DFX Intelligence

RIA Intelligence

Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.

Former SEC-registered adviser

J.P. Morgan Institutional Investments

Former SEC-registered adviserNew York, New YorkCRD 102920SEC 801-64031IAPD
Legal name J.P. Morgan Institutional Investments Inc.
Latest filing Sep 18, 2014
First filing on the tape Nov 22, 2011 · 18 filings
RAUM
$14B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
9
9 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
18 filings and snapshots on the tape
RAUM$13B as of Mar 31, 2014
Mar 30, 2012$9.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)31 as of Mar 31, 2014
Mar 28, 201335 then
Employees (5.A)31 as of Mar 31, 2014
Mar 28, 201335 then
Private funds: no history
RAUM +22% over the last fiscal yearIARs 35 to 9
Practice profile
derived from the filing of Sep 18, 2014; every figure names its basis
RAUM per advisor
$1.5BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
unknownderivedHNW RAUM over HNW clients
Average account
$116,865derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.0derivedItem 5.A over advisors
Advisors per office
3.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+13%derivedbetween the last two annual amendments
Advisor growth, one year
-11%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, selection of other advisersreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • buys or sells securities as principal to or from clients (8.A.2)
  • has discretionary authority over which securities are bought or sold (8.C.1)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
116,242reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • George Crosby White Gatch · Presidentcontrol
    since 04/2011 · owns less than 5%
  • James Arthur Hoffmann · Senior Vice Presidentcontrol
    since 04/2011 · owns less than 5%
  • Catherine Ann Keating · Managing Directorcontrol
    since 11/2012 · owns less than 5%
  • Michael Richard Machulski · Managing Directorcontrol
    since 04/2011 · owns less than 5%
  • Robert Lynn Young · Managing Directorcontrol
    since 04/2011 · owns less than 5%
  • Mary Jane Block · Executive Director & Treasurer
    since 04/2011 · owns less than 5%
  • Kevin Kloza · Chief Compliance Officer
    since 06/2006 · owns less than 5%
Entity owners
  • J.P. Morgan Securities Holdings LLC · Sole Stockholder
    direct · owns 75% or more
  • J.P. Morgan Chase & Co. · Sole Stockholder
    indirect · owns 75% or more of J.P. Morgan Securities Holdings LLC · public reporting company
Related persons
Schedule D 7.A
Advisers that list J.P. Morgan Institutional Investments as a related person
Offices
Schedule D 1.F, the 25 largest
  • Englewood, CO
  • Overland Park, KS
What changed
consecutive filings, newest first
  • Accounts · 112,584 to 116,242
    Jul 28, 2014 to Sep 18, 2014
  • Advisory employees · 31 to 9
    Jul 28, 2014 to Sep 18, 2014
  • BD registered reps · 31 to 9
    Jul 28, 2014 to Sep 18, 2014
  • Employees · 31 to 9
    Jul 28, 2014 to Sep 18, 2014
  • State-registered IARs · 31 to 9
    Jul 28, 2014 to Sep 18, 2014
  • Discretionary RAUM · $13B to $14B
    Jul 28, 2014 to Sep 18, 2014
  • RAUM · $13B to $14B
    Jul 28, 2014 to Sep 18, 2014
  • Accounts · 120,625 to 112,584
    Dec 18, 2013 to Mar 31, 2014
  • Advisory employees · 35 to 31
    Dec 18, 2013 to Mar 31, 2014
  • BD registered reps · 35 to 31
    Dec 18, 2013 to Mar 31, 2014
  • Employees · 35 to 31
    Dec 18, 2013 to Mar 31, 2014
  • State-registered IARs · 35 to 31
    Dec 18, 2013 to Mar 31, 2014
  • Discretionary RAUM · $11B to $13B
    Dec 18, 2013 to Mar 31, 2014
  • RAUM · $11B to $13B
    Dec 18, 2013 to Mar 31, 2014
  • Accounts · 107,507 to 120,625
    Mar 13, 2013 to Mar 28, 2013
  • Advisory employees · 25 to 35
    Mar 13, 2013 to Mar 28, 2013
  • Discretionary RAUM · $9.4B to $11B
    Mar 13, 2013 to Mar 28, 2013
  • RAUM · $9.4B to $11B
    Mar 13, 2013 to Mar 28, 2013
  • Advisory employees · unset to 25.0
    Oct 24, 2012 to Nov 8, 2012
  • BD registered reps · unset to 35.0
    Oct 24, 2012 to Nov 8, 2012
  • Employees · unset to 35.0
    Oct 24, 2012 to Nov 8, 2012
  • State-registered IARs · unset to 35.0
    Oct 24, 2012 to Nov 8, 2012
  • Accounts · 97,878 to 107,507
    Nov 22, 2011 to Mar 30, 2012
  • Advisory activities · 3 to 2
    Nov 22, 2011 to Mar 30, 2012
  • Insurance-licensed employees · unset to 0.0
    Nov 22, 2011 to Mar 30, 2012
  • Discretionary RAUM · $8.1B to $9.4B
    Nov 22, 2011 to Mar 30, 2012
  • RAUM · $8.1B to $9.4B
    Nov 22, 2011 to Mar 30, 2012
  • Related bank · false to true
    Nov 22, 2011 to Mar 30, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
Provenance
Form ADV
SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
Advisors
IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
Class
Former SEC-registered adviserderiveda rule over Items 5.D and 7.A
RAUM per advisor
n/aderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026
Across the graphs

J.P. Morgan Institutional Investments is the same institution as 1 record in Real Estate Funds.

Real Estate Funds1

Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.

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