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.
SEC-registered adviser
Dws Investment Management Americas, Inc.
Latest filing Jul 1, 2026
First filing on the tape Nov 21, 2011 · 135 filings
SEC status approved since Nov 1, 1940
RAUM
$200B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
0.0%
$91.9M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
452
91 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
4
reported on Schedule D
History
135 filings and snapshots on the tape
RAUM$200B as of Jul 1, 2026
Mar 30, 2012$241B then
HNW client RAUM$91.9M as of Jul 1, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jul 1, 2026
Mar 28, 20130 then
Employees (5.A)452 as of Jul 1, 2026
Mar 28, 2013221 then
Private funds4 as of Jul 1, 2026
Mar 30, 20127 then
RAUM +3.4% over the last fiscal year+6.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 1, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $13.1MderivedHNW RAUM over HNW clients
- Average account
- $363MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 49%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +3.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +75%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$87B44%
- Investment companies$69B35%
- Pooled investment vehicles$15B7.7%
- Corporations and businesses$13B6.8%
- Sovereign wealth funds$5.1B2.6%
- Charitable organizations$2.2B1.1%
- Banks and thrifts$2.1B1.0%
- Pension and profit-sharing plans$1.9B1.0%
- State and municipal entities$1.8B0.9%
- Other investment advisers$119M0.1%
- High-net-worth individuals$91.9M0.0%
- Individual clients
- 0reported
- HNW clients
- 7reported
- Pension plan clients
- 4reported
- Charitable clients
- 3reported
- Accounts
- 550reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.42 institutional_share=0.49 related_bd=true related_bank=true bd_reps=114.0derived
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
- Stephen Bennett Nielander to Cerity Partners LLCMay 25, 2012 · Other
- Kurt Allen Beal to Mfs Institutional Advisors Inc.Oct 19, 2011 · Other
- Gerald Lawrence Larr to Deutsche Bank Securities Inc.Aug 18, 2010 · Other
- David Gerald Taylor to Edward JonesDec 22, 2009 · Other
- Chad William Agnew to Td Ameritrade Investment Management, LLCDec 17, 2009 · Other
- Paul Raymond Dowd to Morningstar Investment Management LLCApr 4, 2008 · Other
- Terrence Patrick Cunningham to Innovation Partners LLCFeb 5, 2008 · Other
- Teddy James Theriot to Marks Theriot Walston & Company, Inc.Nov 29, 2007 · Other
- Gregory M Laurence to Oberweis Securities, Inc.Dec 7, 2005 · Other
- James Patrick Keane to MML Investors Services, LLCSep 23, 2005 · Other
- Steven Scott Williams to Cerity Partners LLCAug 12, 2005 · Other
- Paul David Kasischke to J.P. Morgan Securities Inc.Jun 17, 2005 · Other
- Mark James Dennis to Morgan Stanley & Co. LLCJun 15, 2005 · Other
- Darren Anthony Brich to Nuveen Asset Management, LLCApr 7, 2005 · Other
- Paul Joseph Benziger to 1919 Investment Counsel, LLCMar 2, 2005 · Other
Joined, latest
- Terrence Patrick Cunningham from Fisher InvestmentsNov 20, 2003 · Other
- Mark James Dennis from Morgan Stanley Dw Inc.Jul 17, 2003 · Other
- Teddy James Theriot from Deutsche Bank Securities Inc.Jul 9, 2003 · Other
- Paul Raymond Dowd from Charles Schwab & Co., Inc.Jul 8, 2003 · Other
- David Gerald Taylor from Putnam Investment Management, LLCMay 20, 2003 · Other
Private funds
17 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Cayman Real Assets Fund, Ltd | Other Private Fund | $477M | 1 | Jul 19, 2016 |
| Pm Manager Fund, Spc. - Segregated Portfolio Xxno longer reported | Hedge Fund | $377M | 25 | Mar 30, 2012 |
| Cayman Commodity Fund II, Ltd. | Other Private Fund | $244M | 1 | Apr 22, 2013 |
| Deutsche Climate Change Fixed Income Qp Trustno longer reported | Hedge Fund | $116M | 2 | Mar 30, 2012 |
| Flagship Clo Vino longer reported | Securitized Asset Fund | $115M | 5 | Jul 30, 2012 |
| Dws Global Commodities Qp Trustno longer reported | Hedge Fund | $86.5M | 14 | Mar 30, 2012 |
