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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

RAMPART INVESTMENT MANAGEMENT

RAMPART INVESTMENT MANAGEMENT COMPANY, LLC, CRD 165089

HARTFORD, CT

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:9c3e1e1e-7a4a-27b9-caca-f6fb628f70f4

Data as of Jun 29, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:19 AM UTC and rebuilt at most every 15 minutes.

Relationships: 26
Dated events: 7
On other graphs: 0
Observed: Oct 4, 2012 to Jun 29, 2020
19 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: $1.2BItem 5.F on the latest filing (2020-06-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $1.2B
Private client RAUM: $164MderivedItem 5.D individuals plus high net worth individuals
Private client share: 13%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 4
Advisory employees: 4
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 61
Individual clients: 28
High net worth clients: 23
SEC number: 801-77244
CRD: 165089
Filings on the tape: 19
First filed: Oct 4, 2012
Latest filed: Jun 29, 2020
Organised: Limited Liability Company, 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
ANGERTHAL, MICHAEL, AARON	EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER	Na	yes	10/2012	Oct 4, 2012	Jun 29, 2020
AYLWARD, GEORGE, ROBERT	PRESIDENT AND CHIEF EXECUTIVE OFFICER	Na	yes	10/2012	Oct 4, 2012	Jun 29, 2020
HILLS, WENDY, JACQUELINE	EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY	Na	yes	09/2019	Oct 16, 2019	Jun 29, 2020
KUMAR, WARUN, NMN	SENIOR MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER	Na	yes	10/2015	Oct 30, 2015	Jun 29, 2020
VIRTUS INVESTMENT PARTNERS, INC.	Shareholder	E	yes	12/2008	Oct 4, 2012	Jun 29, 2020
VIRTUS PARTNERS, INC.	SOLE MEMBER	E	yes	07/2012	Oct 4, 2012	Jun 29, 2020
WALTMAN, FRANCIS, GEORGE	EXECUTIVE VICE PRESIDENT	Na	yes	10/2012	Oct 4, 2012	Jun 29, 2020
CARR, KEVIN, JOHN	VICE PRESIDENT, LEGAL & ASSISTANT SECRETARY	Na	no	10/2015	Mar 19, 2019	Jun 29, 2020
SENA, JAMES, ROBERT	CHIEF COMPLIANCE OFFICER	Na	no	10/2015	Oct 30, 2015	Jun 29, 2020

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
VIRTUS INVESTMENT ADVISERS, INC.	n/a	Asset manager	$52B	N	yes	n/a
KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC	n/a	Mixed wealth	$39B	N	yes	n/a
SEIX INVESTMENT ADVISORS LLC	n/a	Other adviser	$35B	Y	yes	n/a
SUSTAINABLE GROWTH ADVISERS, LP	n/a	Asset manager	$17B	N	yes	n/a
DUFF & PHELPS INVESTMENT MANAGEMENT CO.	n/a	Asset manager	$13B	N	yes	n/a
NEWFLEET ASSET MANAGEMENT, LLC	n/a	Former SEC adviser	$10B	N	yes	n/a
CEREDEX VALUE ADVISORS LLC	n/a	Other adviser	$3.4B	N	yes	n/a
SILVANT CAPITAL MANAGEMENT LLC	n/a	Asset manager	$3.0B	N	yes	n/a
VIRTUS FUND ADVISERS, LLC	n/a	Other adviser	$1.5B	N	yes	n/a
VIRTUS ETF ADVISERS LLC	n/a	Other adviser	$1.4B	N	yes	n/a
VIRTUS ALTERNATIVE INVESTMENT ADVISERS, INC.	n/a	Asset manager	$1.1B	N	yes	n/a
SEIX CLO MANAGEMENT LLC	n/a	Asset manager	$336M	Y	yes	n/a
VP DISTRIBUTORS 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
NEW YORK	NY	United States	3	no
Rockland	Ma	United States	1	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
2019	Mar 31, 2020	$1.2B	$1.2B	4	4	2	n/a	n/a
2018	Jan 30, 2019	$1.7B	$1.7B	7	4	2	n/a	n/a
2017	Mar 29, 2018	$1.9B	$1.9B	7	4	2	n/a	n/a
2016	Mar 30, 2017	$751M	$751M	10	5	n/a	n/a	n/a
2015	Mar 30, 2016	$652M	$652M	10	3	n/a	n/a	n/a
2014	Mar 25, 2015	$635M	$635M	10	3	n/a	n/a	n/a
2013	Mar 26, 2014	$1.4B	$1.4B	10	3	n/a	n/a	n/a
2012	Apr 1, 2013	$1.3B	$1.3B	11	3	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
2019	$1.2B	$1.7B	-26.8%	$751M	18.2%	4	7	2	2

