DFX Intelligence

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The intelligence graph connecting private capital, companies and real assets. Public records ingested on their own cadence, resolved to one identity by shared identifier, connected by typed relationships with a date and a source on every edge, and read by detectors that say what changed and what it means. Facts, derived metrics, signals, anomalies and inferences are labelled as such.

RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

MORLEY CAPITAL MANAGEMENT, INC.

CRD 105339

PORTLAND, OR

Full profile on RIA / Wealth Management →Search this name across graphsid dfx:ria:2302bd76-0d2c-9d2d-ddcc-23a6a7b9986e

Data as of Mar 23, 2018 (this record's last observation) from sec_form_adv_history, sec_adv_roster, iapd_firm_feed. Page built Sep 18, 2026, 12:02 PM UTC and rebuilt at most every 15 minutes.

Relationships: 28
Dated events: 0
On other graphs: 0
Observed: Mar 30, 2012 to Mar 23, 2018
11 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $17BItem 5.F on the latest filing (2018-03-23); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $14B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 27
Advisory employees: 13
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 17
Individual clients: 0
High net worth clients: 0
SEC number: 801-20608
CRD: 105339
Filings on the tape: 11
First filed: Mar 30, 2012
Latest filed: Mar 23, 2018
Organised: Corporation, Oregon

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
Brady, Elizabeth, Strand	DIRECTOR	NA	yes	09/2017	Mar 23, 2018	Mar 23, 2018
FINLEY, WILLIAM, MATT	DIRECTOR/CHIEF INVESTMENT OFFICER	NA	yes	04/2010	Mar 30, 2012	Mar 23, 2018
HALTER, PATRICK, GREGORY	DIRECTOR	NA	yes	09/2017	Mar 23, 2018	Mar 23, 2018
HEATH, RONALD, WILLIAM	DIRECTOR/PRESIDENT	NA	yes	01/2011	Mar 30, 2012	Mar 23, 2018
HITTNER, JILL	CHIEF FINANCIAL OFFICER	NA	yes	08/2007	Mar 30, 2012	Mar 23, 2018
Jones, Kathryn, Lynn	CHIEF COMPLIANCE OFFICER	NA	yes	03/2017	Mar 22, 2017	Mar 23, 2018
MCCAUGHAN, JAMES, PATRICK	DIRECTOR	NA	yes	08/2007	Mar 30, 2012	Mar 23, 2018
MCKENZIE, BARBARA	DIRECTOR	NA	yes	01/2011	Mar 30, 2012	Mar 23, 2018
PRINCIPAL FINANCIAL GROUP INC.	100% OWNER	E	yes	10/2001	Mar 30, 2012	Mar 23, 2018
PRINCIPAL FINANCIAL SERVICES INC.	100% OWNER	E	yes	02/2017	Mar 30, 2012	Mar 23, 2018
PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY US LLC	PARENT COMPANY OF APPLICANT	E	yes	05/2017	May 19, 2017	Mar 23, 2018
SHAFF, KAREN, ELIZABETH	GENERAL COUNSEL AND SECRETARY	NA	yes	02/2008	Mar 22, 2017	Mar 23, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
PRINCIPAL GLOBAL INVESTORS, LLC	n/a	OTHER ADVISER	$428B	Y	yes	n/a
PRINCIPAL REAL ESTATE INVESTORS LLC	n/a	INSTITUTIONAL MANAGER	$106B	N	yes	n/a
SPECTRUM ASSET MANAGEMENT, INC.	n/a	FORMER SEC ADVISER	$24B	N	yes	n/a
PRINCIPAL SECURITIES, INC.	n/a	BD AFFILIATED WEALTH	$17B	N	yes	n/a
POST ADVISORY GROUP, LLC	n/a	OTHER ADVISER	$13B	N	yes	n/a
PRINCIPAL FINANCIAL ADVISORS, INC.	n/a	FORMER SEC ADVISER	$9.0B	N	yes	n/a
ORIGIN ASSET MANAGEMENT LLP	n/a	FORMER SEC ADVISER	$4.6B	N	yes	n/a
FINISTERRE CAPITAL LLP	n/a	FORMER SEC ADVISER	$3.2B	N	yes	n/a
COLUMBUS CIRCLE INVESTORS	n/a	FORMER SEC ADVISER	$2.3B	N	yes	n/a
FINISTERRE MALTA LIMITED	n/a	FORMER SEC ADVISER	$0	N	yes	n/a
CIMB PRINCIPAL ISLAMIC ASSET MANAGEMENT SDN BHD	n/a	n/a	n/a	N	yes	n/a
DELAWARE CHARTER GUARANTEE & TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL BANK	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL ENTERPRISE CAPITAL, LLC	n/a	FORMER SEC ADVISER	n/a	N	yes	n/a
PRINCIPAL FUNDS DISTRIBUTOR, INC.	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL GLOBAL INVESTORS (AUSTRALIA) LTD.	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL GLOBAL INVESTORS (EUROPE) LTD.	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL GLOBAL INVESTORS (HONG KONG) LTD.	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL GLOBAL INVESTORS (IRELAND) LTD.	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL GLOBAL INVESTORS (JAPAN) LTD.	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL GLOBAL INVESTORS (SINGAPORE) LTD.	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL GLOBAL INVESTORS TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL LIFE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
PRINCIPAL NATIONAL LIFE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 23, 2018	$17B	$14B	27	13	0	n/a	n/a
2016	Mar 22, 2017	$18B	$14B	29	13	n/a	n/a	n/a
2015	Mar 30, 2016	$17B	$13B	30	14	n/a	n/a	n/a
2014	Mar 31, 2015	$17B	$14B	29	16	n/a	n/a	n/a
2013	Mar 26, 2014	$18B	$15B	35	14	n/a	n/a	n/a
2012	Apr 1, 2013	$18B	$16B	41	14	n/a	n/a	n/a
2011	Mar 30, 2012	$15B	$12B	n/a	n/a	n/a	n/a	n/a