| Charlestonno longer reported | Securitized Asset Fund | $81.5M | 7 | Jul 30, 2012 |
| Db Masdar Clean Tech Fund, L.P.no longer reported | Private Equity Fund | $36.3M | 9 | Mar 30, 2012 |
| Deutsche Long Duration Government/Credit Qp Trustno longer reported | Other Private Fund | $14.3M | 2 | Mar 30, 2012 |
| Deutsche Ultra Core Fixed Income Qp Trustno longer reported | Hedge Fund | $13.0M | 2 | Mar 30, 2012 |
| Db Real Estate Global Opportunities Ib, L.P. | Real Estate Fund | $7.4M | 169 | Jul 30, 2012 |
| Cayman Global Inflation Plus Fund, Ltd.no longer reported | Hedge Fund | $2.3M | 1 | Apr 22, 2013 |
| Cayman Precious Metals Fund, Inc.no longer reported | Hedge Fund | $1.3M | 1 | Apr 22, 2013 |
| Cayman Global Macro Fund LLC | Other Private Fund | $1.0M | 1 | Jul 27, 2023 |
| Flagship Vii Limited | Securitized Asset Fund | $250,000 | 5 | Mar 31, 2014 |
| Flagship Clo Viii, Ltd. | Securitized Asset Fund | $140,000 | 16 | Mar 31, 2015 |
| Flagship Clo Vno longer reported | Securitized Asset Fund | $56,600 | 5 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- S David Bianco · Director, Chairman, Chief Executive Officer And Presidentcontrolsince 05/2018 · owns less than 5%
- L George Catrambone · Directorcontrolsince 05/2023 · owns less than 5%
- Sharon Michelle Goveia · Chief Compliance Officercontrolsince 08/2017 · owns less than 5%
- Brian John Millette · Chief Legal Officercontrolsince 05/2015 · owns less than 5%
- Sandy Sculac · Chief Operating Officercontrolsince 01/2021 · owns less than 5%
- Lee Nancy Tanzil · Chief Financial Officer And Treasurercontrolsince 04/2013 · owns less than 5%
- Hepsen Uzcan · Directorcontrolsince 07/2023 · owns less than 5%
Entity owners
- Dws USA Corporation · Shareholderdirect · owns 75% or more
- Db Beteiligungs-Holding Gmbh · Shareholderindirect · owns 75% or more of Dws Group Gmbh & Co. Kgaa
- Deutsche Bank Ag · Shareholderindirect · owns 75% or more of Db Beteiligungs-Holding Gmbh · public reporting company
- Dws Group Gmbh & Co. Kgaa · Shareholderindirect · owns 75% or more of Dws USA Corporation
Related persons
Schedule D 7.A
- Dbre Global Real Estate Management Ib, Ltdinvestment adviserpooled vehicle sponsory
- Dbx Advisors LLCinvestment adviserbanknRAUM $29B
- Deutsche Bank (Cayman) Limitedn
- Deutsche Bank (China) Co., Ltd., Shanghai Branchn
- Deutsche Bank (Malaysia) Berhadn
- Deutsche Bank A.S.n
- Deutsche Bank Agbroker-dealerpooled vehicle sponsorCPO or CTAy
- Deutsche Bank Ag Bangkok Branchn
- Deutsche Bank Ag Hungary Branchn
- Deutsche Bank Ag Jakarta Branchn
- Deutsche Bank Ag Taipe Branchn
- Deutsche Bank Ag, Amsterdam Branchn
- Deutsche Bank Ag, Amsterdam Branch (Belgium)n
- Deutsche Bank Ag, Amsterdam Branch (France)n
- Deutsche Bank Ag, Amsterdam Branch (Portugal)n
- Deutsche Bank Ag, Colombo Branchn
- Deutsche Bank Ag, Frankfurtn
- Deutsche Bank Ag, Ho Chi Minh City Branchn
- Deutsche Bank Ag, Hong Kong Branchn
- Deutsche Bank Ag, Karachi Branchn
- Deutsche Bank Ag, London Branchn
- Deutsche Bank Ag, Manila Branchn
- Deutsche Bank Ag, Mumbai Branchn
- Deutsche Bank Ag, New York Branchn
- Deutsche Bank Ag, Seoul Branchn
- Deutsche Bank Ag, Singapore Branchn
- Deutsche Bank Aktiengesellschaft Filiale Prag, Organizacni Slo?Kan
- Deutsche Bank Alternative Fund Servicesn
- Deutsche Bank Polska S.A.n
- Deutsche Bank S.A. Banco Alem?On
Advisers that list Dws Investment Management Americas, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
- Boston, MA28 employees
- Chicago, IL19 employees
- Jacksonville, FL10 employees
- San Francisco, CA6 employees
- Costa Mesa, CA4 employees
What changed
consecutive filings, newest first
- Accounts · 571 to 550Dec 15, 2025 to Mar 31, 2026
- Advisory employees · 92 to 91Dec 15, 2025 to Mar 31, 2026
- Charity clients · 2 to 3Dec 15, 2025 to Mar 31, 2026
- Corporate clients · 24 to 20Dec 15, 2025 to Mar 31, 2026
- HNW clients · 4 to 7Dec 15, 2025 to Mar 31, 2026
- Pension plan clients · 5 to 4Dec 15, 2025 to Mar 31, 2026
- Pooled vehicle clients · 14 to 7Dec 15, 2025 to Mar 31, 2026
