DFX Intelligence

RIA Intelligence

The names on this page are hidden. Create a free account to reveal 5 records a month, or get RIA and Wealth Intelligence at $249 a month for every name. Every figure, date and source on this page is public either way.

B•••• A•••• M••••••••• L••

Former SEC-registered adviserFormer SEC adviser· London

Former SEC-registered adviser, based in London.

Composed from this adviser's Form ADV classification, location and filed figures.

Last reported RAUM
Not applicable
Advisors
Not applicable
Net advisor flow, 12 months
Not applicable
RAUM change, last fiscal year
Not applicable
Private clients
Not established
AdvisorsAdvisor movementWhere the RAUM sits
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
What we can say about this record

We hold 2 Form ADV filings for this adviser, the latest 5.6 years ago. It is no longer SEC-registered, so the figures here are its last ones and nothing on this record is current. It is still the right record for resolving this adviser, its filings, owners and affiliates.

Every filed figure, and the identifiersCRD 312761 · SEC 801-120531 · 2 filingsShow
CRD 312761SEC 801-120531First filing on the tape Feb 12, 2021, latest Mar 19, 2021IAPD
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
12
9 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: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 19, 2021
Feb 12, 20210 then
Employees (5.A)12 as of Mar 19, 2021
Feb 12, 202112 then
Private funds: no history
Practice profile
derived from the filing of Mar 19, 2021; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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 businesses and institutions, 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)
  • 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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
0reported
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
      • O•••• R••••• C•••••• W•••••• · Ultimate Beneficial Ownercontrol
        since 03/2021 · owns 75% or more of O••• A•••• M••••••••• G•••• L••••••
      • F•••••••• D••••• M••• G••••• · Non-Executive Chairman
        since 03/2021 · owns less than 5%
      • G•••••••• J•••• · Partner, Fund Manager
        since 03/2021 · owns less than 5%
      • H••••••• J••••• R••••• · Partner, Fund Manager
        since 03/2021 · owns less than 5%
      • H••••••• B••••• M•••••• · Partner, Senior Analyst
        since 03/2021 · owns less than 5%
      • K•••••• O•••••• J•••• S• G••• · Partner, Fund Manager
        since 03/2021 · owns less than 5%
      • K•••••••• J••••• M•••••• · Partner
        since 03/2021 · owns less than 5%
      • M••••••••• C••••••• A•••••••• M•••• · Partner, Senior Analyst
        since 03/2021 · owns less than 5%
      • O•••••••• P••••• N••••••• · Partner, Analyst
        since 03/2021 · owns less than 5%
      • P•••••• T••• M•••••• · Partner, Managing Director
        since 03/2021 · owns less than 5%
      • S••••••••• M••••••• G••••• S••• · Partner, Analyst
        since 03/2021 · owns less than 5%
      • S•••• J•••• R••••• · Chief Compliance Officer
        since 03/2021 · owns less than 5%
      • S••••••• S••••• F•••• · Partner, Senior Analyst
        since 03/2021 · owns less than 5%
      • S••••••• J••••• M•••••• J••••• · Partner, Senior Analyst
        since 03/2021 · owns less than 5%
      • T••••••• J••••••• T•••••• · Partner
        since 03/2021 · owns less than 5%
      • W••• S••••• · Partner
        since 03/2021 · owns less than 5%
      Entity owners
      • O••• A•••• M••••••••• G•••• L•••••• · L•••••• C••••••• M••••••• M••••• O• L••
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      • O••• A•••• M••••••••• L••
        investment adviserbanknRAUM $3.6B
      • O••• W••••• M••••••••• ••••• L••••••
        investment advisern
      • O••• W••••• M••••••••• ••••• L••••••
        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
      • ••• Locked
        Feb 12, 2021 · 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