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
Dodge & Cox
Latest filing Apr 17, 2026
First filing on the tape Mar 30, 2012 · 28 filings
SEC status approved since Mar 14, 1959
RAUM
$467B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.6%
$7.7B individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$467B
derived; firm RAUM over IAPD count
Employees
336
100 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$467B as of Apr 17, 2026
Mar 30, 2012$175B then
HNW client RAUM$7.7B as of Apr 17, 2026
Mar 30, 2018$4.8B then
State-registered IARs (5.B.3)1 as of Apr 17, 2026
Mar 30, 20120 then
Employees (5.A)336 as of Apr 17, 2026
Mar 28, 2013195 then
Private funds2 as of Apr 17, 2026
Mar 30, 20123 then
RAUM +17% over the last fiscal year+13% a year over threeIARs 2 to 1
Practice profile
derived from the filing of Apr 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $467BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 347derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $23.2MderivedHNW RAUM over HNW clients
- Average account
- $630MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 336.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +17%derivedbetween the last two annual amendments
- Advisor growth, one year
- -50%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -0.6%derived
- Compensation
- percentage of assets, otherreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$328B70%
- Pension and profit-sharing plans$73B16%
- State and municipal entities$29B6.3%
- Pooled investment vehicles$12B2.6%
- Corporations and businesses$8.4B1.8%
- High-net-worth individuals$7.7B1.6%
- Insurance companies$4.0B0.9%
- Charitable organizations$3.4B0.7%
- Individuals$7.1M0.0%
- Individual clients
- 16reported
- HNW clients
- 331reported
- Pension plan clients
- 225reported
- Charitable clients
- 61reported
- Accounts
- 740reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.02 fund_share=0.73 institutional_share=0.24 related_bd=false related_bank=false bd_reps=38.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Kevin Darnell Johnson | San Francisco, Ca | Nov 3, 2003 | 37 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Dodge & Cox Worldwide Funds Plc - Global Stock Fund | Other Private Fund | $5.5B | 435 | Mar 30, 2012 |
| Dodge & Cox Worldwide Funds Plc - U.S. Stock Fund | Other Private Fund | $3.6B | 559 | Mar 30, 2012 |
| Dodge & Cox Worldwide Funds Plc - Global Bond Fund | Other Private Fund | $412M | 173 | Mar 31, 2015 |
| Dodge & Cox Worldwide Funds Plc - Emerging Markets Stock Fund | Other Private Fund | $22.1M | 6 | Mar 30, 2022 |
| Dodge & Cox Worldwide Funds Plc - International Stock Fundno longer reported | Other Private Fund | $4.3M | 0 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Philippe Barret · Director, Svp, & Shareholdercontrolsince 05/2022 · owns less than 5%
- Morton Dana Emery · Chair, Ceo, Director, & Shareholdercontrolsince 01/2001 · owns 10% to 25%
- Clinton David Hoeft · Director, Svp, Chief Investment Officer, & Shareholdercontrolsince 05/2011 · owns 10% to 25%
- Ingle Lucinda Johns · Director, Svp, & Shareholdercontrolsince 05/2022 · owns less than 5%
- Rumie Waiyee Roberta Kameda · General Counsel, Vp, Secretary, & Shareholdercontrolsince 06/2011 · owns less than 5%
- George Roger Kuo · President, Director, & Shareholdercontrolsince 01/2016 · owns 10% to 25%
- Joseph Raymond Mertens · Director, Svp, & Shareholdercontrolsince 05/2022 · owns less than 5%
- Marie Katherine Primas · Chief Compliance Officer, Vp, & Shareholdercontrolsince 11/2008 · owns less than 5%
- Stephen Scott · Chief Financial Officer, Treasurer And Assistant Secretarycontrolsince 10/2021 · owns less than 5%
- Wilton William Strickland · Chief Operating Officer, Svp, & Shareholdercontrolsince 01/2017 · owns less than 5%
- Coerte Steven Voorhis · Svp, Director Of Research & Shareholdercontrolsince 05/2022 · owns 5% to 10%
Related persons
Schedule D 7.A
- Dodge & Cox (Europe) Gmbhinvestment advisery
- Dodge & Cox Worldwide Investments Ltd.investment advisery
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 735 to 740Jan 27, 2026 to Mar 30, 2026
- Advisory employees · 99 to 100Jan 27, 2026 to Mar 30, 2026