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$17B	$18B	-3.7%	$17B	-0.1%	27	29	0	n/a

Relationships

Affiliated with (14)

→ PRINCIPAL FINANCIAL ADVISORS, INC.Registered adviserother investment adviser, LP sponsor, common control
factsec_form_adv_history
→ POST ADVISORY GROUP, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factsec_form_adv_history
→ PRINCIPAL ASSET MANAGEMENTRegistered adviserother investment adviser, bank, pooled vehicle sponsor, control, common control
factsec_form_adv_history
→ PRINCIPAL REAL ESTATERegistered adviserother investment adviser, pooled vehicle sponsor, common control
factsec_form_adv_history
→ COLUMBUS CIRCLE INVESTORSRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factsec_form_adv_history
→ PRINCIPAL SECURITIES, INC.Registered adviserother investment adviser, broker-dealer, common control
factsec_form_adv_history
→ PRINCIPAL ORIGINRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factsec_form_adv_history
→ PRINCIPAL ENTERPRISE CAPITAL, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factsec_form_adv_history
→ FINISTERRE CAPITAL LLPRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factsec_form_adv_history
→ FINISTERRE MALTA LIMITEDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factsec_form_adv_history
→ SPECTRUM ASSET MANAGEMENT, INC.Registered adviserother investment adviser, broker-dealer, bank, common control
factsec_form_adv_history
← PRINCIPAL MANAGEMENT CORPRegistered adviserother investment adviser, common control
factsec_form_adv_history
← EDGE ASSET MANAGEMENT, INC.Registered adviserother investment adviser, common control
factsec_form_adv_history
← LIONGATE CAPITAL MANAGEMENT LLPRegistered adviserother investment adviser, common control
factsec_form_adv_history

Controls (12)

← HEATH, RONALD, WILLIAMOwnerDIRECTOR/PRESIDENT, ownership code NA, individual
Mar 30, 2012 to presentfactsec_form_adv_history
← MCCAUGHAN, JAMES, PATRICKOwnerDIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactsec_form_adv_history
← SHAFF, KAREN, ELIZABETHOwnerGENERAL COUNSEL AND SECRETARY, ownership code NA, individual
Mar 22, 2017 to presentfactsec_form_adv_history
← MCKENZIE, BARBARAOwnerDIRECTOR, ownership code NA, individual
Mar 30, 2012 to presentfactsec_form_adv_history
← HALTER, PATRICK, GREGORYOwnerDIRECTOR, ownership code NA, individual
Mar 23, 2018 to presentfactsec_form_adv_history
← HITTNER, JILLOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactsec_form_adv_history
← FINLEY, WILLIAM, MATTOwnerDIRECTOR/CHIEF INVESTMENT OFFICER, ownership code NA, individual
Mar 30, 2012 to presentfactsec_form_adv_history
← Jones, Kathryn, LynnOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 22, 2017 to presentfactsec_form_adv_history
← Brady, Elizabeth, StrandOwnerDIRECTOR, ownership code NA, individual
Mar 23, 2018 to presentfactsec_form_adv_history
← PRINCIPAL FINANCIAL GROUP INC.Owner100% OWNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactsec_form_adv_history
← PRINCIPAL FINANCIAL SERVICES INC.Owner100% OWNER, ownership code E, domestic entity
Mar 30, 2012 to presentfactsec_form_adv_history
← PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY US LLCOwnerPARENT COMPANY OF APPLICANT, ownership code E, domestic entity
May 19, 2017 to presentfactsec_form_adv_history

Registered with (2)

← Brett K OkamotoAdvisorregistration: previous registration
Jan 24, 2007 to Oct 1, 2018factiapd_individual_feed
← STEVEN MARK GRADOWAdvisorregistration: previous registration
Oct 31, 2002 to Feb 6, 2004factiapd_individual_feed

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:2302bd76-0d2c-9d2d-ddcc-23a6a7b9986e
First observed: Mar 30, 2012
Last observed: Mar 23, 2018 103 months ago
Sources: sec_form_adv_history, sec_adv_roster, iapd_firm_feed
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

MORLEY CAPITAL MANAGEMENT, INC.

