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.
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SEC-registered adviser
I•••••• A•••• M••••••••• L••
Latest filing Aug 12, 2026
First filing on the tape Feb 27, 2012 · 32 filings
SEC status approved since Dec 5, 1995
RAUM
$280M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
30%
$82.8M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
5
3 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$280M as of Aug 12, 2026
Feb 27, 2012$6.7B then
HNW client RAUM$82.8M as of Aug 12, 2026
Mar 23, 2018$275M then
State-registered IARs (5.B.3)0 as of Aug 12, 2026
Mar 15, 20133 then
Employees (5.A)5 as of Aug 12, 2026
Mar 15, 201341 then
Private funds3 as of Aug 12, 2026
Feb 27, 20123 then
RAUM -24% over the last fiscal year-32% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $11.8MderivedHNW RAUM over HNW clients
- Average account
- $20.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -24%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $146M, 3 clientsreportedItem 9.A
- 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
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$165M60%
- High-net-worth individuals$82.8M30%
- Corporations and businesses$24.7M9.1%
- Individual clients
- n/areported
- HNW clients
- 7reported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 14reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $146M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.3 fund_share=0.59 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived
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
- L••• S••••• B•••••• to C•••••• I••••••••• M••••••••• L••Oct 5, 2022 · Other
Joined, latest
- L••• S••••• B•••••• from R•• R•••••••• L••Jun 2, 2003 · Other
Private funds
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•••••• P•••••• B••••••• V•••• E••••• F•••• L• | Other Private Fund | $70.2M | 24 | Feb 27, 2012 |
| I•••••• C•••••• F•••• L•no longer reported | Hedge Fund | $59.8M | 27 | Feb 27, 2012 |
| I•••••• E•••• F•••• L• | Hedge Fund | $57.9M | 50 | Mar 22, 2021 |
| I•••••• W••••• F•••• L• | Hedge Fund | $26.7M | 3 | Mar 19, 2019 |
| I•••••• S•••• C•• E••••• F•••• L•no longer reported | Other Private Fund | $11.8M | 4 | Feb 27, 2012 |
| I•••••• C••••• F•••• L•no longer reported | Hedge Fund | $4.5M | 3 | Mar 15, 2013 |
| I•••••• G••••• I••••• F•••• L• | Other Private Fund | $1.6M | 2 | Mar 15, 2023 |
| I•••••• R•••• F••• L• | Hedge Fund | $0 | 0 | Mar 23, 2022 |
Owners and control persons
Schedule A and B, latest filing
- M•••••• C••••• J••• · Director Of Marketing, Executive Committee Membercontrolsince 01/2022 · owns less than 5%
- R••••• T•••• D••••• · Chief Executive Officer, Executive Committee Membercontrolsince 01/2022 · owns less than 5%
- S••••••• R••••••• E••••• · Managing Director, Executive Committee Membercontrolsince 01/2022 · owns less than 5%
- S••••• E•••• S•••• · Managing Director, Executive Committee Membercontrolsince 01/2022 · owns less than 5%
- R••••• T•••• D••••• · Member; Managercontrolsince 01/2022 · owns 75% or more of K••••• L••
- F••• M•••••• E•••• · Chief Compliance Officersince 10/2022 · owns less than 5%
Entity owners
- K••••• L•• · Member; Managerdirect · owns 25% to 50%
- K••••• L•• · Member; Managerindirect · owns F of I•••••• E••••••• H••••••• L••
- I•••••• E••••••• H••••••• L•• · Memberdirect · owns 50% to 75%
Related persons
Schedule D 7.A
- C•• P••••••• L••pooled vehicle sponsory
- C••• P••••••• L••pooled vehicle sponsory
- C•••••• A••••••••• L••pooled vehicle sponsory
- I•••••• V••••••• L••pooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- HQ city · WESTPORT to Mar 5, 2026 to Apr 23, 2026
- HQ state · CT to Mar 5, 2026 to Apr 23, 2026
- Accounts · 20 to 14Jul 2, 2025 to Mar 5, 2026
- Advisory employees · 5 to 3Jul 2, 2025 to Mar 5, 2026
- Charity clients · 2.0 to unsetJul 2, 2025 to Mar 5, 2026
- HNW clients · 10 to 7Jul 2, 2025 to Mar 5, 2026
- Pooled vehicle clients · 5 to 4Jul 2, 2025 to Mar 5, 2026
- Assets in custody · $156M to $146MJul 2, 2025 to Mar 5, 2026
- Employees · 9 to 5Jul 2, 2025 to Mar 5, 2026
- Private funds · 4 to 3Jul 2, 2025 to Mar 5, 2026
- Discretionary RAUM · $367M to $280MJul 2, 2025 to Mar 5, 2026
- HNW RAUM · $98.8M to $82.8MJul 2, 2025 to Mar 5, 2026
- Pooled vehicle RAUM · $187M to $165MJul 2, 2025 to Mar 5, 2026
- RAUM · $367M to $280MJul 2, 2025 to Mar 5, 2026
- Financial planning clients · unset to Apr 23, 2025 to Jul 2, 2025
- Accounts · 21 to 20Mar 20, 2024 to Apr 23, 2025