Relationships

Affiliated with (17)

→ NEWFLEET ASSET MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ VIRTUS INVESTMENT ADVISERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ DUFF & PHELPS INVESTMENT MANAGEMENT CO.Registered adviserother investment adviser, common control
factForm ADV
→ VIRTUS CAPITAL ADVISERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ SUSTAINABLE GROWTH ADVISERS, LPRegistered adviserother investment adviser, common control
factForm ADV
→ VIRTUS ALTERNATIVE INVESTMENT ADVISERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ CEREDEX VALUE ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
→ SILVANT CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ VIRTUS FIXED INCOME ADVISERS, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, control, common control
factForm ADV
→ VIRTUS ADVISERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ SEIX CLO MANAGEMENT LLCRegistered adviserother investment adviser, control, common control
factForm ADV
← VIRTUS RETIREMENT INVESTMENT ADVISERS, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
← ZWEIG ADVISERS LLCRegistered adviserother investment adviser, common control
factForm ADV
← EUCLID ADVISORS LLCRegistered adviserother investment adviser, common control
factForm ADV
← CLIFFWATER INVESTMENTS LLCRegistered adviserother investment adviser, common control
factForm ADV
← NEWFOUND INVESTMENTS, LLCRegistered adviserother investment adviser, common control
factForm ADV

Controls (7)

← WALTMAN, FRANCIS, GEORGEOwnerEXECUTIVE VICE PRESIDENT, ownership code NA, individual
Oct 4, 2012 to presentfactForm ADV
← KUMAR, WARUN, NMNOwnerSENIOR MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER, ownership code NA, individual
Oct 30, 2015 to presentfactForm ADV
← HILLS, WENDY, JACQUELINEOwnerEXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY, ownership code NA, individual
Oct 16, 2019 to presentfactForm ADV
← AYLWARD, GEORGE, ROBERTOwnerPRESIDENT AND CHIEF EXECUTIVE OFFICER, ownership code NA, individual
Oct 4, 2012 to presentfactForm ADV
← ANGERTHAL, MICHAEL, AARONOwnerEXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER, ownership code NA, individual
Oct 4, 2012 to presentfactForm ADV
← VIRTUS INVESTMENT PARTNERS, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Oct 4, 2012 to presentfactForm ADV
← VIRTUS PARTNERS, INC.OwnerSOLE MEMBER, ownership code E, domestic entity
Oct 4, 2012 to presentfactForm ADV

Owns (2)

← CARR, KEVIN, JOHNOwnerVICE PRESIDENT, LEGAL & ASSISTANT SECRETARY, ownership code NA, individual
Mar 19, 2019 to presentfactForm ADV
← SENA, JAMES, ROBERTOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Oct 30, 2015 to presentfactForm ADV

Dated events

Occurred
Mar 31, 2020
Regulatory AUM changed
Rampart Investment Management reported RAUM $1.2B, down 27% from $1.7B (2019-10-16 to 2020-03-31)
Form ADVobserved 6 days ago
$-454M
Occurred
Oct 16, 2019
Control person joined
Jacqueline Wendy Hills (Executive Vice President, General Counsel And Secretary) appeared on Schedule A of Rampart Investment Management
Form ADVobserved 6 days ago
Occurred
Oct 16, 2019
Control person left
Stephen Mark Flynn (Executive Vice President And General Counsel) no longer on Schedule A of Rampart Investment Management (listed 2019-03-19, absent 2019-10-16)
Form ADVobserved 6 days ago
Occurred
Mar 19, 2019
Control person left
J Kevin Carr (Senior Vice President, Legal & Assistant Secretary) no longer on Schedule A of Rampart Investment Management (listed 2019-03-05, absent 2019-03-19)
Form ADVobserved 6 days ago
Occurred
Mar 29, 2018
Regulatory AUM changed
Rampart Investment Management reported RAUM $1.9B, up 154% from $750.7M (2017-03-30 to 2018-03-29)
Form ADVobserved 6 days ago
$1.2B
Occurred
Oct 4, 2012
Succession filed (Item 4)
100 Pearl Street, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
Form ADVobserved 6 days ago
Occurred
Oct 4, 2012
First Form ADV filing
100 Pearl Street, Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:9c3e1e1e-7a4a-27b9-caca-f6fb628f70f4
First observed: Oct 4, 2012
Last observed: Jun 29, 2020 75 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.