- BD registered reps · 35 to 38Jan 27, 2026 to Mar 30, 2026
- Charity clients · 59 to 61Jan 27, 2026 to Mar 30, 2026
- HNW clients · 330 to 331Jan 27, 2026 to Mar 30, 2026
- Individual clients · 19 to 16Jan 27, 2026 to Mar 30, 2026
- Pension plan clients · 227 to 225Jan 27, 2026 to Mar 30, 2026
- Employees · 326 to 336Jan 27, 2026 to Mar 30, 2026
- State-registered IARs · 2 to 1Jan 27, 2026 to Mar 30, 2026
- Discretionary RAUM · $399B to $466BJan 27, 2026 to Mar 30, 2026
- HNW RAUM · $7.2B to $7.7BJan 27, 2026 to Mar 30, 2026
- Individual RAUM · $8.6M to $7.1MJan 27, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $1.2B to $985MJan 27, 2026 to Mar 30, 2026
- Pension RAUM · $66B to $73BJan 27, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $10B to $12BJan 27, 2026 to Mar 30, 2026
- RAUM · $400B to $467BJan 27, 2026 to Mar 30, 2026
- Accounts · 746 to 735Mar 28, 2024 to Mar 31, 2025
- Advisory activities · 4 to 5Mar 28, 2024 to Mar 31, 2025
- BD registered reps · 34 to 35Mar 28, 2024 to Mar 31, 2025
- Charity clients · 57 to 59Mar 28, 2024 to Mar 31, 2025
- Corporate clients · 37 to 31Mar 28, 2024 to Mar 31, 2025
- HNW clients · 341 to 330Mar 28, 2024 to Mar 31, 2025
- Pension plan clients · 223 to 227Mar 28, 2024 to Mar 31, 2025
- Employees · 306 to 326Mar 28, 2024 to Mar 31, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 31, 2025
- Discretionary RAUM · $362B to $399BMar 28, 2024 to Mar 31, 2025
- HNW RAUM · $6.5B to $7.2BMar 28, 2024 to Mar 31, 2025
- Individual RAUM · $7.8M to $8.6MMar 28, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $1.3B to $1.2BMar 28, 2024 to Mar 31, 2025
- Pension RAUM · $64B to $66BMar 28, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $9.5B to $10BMar 28, 2024 to Mar 31, 2025
- RAUM · $363B to $400BMar 28, 2024 to Mar 31, 2025
- Accounts · 762 to 746Mar 30, 2023 to Mar 28, 2024
- Advisory employees · 97 to 99Mar 30, 2023 to Mar 28, 2024
- BD registered reps · 31 to 34Mar 30, 2023 to Mar 28, 2024
- Charity clients · 55 to 57Mar 30, 2023 to Mar 28, 2024
- Corporate clients · 39 to 37Mar 30, 2023 to Mar 28, 2024
- Individual clients · 24 to 19Mar 30, 2023 to Mar 28, 2024
- Pension plan clients · 234 to 223Mar 30, 2023 to Mar 28, 2024
- Employees · 295 to 306Mar 30, 2023 to Mar 28, 2024
Signals
10 dated events
- Sullivan Thomas Dugan (Director, Svp, Director Of Fixed Income, & Shareholder) no longer on Schedule A of Dodge & Cox (listed 2023-03-30, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Shames Diana Strandberg (Director, Svp, Director Of International Equity, & Shareholder) no longer on Schedule A of Dodge & Cox (listed 2022-06-29, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Coerte Steven Voorhis (Svp, Director Of Research & Shareholder) appeared on Schedule A of Dodge & CoxMar 30, 2023 · Control person joined · fact
- Frederick Charles Pohl (Chairman, Director, & Shareholder) no longer on Schedule A of Dodge & Cox (listed 2022-03-30, absent 2022-06-17)Jun 17, 2022 · Control person left · inference
- Philippe Barret (Director, Svp, & Shareholder) appeared on Schedule A of Dodge & CoxJun 17, 2022 · Control person joined · fact
- Ingle Lucinda Johns (Director, Svp, & Shareholder) appeared on Schedule A of Dodge & CoxJun 17, 2022 · Control person joined · fact
- Joseph Raymond Mertens (Director, Svp, & Shareholder) appeared on Schedule A of Dodge & CoxJun 17, 2022 · Control person joined · fact
- Stephen Scott (Chief Financial Officer) appeared on Schedule A of Dodge & CoxMar 30, 2022 · Control person joined · fact
- Michael John Loll (Treasurer, Vp, & Shareholder) no longer on Schedule A of Dodge & Cox (listed 2021-03-30, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Bryan Charles Cameron (Director Of Research, Svp, & Shareholder) no longer on Schedule A of Dodge & Cox (listed 2021-03-30, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Dodge & Cox · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/dodge-&-coxreportedpublic record, Form ADV, Sep 17, 2026
- Website
- dodgeandcox.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 415-981-1710reportedpublic record, Form ADV, Apr 17, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $467Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026