DFX Intelligence
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L••• C•••• I••••••••• P••••••• L••••••
Institutional manager, based in London, reporting $29B of regulatory assets.
Composed from this adviser's Form ADV classification, location and filed figures.
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
- Regulatory AUM
- $29B
- Advisors
- 0
- Net advisor flow, 12 months
- Not established
- RAUM change, last fiscal year
- Not established
- Private clients
- 0.0% of RAUM
Form ADV
IAPD
Form ADV
As of · the latest Form ADV filing; advisor counts and movement are read from IAPD daily
Why this matters
- Contact points 2
Every filed figure, and the identifiersCRD 337788 · SEC 801-134273 · 2 filingsShowHide
CRD 337788SEC 801-134273First filing on the tape Dec 9, 2025, latest Sep 16, 2026SEC status approved since Dec 8, 2025IAPD
RAUM
$29B
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
14
8 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$29B as of Sep 16, 2026
Dec 9, 2025$17B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 16, 2026
Dec 9, 20250 then
Employees (5.A)14 as of Sep 16, 2026
Dec 9, 202513 then
Private funds: no history
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $1.1BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 76%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
- Pension and profit-sharing plans$19B67%
- Pooled investment vehicles$6.5B23%
- State and municipal entities$2.4B8.5%
- Sovereign wealth funds$566M2.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 9reported
- Charitable clients
- n/areported
- Accounts
- 27reported
- 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=0.22 institutional_share=0.76 related_bd=false related_bank=false 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- C•••••• J••••• E••••• · Director, Senior Portfolio Managercontrolsince 05/2025 · owns 10% to 25%
- F••••••••• J••••••• A•• · Chief Compliance Officercontrolsince 07/2025 · owns less than 5%
- K•••••• W••••••• G••••• V••••• · Director, Seniorcontrolsince 05/2025 · owns 10% to 25%
- P•••• C••••••••• C•••••• · Director, Portfoliocontrolsince 05/2025 · owns 10% to 25%
- R•••••• P••••• L•• · Director, Managing Director, Senior Portfolio Managercontrolsince 05/2025 · owns 25% to 50%
- B•••••• M••••• S••••••••• · Head Of Business Operationssince 05/2025 · owns less than 5%
Entity owners
- 9•• L•••••• · Shareholderdirect · owns 10% to 25%
- A••••••• H••••••• L•••••• · Shareholderdirect · owns 25% to 50%
- J•• P• L•••••• · Shareholderdirect · owns 10% to 25%
- K•••••••• C•••••• L•••••• · Shareholderdirect · owns 10% to 25%
- L••••••• E••••• L•••••• · Shareholderdirect · owns 5% to 10%
- P••••••• I••••••••• · Shareholderdirect · owns 25% to 50%
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
- Accounts · 11 to 27Dec 9, 2025 to Sep 16, 2026
- Pooled vehicle clients · 5 to 9Dec 9, 2025 to Sep 16, 2026
- Employees · 13 to 14Dec 9, 2025 to Sep 16, 2026
- Financial planning clients · to unsetDec 9, 2025 to Sep 16, 2026
- HQ state · to unsetDec 9, 2025 to Sep 16, 2026
- Discretionary RAUM · $17B to $29BDec 9, 2025 to Sep 16, 2026
- Pension RAUM · $14B to $19BDec 9, 2025 to Sep 16, 2026
- Pooled vehicle RAUM · $2.7B to $6.5BDec 9, 2025 to Sep 16, 2026
- RAUM · $17B to $29BDec 9, 2025 to Sep 16, 2026
- Succession · false to unsetDec 9, 2025 to Sep 16, 2026
Signals
No event on the tape.
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
- ••• Lockedreportedpublic record, Form ADV, Sep 16, 2026
- Principal office phone
- ••• Lockedreportedpublic record, Form ADV, Sep 16, 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
- Institutional managerderiveda 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