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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

RATHBONE WARWICK INVESTMENT MANAGEMENT

RATHBONE WARWICK INVESTMENT MANAGEMENT LLC, CRD 171115

BOISE, ID

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:a88f58d1-c24a-6a1f-c50c-41b36f9bbdc3

Data as of Jan 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:35 AM UTC and rebuilt at most every 15 minutes.

Relationships: 8
Dated events: 1
On other graphs: 0
Observed: Jun 11, 2014 to Jan 29, 2016
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: $464MItem 5.F on the latest filing (2016-01-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $383M
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: 6
Advisory employees: 4
Accounts: 1,457
SEC number: 801-79937
CRD: 171115
Filings on the tape: 11
First filed: Jun 11, 2014
Latest filed: Jan 29, 2016
Organised: Limited Liability Company, Idaho

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
WARREN, BENJAMIN, CARL	MANAGING MEMBER & CHIEF COMPLIANCE OFFICER	Na	yes	01/2016	Jan 26, 2016	Jan 29, 2016
WARWICK, RYAN, CHRISTOPHER	MANAGING MEMBER	B	yes	07/2014	Jun 11, 2014	Jan 29, 2016

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
2015	Jan 26, 2016	$464M	$383M	6	4	n/a	n/a	n/a
2014	Feb 13, 2015	$442M	$378M	10	6	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
2015	$464M	$442M	5.1%	n/a	n/a	6	10	n/a	n/a

Teams out

two or more advisors whose registrations ended here and began at one firm together: a fact of two dates, not a prediction

Other firm	Advisors	First left	Last joined	From	Kind	Move type	Share of firm
RW INVESTMENT MANAGEMENT LLC	4	Feb 26, 2016	Feb 26, 2016	BOISE, ID	Firm absorbed	Other	100.0%

Relationships

Controls (2)

← WARWICK, RYAN, CHRISTOPHEROwnerMANAGING MEMBER, ownership code B, individual
Jun 11, 2014 to presentfactForm ADV
← WARREN, BENJAMIN, CARLOwnerMANAGING MEMBER & CHIEF COMPLIANCE OFFICER, ownership code NA, individual
Jan 26, 2016 to presentfactForm ADV

Moved with (1)

→ RW INVESTMENT MANAGEMENT LLCRegistered adviser4 advisors, firm absorbed, same day
Feb 26, 2016 to Feb 26, 2016factForm ADV

Registered with (5)

← RYAN CHRISTOPHER WARWICKAdvisorregistration: previous registration
Jul 1, 2014 to Feb 26, 2016factForm ADV
← BENJAMIN CARL WARRENAdvisorregistration: previous registration
Jul 1, 2014 to Feb 26, 2016factForm ADV
← MELISSA ANN JENKINSAdvisorregistration: previous registration
Jul 1, 2014 to Feb 26, 2016factForm ADV
← Brooke Ann RamstadAdvisorregistration: previous registration
Jul 1, 2014 to Feb 26, 2016factForm ADV
← CODY BILL BARNEYAdvisorregistration: previous registration
Jul 1, 2014 to May 18, 2015factForm ADV

Dated events

Occurred
Jun 11, 2014
First Form ADV filing
Rathbone Warwick & Daly Investment Management Llc filed its initial SEC registration (Form ADV)
Form ADVobserved 6 days ago

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a88f58d1-c24a-6a1f-c50c-41b36f9bbdc3
First observed: Jun 11, 2014
Last observed: Jan 29, 2016 129 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.

RATHBONE WARWICK INVESTMENT MANAGEMENT

RATHBONE WARWICK INVESTMENT MANAGEMENT LLC, CRD 171115

BOISE, ID

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:a88f58d1-c24a-6a1f-c50c-41b36f9bbdc3

Data as of Jan 29, 2016 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:35 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

WARREN, BENJAMIN, CARL

MANAGING MEMBER & CHIEF COMPLIANCE OFFICER

yes

01/2016

Jan 26, 2016

Jan 29, 2016

WARWICK, RYAN, CHRISTOPHER

MANAGING MEMBER

yes

07/2014

Jun 11, 2014

Jan 29, 2016

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2015

Jan 26, 2016

$464M

$383M

n/a

2014

Feb 13, 2015

$442M

$378M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2015

$464M

$442M

5.1%

n/a

Other firm

Advisors

First left

Last joined

From

Kind

Move type

Share of firm

RW INVESTMENT MANAGEMENT LLC

Feb 26, 2016

BOISE, ID

Firm absorbed

Other

100.0%