CRD 105339

PORTLAND, OR

Data as of Mar 23, 2018 (this record's last observation) from sec_form_adv_history, sec_adv_roster, iapd_firm_feed. Page built Sep 18, 2026, 12:02 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

Brady, Elizabeth, Strand

DIRECTOR

yes

09/2017

Mar 23, 2018

FINLEY, WILLIAM, MATT

DIRECTOR/CHIEF INVESTMENT OFFICER

yes

04/2010

Mar 30, 2012

Mar 23, 2018

HALTER, PATRICK, GREGORY

DIRECTOR

yes

09/2017

Mar 23, 2018

HEATH, RONALD, WILLIAM

DIRECTOR/PRESIDENT

yes

01/2011

Mar 30, 2012

Mar 23, 2018

HITTNER, JILL

CHIEF FINANCIAL OFFICER

yes

08/2007

Mar 30, 2012

Mar 23, 2018

Jones, Kathryn, Lynn

CHIEF COMPLIANCE OFFICER

yes

03/2017

Mar 22, 2017

Mar 23, 2018

MCCAUGHAN, JAMES, PATRICK

DIRECTOR

yes

08/2007

Mar 30, 2012

Mar 23, 2018

MCKENZIE, BARBARA

DIRECTOR

yes

01/2011

Mar 30, 2012

Mar 23, 2018

PRINCIPAL FINANCIAL GROUP INC.

100% OWNER

yes

10/2001

Mar 30, 2012

Mar 23, 2018

PRINCIPAL FINANCIAL SERVICES INC.

100% OWNER

yes

02/2017

Mar 30, 2012

Mar 23, 2018

PRINCIPAL GLOBAL INVESTORS HOLDING COMPANY US LLC

PARENT COMPANY OF APPLICANT

yes

05/2017

May 19, 2017

Mar 23, 2018

SHAFF, KAREN, ELIZABETH

GENERAL COUNSEL AND SECRETARY

yes

02/2008

Mar 22, 2017

Mar 23, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

PRINCIPAL GLOBAL INVESTORS, LLC

n/a

OTHER ADVISER

$428B

yes

n/a

PRINCIPAL REAL ESTATE INVESTORS LLC

n/a

INSTITUTIONAL MANAGER

$106B

yes

n/a

SPECTRUM ASSET MANAGEMENT, INC.

n/a

FORMER SEC ADVISER

$24B

yes

n/a

PRINCIPAL SECURITIES, INC.

n/a

BD AFFILIATED WEALTH

$17B

yes

n/a

POST ADVISORY GROUP, LLC

n/a

OTHER ADVISER

$13B

yes

n/a

PRINCIPAL FINANCIAL ADVISORS, INC.

n/a

FORMER SEC ADVISER

$9.0B

yes

n/a

ORIGIN ASSET MANAGEMENT LLP

n/a

FORMER SEC ADVISER

$4.6B

yes

n/a

FINISTERRE CAPITAL LLP

n/a

FORMER SEC ADVISER

$3.2B

yes

n/a

COLUMBUS CIRCLE INVESTORS

n/a

FORMER SEC ADVISER

$2.3B

yes

n/a

FINISTERRE MALTA LIMITED

n/a

FORMER SEC ADVISER

yes

n/a

CIMB PRINCIPAL ISLAMIC ASSET MANAGEMENT SDN BHD

n/a

yes

n/a

DELAWARE CHARTER GUARANTEE & TRUST COMPANY

n/a

yes

n/a

PRINCIPAL ASSET MANAGEMENT COMPANY (ASIA) LIMITED

n/a

yes

n/a

PRINCIPAL BANK

n/a

yes

n/a

PRINCIPAL ENTERPRISE CAPITAL, LLC

n/a

FORMER SEC ADVISER

n/a

yes

n/a

PRINCIPAL FUNDS DISTRIBUTOR, INC.

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS (AUSTRALIA) LTD.

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS (EUROPE) LTD.

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS (HONG KONG) LTD.

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS (IRELAND) LTD.

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS (JAPAN) LTD.

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS (SINGAPORE) LTD.

n/a

yes

n/a

PRINCIPAL GLOBAL INVESTORS TRUST COMPANY

n/a

yes

n/a

PRINCIPAL LIFE INSURANCE COMPANY

n/a

yes

n/a

PRINCIPAL NATIONAL LIFE INSURANCE COMPANY

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 23, 2018

$17B

$14B

n/a

2016

Mar 22, 2017

$18B

$14B

n/a

2015

Mar 30, 2016

$17B

$13B

n/a

2014

Mar 31, 2015

$17B

$14B

n/a

2013

Mar 26, 2014

$18B

$15B

n/a

2012

Apr 1, 2013

$18B

$16B

n/a

2011

Mar 30, 2012

$15B

$12B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$17B

$18B

-3.7%

$17B

-0.1%

n/a