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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM under $100M

ENVESTNET EMBEDDED ADVISORY, INC.

CRD 322162

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:72c2d337-4cd4-6e9a-da45-27bea6c61958

Data as of Mar 28, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:52 AM UTC and rebuilt at most every 15 minutes.

Relationships: 16
Dated events: 18
On other graphs: 0
Observed: Aug 1, 2022 to Mar 28, 2024
8 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: $10,415Item 5.F on the latest filing (2024-03-28); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $10,415
Private client RAUM: $10,415derivedItem 5.D individuals plus high net worth individuals
Private client share: 100%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 12
Advisory employees: 10
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 26
Individual clients: 26
High net worth clients: 0
SEC number: 801-126477
CRD: 322162
Filings on the tape: 8
First filed: Aug 1, 2022
Latest filed: Mar 28, 2024
Organised: Corporation, Delaware

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
D'AURIA, DANA, MARIE	CO-CIO	Na	yes	03/2023	Mar 31, 2023	Mar 28, 2024
ENVESTNET, INC.	Shareholder	E	yes	05/2022	Aug 1, 2022	Mar 28, 2024
FOX, JAMES, LAWRENCE	INTERIM CHIEF EXECUTIVE OFFICER	Na	yes	04/2024	Mar 28, 2024	Mar 28, 2024
O'BRIEN, SHELLY, S	CHIEF LEGAL OFFICER/GENERAL COUNSEL/SECRETARY	Na	yes	03/2023	Mar 31, 2023	Mar 28, 2024
SIPP, THOMAS, MICHAEL	EVP, ENVESTNET BUSINESS LINES	Na	yes	03/2023	Mar 31, 2023	Mar 28, 2024
THOMAS, BRANDON, ROCKWELL	CO-CIO	Na	yes	03/2023	Mar 31, 2023	Mar 28, 2024
WARREN, JOSHUA, B.	CHIEF FINANCIAL OFFICER	Na	yes	03/2024	Mar 28, 2024	Mar 28, 2024
MCEWAN, IAIN, EDWARD	CHIEF COMPLIANCE OFFICER	Na	no	03/2023	Mar 31, 2023	Mar 28, 2024

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
ENVESTNET ASSET MANAGEMENT, INC.	n/a	Independent wealth	$615B	N	yes	n/a
ENVESTNET PORTFOLIO SOLUTIONS, INC.	n/a	Independent wealth	$17B	N	yes	n/a
ENVESTNET RETIREMENT SOLUTIONS, LLC	n/a	Institutional manager	$16B	N	yes	n/a
QRG CAPITAL MANAGEMENT, INC.	n/a	Independent wealth	$11B	N	yes	n/a
ATEGENOS CAPITAL, LLC	n/a	Mixed wealth	$1.1B	N	yes	n/a
FDX ADVISORS, INC.	n/a	Asset manager	$833M	N	yes	n/a
ENVESTNET SECURITIES, INC.	n/a	n/a	n/a	N	yes	n/a
FIDX MARKETS LLC	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Berwyn	Pa	United States	3	no

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
2023	Mar 28, 2024	$10,415	$10,415	12	10	1	n/a	n/a
2022	Mar 31, 2023	$0	$0	18	15	1	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
2023	$10,415	$0	n/a	n/a	n/a	12	18	1	1

Relationships

Affiliated with (6)

→ FDX ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ ENVESTNET PORTFOLIO SOLUTIONS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ ENVESTNET PMCRegistered adviserother investment adviser, common control
factForm ADV
→ ENVESTNET RETIREMENT SOLUTIONS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ QRG CAPITAL MANAGEMENT, INC.Registered adviserother investment adviser, common control
factForm ADV
→ AC WEALTH PARTNERSRegistered adviserother investment adviser, common control
factForm ADV

Controls (7)