- Employees · 479 to 452Dec 15, 2025 to Mar 31, 2026
- Discretionary RAUM · $187B to $196BDec 15, 2025 to Mar 31, 2026
- HNW RAUM · $64.4M to $91.9MDec 15, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $6.5B to $3.2BDec 15, 2025 to Mar 31, 2026
- Pension RAUM · $2.0B to $1.9BDec 15, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $17B to $15BDec 15, 2025 to Mar 31, 2026
- RAUM · $193B to $200BDec 15, 2025 to Mar 31, 2026
- Financial planning clients · unset to Jun 6, 2025 to Jul 11, 2025
- Accounts · 620 to 571Jan 17, 2025 to Apr 30, 2025
- Advisory employees · 206 to 92Jan 17, 2025 to Apr 30, 2025
- BD registered reps · 109 to 114Jan 17, 2025 to Apr 30, 2025
- Corporate clients · 23 to 24Jan 17, 2025 to Apr 30, 2025
- Pension plan clients · 7 to 5Jan 17, 2025 to Apr 30, 2025
- Pooled vehicle clients · 15 to 14Jan 17, 2025 to Apr 30, 2025
- Employees · 487 to 479Jan 17, 2025 to Apr 30, 2025
- Private funds · 5 to 4Jan 17, 2025 to Apr 30, 2025
- Discretionary RAUM · $191B to $187BJan 17, 2025 to Apr 30, 2025
- HNW RAUM · $73.2M to $64.4MJan 17, 2025 to Apr 30, 2025
- Non-discretionary RAUM · $1.1B to $6.5BJan 17, 2025 to Apr 30, 2025
- Pension RAUM · $2.0B to $2.0BJan 17, 2025 to Apr 30, 2025
- Pooled vehicle RAUM · $1.1B to $17BJan 17, 2025 to Apr 30, 2025
- RAUM · $192B to $193BJan 17, 2025 to Apr 30, 2025
- Accounts · 602 to 620Oct 2, 2024 to Nov 29, 2024
- Corporate clients · 20 to 23Oct 2, 2024 to Nov 29, 2024
- Pooled vehicle clients · 5 to 15Oct 2, 2024 to Nov 29, 2024
- Discretionary RAUM · $172B to $191BOct 2, 2024 to Nov 29, 2024
- RAUM · $173B to $192BOct 2, 2024 to Nov 29, 2024
- Accounts · 609 to 602Mar 7, 2024 to Mar 28, 2024
- Advisory employees · 204 to 206Mar 7, 2024 to Mar 28, 2024
- BD registered reps · 103 to 109Mar 7, 2024 to Mar 28, 2024
- Charity clients · 4 to 2Mar 7, 2024 to Mar 28, 2024
- Corporate clients · 28 to 20Mar 7, 2024 to Mar 28, 2024
- HNW clients · 6 to 4Mar 7, 2024 to Mar 28, 2024
Signals
9 dated events
- Pierce Cynthia Nestle (Director) no longer on Schedule A of Dws Investment Management Americas, Inc. (listed 2023-06-20, absent 2023-07-27)Jul 27, 2023 · Control person left · inference
- Hepsen Uzcan (Director) appeared on Schedule A of Dws Investment Management Americas, Inc.Jul 27, 2023 · Control person joined · fact
- L George Catrambone (Director) appeared on Schedule A of Dws Investment Management Americas, Inc.May 22, 2023 · Control person joined · fact
- Mitchell Gregory Staples (Director) no longer on Schedule A of Dws Investment Management Americas, Inc. (listed 2023-04-18, absent 2023-05-22)May 22, 2023 · Control person left · inference
- Freddi Klassen (Chief Operating Officer) no longer on Schedule A of Dws Investment Management Americas, Inc. (listed 2020-12-08, absent 2021-01-28)Jan 28, 2021 · Control person left · inference
- Antony Luke Oliver (Director) no longer on Schedule A of Dws Investment Management Americas, Inc. (listed 2020-12-08, absent 2021-01-28)Jan 28, 2021 · Control person left · inference
- Sandy Sculac (Chief Operating Officer) appeared on Schedule A of Dws Investment Management Americas, Inc.Jan 28, 2021 · Control person joined · fact
- Antony Luke Oliver (Director) appeared on Schedule A of Dws Investment Management Americas, Inc.Aug 27, 2019 · Control person joined · fact
- Teresa Fiona Bassett (Director) no longer on Schedule A of Dws Investment Management Americas, Inc. (listed 2019-03-29, absent 2019-06-28)Jun 28, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- DWS Investment Management Americas, Inc. · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/DWS-GROUP-COMreportedpublic record, Form ADV, Sep 17, 2026
- Website
- DWS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-454-4500reportedpublic record, Form ADV, Jul 1, 2026
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
- Other 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
Dws Investment Management Americas, Inc. 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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