RAMPART INVESTMENT MANAGEMENT

RAMPART INVESTMENT MANAGEMENT COMPANY, LLC, CRD 165089

HARTFORD, CT

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:9c3e1e1e-7a4a-27b9-caca-f6fb628f70f4

Data as of Jun 29, 2020 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:19 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ANGERTHAL, MICHAEL, AARON

EXECUTIVE VICE PRESIDENT AND CHIEF FINANCIAL OFFICER

yes

10/2012

Oct 4, 2012

Jun 29, 2020

AYLWARD, GEORGE, ROBERT

PRESIDENT AND CHIEF EXECUTIVE OFFICER

yes

10/2012

Oct 4, 2012

Jun 29, 2020

HILLS, WENDY, JACQUELINE

EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY

yes

09/2019

Oct 16, 2019

Jun 29, 2020

KUMAR, WARUN, NMN

SENIOR MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER

yes

10/2015

Oct 30, 2015

Jun 29, 2020

VIRTUS INVESTMENT PARTNERS, INC.

Shareholder

yes

12/2008

Oct 4, 2012

Jun 29, 2020

VIRTUS PARTNERS, INC.

SOLE MEMBER

yes

07/2012

Oct 4, 2012

Jun 29, 2020

WALTMAN, FRANCIS, GEORGE

EXECUTIVE VICE PRESIDENT

yes

10/2012

Oct 4, 2012

Jun 29, 2020

CARR, KEVIN, JOHN

VICE PRESIDENT, LEGAL & ASSISTANT SECRETARY

10/2015

Mar 19, 2019

Jun 29, 2020

SENA, JAMES, ROBERT

CHIEF COMPLIANCE OFFICER

10/2015

Oct 30, 2015

Jun 29, 2020

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

VIRTUS INVESTMENT ADVISERS, INC.

n/a

Asset manager

$52B

yes

n/a

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

n/a

Mixed wealth

$39B

yes

n/a

SEIX INVESTMENT ADVISORS LLC

n/a

Other adviser

$35B

yes

n/a

SUSTAINABLE GROWTH ADVISERS, LP

n/a

Asset manager

$17B

yes

n/a

DUFF & PHELPS INVESTMENT MANAGEMENT CO.

n/a

Asset manager

$13B

yes

n/a

NEWFLEET ASSET MANAGEMENT, LLC

n/a

Former SEC adviser

$10B

yes

n/a

CEREDEX VALUE ADVISORS LLC

n/a

Other adviser

$3.4B

yes

n/a

SILVANT CAPITAL MANAGEMENT LLC

n/a

Asset manager

$3.0B

yes

n/a

VIRTUS FUND ADVISERS, LLC

n/a

Other adviser

$1.5B

yes

n/a

VIRTUS ETF ADVISERS LLC

n/a

Other adviser

$1.4B

yes

n/a

VIRTUS ALTERNATIVE INVESTMENT ADVISERS, INC.

n/a

Asset manager

$1.1B

yes

n/a

SEIX CLO MANAGEMENT LLC

n/a

Asset manager

$336M

yes

n/a

VP DISTRIBUTORS LLC

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

Rockland

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2019

Mar 31, 2020

$1.2B

n/a

2018

Jan 30, 2019

$1.7B

n/a

2017

Mar 29, 2018

$1.9B

n/a

2016

Mar 30, 2017

$751M

n/a

2015

Mar 30, 2016

$652M

n/a

2014

Mar 25, 2015

$635M

n/a

2013

Mar 26, 2014

$1.4B

n/a

2012

Apr 1, 2013

$1.3B

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2019

$1.2B

$1.7B

-26.8%

$751M

18.2%