5, 2022 to Sep 4, 2023
- Employees · 33 to 40Sep 5, 2022 to Sep 4, 2023
- Discretionary RAUM · $3.0B to $3.2BSep 5, 2022 to Sep 4, 2023
- Non-discretionary RAUM · $1.6B to $1.9BSep 5, 2022 to Sep 4, 2023
- RAUM · $4.6B to $5.2BSep 5, 2022 to Sep 4, 2023
- Accounts · 10,025 to 29Aug 18, 2021 to Sep 5, 2022
- Advisory employees · 20 to 27Aug 18, 2021 to Sep 5, 2022
- Employees · 26 to 33Aug 18, 2021 to Sep 5, 2022
- Discretionary RAUM · $3.6B to $3.0BAug 18, 2021 to Sep 5, 2022
- Non-discretionary RAUM · $1.9B to $1.6BAug 18, 2021 to Sep 5, 2022
- RAUM · $5.5B to $4.6BAug 18, 2021 to Sep 5, 2022
- Related bank · false to trueAug 18, 2021 to Sep 5, 2022
- Accounts · 22 to 10,025Jun 2, 2021 to Aug 18, 2021
- Advisory employees · 19 to 20Jun 2, 2021 to Aug 18, 2021
- Employees · 23 to 26Jun 2, 2021 to Aug 18, 2021
- Discretionary RAUM · $1.8B to $3.6BJun 2, 2021 to Aug 18, 2021
Signals
5 dated events
- C••••••• C•••••• I••••••••• I••••••••• P•• L•••••• reported RAUM $9.8B, up 44% from $6.8B (2024-09-30 to 2025-09-29)Sep 29, 2025 · RAUM change · derived
- C••••••• C•••••• I••••••••• I••••••••• P•• L•••••• reported RAUM $6.8B, up 31% from $5.2B (2023-09-04 to 2024-09-30)Sep 30, 2024 · RAUM change · derived
- C••••••• C•••••• I••••••••• I••••••••• P•• L•••••• reported RAUM $5.5B, up 100% from $2.7B (2021-06-02 to 2021-08-18)Aug 18, 2021 · RAUM change · derived
- C••••••• C•••••• I••••••••• I••••••••• P•• L•••••• reported RAUM $2.7B, up 32% from $2.1B (2020-03-20 to 2020-09-02)Sep 2, 2020 · RAUM change · derived
- C••••••• C•••••• I••••••••• I••••••••• P•• L•••••• filed its initial SEC registration (Form ADV)Mar 20, 2020 · 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
- c•••••••••.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 4402080668340reportedpublic record, Form ADV, Sep 29, 2025
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
- Other 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