← THOMAS, BRANDON, ROCKWELLOwnerCO-CIO, ownership code NA, individual
Mar 31, 2023 to presentfactForm ADV
← SIPP, THOMAS, MICHAELOwnerEVP, ENVESTNET BUSINESS LINES, ownership code NA, individual
Mar 31, 2023 to presentfactForm ADV
← FOX, JAMES, LAWRENCEOwnerINTERIM CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 28, 2024 to presentfactForm ADV
← O'BRIEN, SHELLY, SOwnerCHIEF LEGAL OFFICER/GENERAL COUNSEL/SECRETARY, ownership code NA, individual
Mar 31, 2023 to presentfactForm ADV
← D'AURIA, DANA, MARIEOwnerCO-CIO, ownership code NA, individual
Mar 31, 2023 to presentfactForm ADV
← WARREN, JOSHUA, B.OwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 28, 2024 to presentfactForm ADV
← ENVESTNET, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Aug 1, 2022 to presentfactForm ADV

Owns (1)

← MCEWAN, IAIN, EDWARDOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 31, 2023 to presentfactForm ADV

Registered with (2)

← JOHN WARREN BUCKEYAdvisorregistration: previous registration
Jun 27, 2023 to Apr 30, 2024factForm ADV
← Danielle FavaAdvisorregistration: previous registration
Mar 22, 2023 to Apr 8, 2024factForm ADV

Dated events

Occurred
Apr 30, 2024
Advisor changed firm
John Warren Buckey left Envestnet Embedded Advisory, Inc. for Envestnet Pmc (registered 2024-01-23)
Form ADVobserved 5 days ago
Occurred
Apr 8, 2024
Advisor changed firm
Danielle Fava left Envestnet Embedded Advisory, Inc. for Envestnet Pmc (registered 2024-01-23)
Form ADVobserved 5 days ago
Occurred
Mar 28, 2024
Control person left
Danielle Fava (Principal) no longer on Schedule A of Envestnet Embedded Advisory, Inc. (listed 2023-12-15, absent 2024-03-28)
Form ADVobserved 5 days ago
Occurred
Mar 28, 2024
Control person left
C. William Crager (Ceo) no longer on Schedule A of Envestnet Embedded Advisory, Inc. (listed 2023-12-15, absent 2024-03-28)
Form ADVobserved 5 days ago
Occurred
Mar 28, 2024
Control person left
Michael Robert Coppola (Chief Technology Officer) no longer on Schedule A of Envestnet Embedded Advisory, Inc. (listed 2023-12-15, absent 2024-03-28)
Form ADVobserved 5 days ago
Occurred
Mar 28, 2024
Control person left
David Joshua Mayer (Chief Operating Officer) no longer on Schedule A of Envestnet Embedded Advisory, Inc. (listed 2023-12-15, absent 2024-03-28)
Form ADVobserved 5 days ago
Occurred
Mar 28, 2024
Control person left
H Peter Darrigo (Chief Financial Officer) no longer on Schedule A of Envestnet Embedded Advisory, Inc. (listed 2023-12-15, absent 2024-03-28)
Form ADVobserved 5 days ago
Occurred
Mar 28, 2024
Control person joined
B. Joshua Warren (Chief Financial Officer) appeared on Schedule A of Envestnet Embedded Advisory, Inc.
Form ADVobserved 5 days ago
Occurred
Mar 28, 2024
Control person joined
Lawrence James Fox (Interim Chief Executive Officer) appeared on Schedule A of Envestnet Embedded Advisory, Inc.
Form ADVobserved 5 days ago
Occurred
Mar 31, 2023
Control person joined
C. William Crager (Ceo) appeared on Schedule A of Envestnet Embedded Advisory, Inc.
Form ADVobserved 5 days ago
Occurred
Mar 31, 2023
Control person joined
Michael Robert Coppola (Chief Technology Officer) appeared on Schedule A of Envestnet Embedded Advisory, Inc.
Form ADVobserved 5 days ago
Occurred
Mar 31, 2023
Control person joined
David Joshua Mayer (Chief Operating Officer) appeared on Schedule A of Envestnet Embedded Advisory, Inc.
Form ADVobserved 5 days ago
Occurred
Mar 31, 2023
Control person joined
S Shelly O'Brien (Chief Legal Officer/General Counsel/Secretary) appeared on Schedule A of Envestnet Embedded Advisory, Inc.
Form ADVobserved 5 days ago
Occurred
Mar 31, 2023
Control person joined
H Peter Darrigo (Chief Financial Officer) appeared on Schedule A of Envestnet Embedded Advisory, Inc.
Form ADVobserved 5 days ago
Occurred
Mar 31, 2023
Control person joined
Michael Thomas Sipp (Evp, Envestnet Business Lines) appeared on Schedule A of Envestnet Embedded Advisory, Inc.
Form ADVobserved 5 days ago
Occurred
Mar 31, 2023
Control person joined
Marie Dana D'Auria (Co-Cio) appeared on Schedule A of Envestnet Embedded Advisory, Inc.
Form ADVobserved 5 days ago
Occurred
Mar 31, 2023
Control person joined
Rockwell Brandon Thomas (Co-Cio) appeared on Schedule A of Envestnet Embedded Advisory, Inc.
Form ADVobserved 5 days ago
Occurred
Aug 1, 2022
First Form ADV filing
Envestnet Embedded Advisory, Inc. filed its initial SEC registration (Form ADV)
Form ADVobserved 5 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:72c2d337-4cd4-6e9a-da45-27bea6c61958
First observed: Aug 1, 2022
Last observed: Mar 28, 2024 30 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
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.

