DFX Intelligence

RIA Intelligence

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SEC-registered adviser

S••••••• P••••••• L••

Other adviserLondon, CRD 332384SEC 801-131235IAPD
Latest filing Sep 3, 2026
First filing on the tape Sep 2, 2024 · 7 filings
SEC status approved since Oct 7, 2024
RAUM
$220M
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$220M as of Jun 16, 2026
Jan 16, 2025$160M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 16, 2026
Jan 16, 20250 then
Employees (5.A)3 as of Jun 16, 2026
Jan 16, 20254 then
Private funds: 1
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Sep 3, 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
$44.0MderivedRAUM 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 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Corporations and businesses$200M91%
  • Pooled investment vehicles$20.0M9.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
5reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
Class basis
private_client_share=0.0 fund_share=0.09 institutional_share=0.0 related_bd= related_bank= 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L•••••• M•••• N••••• · Founder And Chief Investment Officercontrol
        since 01/2024 · owns 50% to 75%
      • D••••••• J••••• M•••••• · Ownercontrol
        since 07/2024 · owns F of J• E•••••••• L••
      • R••••• J•••• N•• · Ownercontrol
        since 07/2024 · owns F of 2••• D•••••• L••
      • D•••••••• M•••••• J••••• · Chief Compliance Officer
        since 02/2024 · owns less than 5%
      • S••••••••• T••••• · Portfolio Manager
        since 06/2024 · owns 10% to 25%
      Entity owners
      • 2••• D•••••• L•• · Corporate Shareholder
        direct · owns 10% to 25%
      • J• E•••••••• L•• · Corporate Shareholder
        direct · owns 10% to 25%
      Related persons
      Schedule D 7.A
      No related person reported.
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Financial planning clients · to unset
        Jun 16, 2026 to Sep 3, 2026
      • HQ state · to unset
        Jun 16, 2026 to Sep 3, 2026
      • Private funds · 1 to unset
        Jun 16, 2026 to Sep 3, 2026
      • Related adviser · false to unset
        Jun 16, 2026 to Sep 3, 2026
      • Related bank · false to unset
        Jun 16, 2026 to Sep 3, 2026
      • Related broker-dealer · false to unset
        Jun 16, 2026 to Sep 3, 2026
      • Related insurance company · false to unset
        Jun 16, 2026 to Sep 3, 2026
      • Succession · false to unset
        Jun 16, 2026 to Sep 3, 2026
      • Accounts · 49 to 5
        Jun 26, 2025 to Jun 16, 2026
      • Pooled vehicle clients · unset to 1.0
        Jun 26, 2025 to Jun 16, 2026
      • Private funds · unset to 1
        Jun 26, 2025 to Jun 16, 2026
      • Discretionary RAUM · $148M to $220M
        Jun 26, 2025 to Jun 16, 2026
      • Pooled vehicle RAUM · unset to 20000000.0
        Jun 26, 2025 to Jun 16, 2026
      • RAUM · $148M to $220M
        Jun 26, 2025 to Jun 16, 2026
      • Accounts · 3 to 49
        Mar 10, 2025 to Jun 26, 2025
      • Corporate clients · 3 to 4
        Mar 10, 2025 to Jun 26, 2025
      • Employees · 4 to 3
        Mar 10, 2025 to Jun 26, 2025
      • Financial planning clients · unset to
        Mar 10, 2025 to Jun 26, 2025
      • Discretionary RAUM · $160M to $148M
        Mar 10, 2025 to Jun 26, 2025
      • RAUM · $160M to $148M
        Mar 10, 2025 to Jun 26, 2025
      • Accounts · 0 to 3
        Nov 11, 2024 to Jan 16, 2025
      • Corporate clients · unset to 3.0
        Nov 11, 2024 to Jan 16, 2025
      • Employees · 3 to 4
        Nov 11, 2024 to Jan 16, 2025
      • HQ state · unset to
        Nov 11, 2024 to Jan 16, 2025
      • Discretionary RAUM · $0 to $160M
        Nov 11, 2024 to Jan 16, 2025
      • RAUM · $0 to $160M
        Nov 11, 2024 to Jan 16, 2025
      Signals
      1 dated events
      • S••••••• P••••••• L•• filed its initial SEC registration (Form ADV)
        Sep 2, 2024 · 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
      Principal office phone
      +44 7900 501 478reportedpublic record, Form ADV, Sep 3, 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
      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