- Charity clients · 4 to 2Mar 20, 2024 to Apr 23, 2025
- Corporate clients · unset to 1.0Mar 20, 2024 to Apr 23, 2025
- HNW clients · 9 to 10Mar 20, 2024 to Apr 23, 2025
- Assets in custody · $156M to $156MMar 20, 2024 to Apr 23, 2025
- Employees · 11 to 9Mar 20, 2024 to Apr 23, 2025
- Discretionary RAUM · $372M to $367MMar 20, 2024 to Apr 23, 2025
- HNW RAUM · $84.2M to $98.8MMar 20, 2024 to Apr 23, 2025
- Pooled vehicle RAUM · $180M to $187MMar 20, 2024 to Apr 23, 2025
- RAUM · $372M to $367MMar 20, 2024 to Apr 23, 2025
- Accounts · 26 to 21Mar 15, 2023 to Mar 19, 2024
- Advisory employees · 4 to 5Mar 15, 2023 to Mar 19, 2024
- Charity clients · unset to 4.0Mar 15, 2023 to Mar 19, 2024
- Pooled vehicle clients · 8 to 5Mar 15, 2023 to Mar 19, 2024
- Assets in custody · $248M to $156MMar 15, 2023 to Mar 19, 2024
- Private funds · 5 to 4Mar 15, 2023 to Mar 19, 2024
- Discretionary RAUM · $896M to $372MMar 15, 2023 to Mar 19, 2024
- HNW RAUM · $69.6M to $84.2MMar 15, 2023 to Mar 19, 2024
- Pension RAUM · 122731088.0 to unsetMar 15, 2023 to Mar 19, 2024
- Pooled vehicle RAUM · $617M to $180MMar 15, 2023 to Mar 19, 2024
- RAUM · $896M to $372MMar 15, 2023 to Mar 19, 2024
- Accounts · 39 to 26Oct 12, 2022 to Mar 15, 2023
- BD registered reps · 8 to 0Oct 12, 2022 to Mar 15, 2023
- Charity clients · 10.0 to unsetOct 12, 2022 to Mar 15, 2023
- HNW clients · 10 to 9Oct 12, 2022 to Mar 15, 2023
Signals
13 dated events
- I•••••• A•••• M••••••••• L•• reported RAUM $372.3M, down 58% from $895.7M (2023-03-15 to 2024-03-19)Mar 19, 2024 · RAUM change · derived
- I•••••• A•••• M••••••••• L•• reported RAUM $895.7M, down 47% from $1.7B (2022-10-12 to 2023-03-15)Mar 15, 2023 · RAUM change · derived
- Steven Lane Bucklan (Chief Operating Officer, General Counsel, Chief Compliance Officer, Executive Committee Member) no longer on Schedule A of I•••••• A•••• M••••••••• L•• (listed 2022-08-15, absent 2022-10-12)Oct 12, 2022 · Control person left · inference
- L••• S••••• B•••••• left I•••••• A•••• M••••••••• L•• for C•••••• I••••••••• M••••••••• L•• (registered 2023-11-03)Oct 5, 2022 · Advisor changed firm · fact
- I•••••• A•••• M••••••••• L•• reported RAUM $1.7B, down 70% from $5.6B (2022-02-01 to 2022-03-23)Mar 23, 2022 · RAUM change · derived
- Dunkin Todd Raker (Chief Executive Officer, Executive Committee Member) appeared on Schedule A of I•••••• A•••• M••••••••• L••Feb 1, 2022 · Control person joined · fact
- John Colin Morris (Director Of Marketing, Executive Committee Member) appeared on Schedule A of I•••••• A•••• M••••••••• L••Feb 1, 2022 · Control person joined · fact
- Edward Raymond Scanlan (Managing Director, Executive Committee Member) appeared on Schedule A of I•••••• A•••• M••••••••• L••Feb 1, 2022 · Control person joined · fact
- Shane Eric Stone (Managing Director, Executive Committee Member) appeared on Schedule A of I•••••• A•••• M••••••••• L••Feb 1, 2022 · Control person joined · fact
- Lawrence David Cohen (Co-Chief Executive Officer And Co-President) no longer on Schedule A of I•••••• A•••• M••••••••• L•• (listed 2021-03-29, absent 2022-02-01)Feb 1, 2022 · Control person left · inference
- Jay Harold Levy (Co-Chief Executive Officer And Co-President) no longer on Schedule A of I•••••• A•••• M••••••••• L•• (listed 2021-03-29, absent 2022-02-01)Feb 1, 2022 · Control person left · inference
- Mitchell Jeffrey Elliott (Chief Financial Officer, Chief Operating Officer And Secretary) no longer on Schedule A of I•••••• A•••• M••••••••• L•• (listed 2021-03-29, absent 2022-02-01)Feb 1, 2022 · Control person left · inference
- I•••••• A•••• M••••••••• L•• reported RAUM $8.8B, down 39% from $14.5B (2018-03-23 to 2019-03-19)Mar 19, 2019 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- b••••••• email
- cmorris@iridian.comreportedpublished by the firm, firm site, Sep 16, 2026
- b••••••• phone
- 203-341-9029reportedpublished by the firm, firm site, Sep 16, 2026
- b••••••• phone
- 203-341-7800reportedpublished by the firm, firm site, Sep 16, 2026
- Firm profile
- linkedin.com/company/iridian-asset-management-llc/aboutreportedpublic record, Form ADV, Sep 18, 2026
- Website
- I••••••.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 203-341-7800reportedpublic record, Form ADV, Aug 12, 2026
- Contact form
- iridian.com/contact-usreportedpublished by the firm, firm site, Sep 16, 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
- Wealth manager with institutional or fund businessderiveda 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