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

BARCLAYS ASSET MANAGEMENT GROUP LLC

CRD 156230

SANTA MONICA, CA

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:e4b6464f-1133-6ce4-ae53-ca27e7cc7e64

Data as of Apr 22, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:14 PM UTC and rebuilt at most every 15 minutes.

Relationships: 9
Dated events: 0
On other graphs: 0
Observed: Mar 23, 2012 to Apr 22, 2013
7 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: $2.9BItem 5.F on the latest filing (2013-04-22); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $450M
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: 12
Advisory employees: 10
Accounts: 3
SEC number: 801-72475
CRD: 156230
Filings on the tape: 7
First filed: Mar 23, 2012
Latest filed: Apr 22, 2013
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
BARCLAYS BANK PLC	SOLE MEMBER	E	yes	01/2011	Mar 23, 2012	Apr 22, 2013
BARCLAYS PLC	SOLE SHARHOLDER	E	yes	01/1985	Mar 23, 2012	Apr 22, 2013
BARRETT, MATTHEW, SCOTT	DIRECTOR, PRESIDENT	Na	yes	01/2011	Mar 23, 2012	Apr 22, 2013
KEEGAN, MICHAEL, JOSEPH	Director	Na	yes	01/2011	Mar 23, 2012	Apr 22, 2013
KIM, HOLLY, HYUNJIN	Director	Na	yes	01/2011	Mar 23, 2012	Apr 22, 2013
NASH, PHILLIP, ANTHONY	Director	Na	yes	01/2011	Mar 23, 2012	Apr 22, 2013
POULTEN, DAVID, JOHN	CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, DIRECTOR	Na	yes	01/2011	Mar 23, 2012	Apr 22, 2013
MONTGOMERY, MICHAEL, CURRY	CHIEF COMPLIANCE OFFICER, DIRECTOR	Na	no	01/2011	Mar 23, 2012	Apr 22, 2013

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
BARCLAYS CAPITAL INC.	n/a	Former SEC adviser	$13B	N	yes	n/a
BARCLAYS BANK PLC	n/a	n/a	n/a	Y	no	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
2012	Apr 1, 2013	$2.9B	$2.4B	12	10	n/a	n/a	n/a
2011	Mar 23, 2012	$2.4B	$300M	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
2012	$2.9B	$2.4B	22.1%	n/a	n/a	12	n/a	n/a	n/a

Relationships

Affiliated with (1)

→ BARCLAYS CAPITAL INC.Registered adviserother investment adviser, broker-dealer, bank, trust company, pooled vehicle sponsor, common control
factForm ADV

Controls (7)

← KEEGAN, MICHAEL, JOSEPHOwnerDIRECTOR, ownership code NA, individual
Mar 23, 2012 to presentfactForm ADV
← KIM, HOLLY, HYUNJINOwnerDIRECTOR, ownership code NA, individual
Mar 23, 2012 to presentfactForm ADV
← BARRETT, MATTHEW, SCOTTOwnerDIRECTOR, PRESIDENT, ownership code NA, individual
Mar 23, 2012 to presentfactForm ADV
← NASH, PHILLIP, ANTHONYOwnerDIRECTOR, ownership code NA, individual
Mar 23, 2012 to presentfactForm ADV
← POULTEN, DAVID, JOHNOwnerCHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, DIRECTOR, ownership code NA, individual
Mar 23, 2012 to presentfactForm ADV
← BARCLAYS BANK PLCOwnerSOLE MEMBER, ownership code E, foreign entity
Mar 23, 2012 to presentfactForm ADV
← BARCLAYS PLCOwnerSOLE SHARHOLDER, ownership code E, foreign entity
Mar 23, 2012 to presentfactForm ADV

Owns (1)

← MONTGOMERY, MICHAEL, CURRYOwnerCHIEF COMPLIANCE OFFICER, DIRECTOR, ownership code NA, individual
Mar 23, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:e4b6464f-1133-6ce4-ae53-ca27e7cc7e64
First observed: Mar 23, 2012
Last observed: Apr 22, 2013 163 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.

BARCLAYS ASSET MANAGEMENT GROUP LLC

CRD 156230

SANTA MONICA, CA

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:e4b6464f-1133-6ce4-ae53-ca27e7cc7e64

Data as of Apr 22, 2013 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 1:14 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BARCLAYS BANK PLC

SOLE MEMBER

yes

01/2011

Mar 23, 2012

Apr 22, 2013

BARCLAYS PLC

SOLE SHARHOLDER

yes

01/1985

Mar 23, 2012

Apr 22, 2013

BARRETT, MATTHEW, SCOTT

DIRECTOR, PRESIDENT

yes

01/2011

Mar 23, 2012

Apr 22, 2013

KEEGAN, MICHAEL, JOSEPH

Director

yes

01/2011

Mar 23, 2012

Apr 22, 2013

KIM, HOLLY, HYUNJIN

Director

yes

01/2011

Mar 23, 2012

Apr 22, 2013

NASH, PHILLIP, ANTHONY

Director

yes

01/2011

Mar 23, 2012

Apr 22, 2013

POULTEN, DAVID, JOHN

CHIEF FINANCIAL OFFICER, CHIEF OPERATING OFFICER, DIRECTOR

yes

01/2011

Mar 23, 2012

Apr 22, 2013

MONTGOMERY, MICHAEL, CURRY

CHIEF COMPLIANCE OFFICER, DIRECTOR

01/2011

Mar 23, 2012

Apr 22, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BARCLAYS CAPITAL INC.

n/a

Former SEC adviser

$13B

yes

n/a

BARCLAYS BANK PLC

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2012

Apr 1, 2013

$2.9B

$2.4B

n/a

2011

Mar 23, 2012

$2.4B

$300M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2012

$2.9B

$2.4B

22.1%

n/a