ENVESTNET EMBEDDED ADVISORY, INC.

CRD 322162

CHICAGO, IL

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:72c2d337-4cd4-6e9a-da45-27bea6c61958

Data as of Mar 28, 2024 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:52 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

D'AURIA, DANA, MARIE

CO-CIO

yes

03/2023

Mar 31, 2023

Mar 28, 2024

ENVESTNET, INC.

Shareholder

yes

05/2022

Aug 1, 2022

Mar 28, 2024

FOX, JAMES, LAWRENCE

INTERIM CHIEF EXECUTIVE OFFICER

yes

04/2024

Mar 28, 2024

O'BRIEN, SHELLY, S

CHIEF LEGAL OFFICER/GENERAL COUNSEL/SECRETARY

yes

03/2023

Mar 31, 2023

Mar 28, 2024

SIPP, THOMAS, MICHAEL

EVP, ENVESTNET BUSINESS LINES

yes

03/2023

Mar 31, 2023

Mar 28, 2024

THOMAS, BRANDON, ROCKWELL

CO-CIO

yes

03/2023

Mar 31, 2023

Mar 28, 2024

WARREN, JOSHUA, B.

CHIEF FINANCIAL OFFICER

yes

03/2024

Mar 28, 2024

MCEWAN, IAIN, EDWARD

CHIEF COMPLIANCE OFFICER

03/2023

Mar 31, 2023

Mar 28, 2024

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

ENVESTNET ASSET MANAGEMENT, INC.

n/a

Independent wealth

$615B

yes

n/a

ENVESTNET PORTFOLIO SOLUTIONS, INC.

n/a

Independent wealth

$17B

yes

n/a

ENVESTNET RETIREMENT SOLUTIONS, LLC

n/a

Institutional manager

$16B

yes

n/a

QRG CAPITAL MANAGEMENT, INC.

n/a

Independent wealth

$11B

yes

n/a

ATEGENOS CAPITAL, LLC

n/a

Mixed wealth

$1.1B

yes

n/a

FDX ADVISORS, INC.

n/a

Asset manager

$833M

yes

n/a

ENVESTNET SECURITIES, INC.

n/a

yes

n/a

FIDX MARKETS LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Berwyn

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2023

Mar 28, 2024

$10,415

n/a

2022

Mar 31, 2023

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2023

$10,415

n/a