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
Janus Henderson Investors
Legal name Janus Henderson Investors US LLC
Latest filing Jul 29, 2026
First filing on the tape Mar 29, 2012 · 57 filings
SEC status approved since Jul 1, 1978
RAUM
$380B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.5%
$1.8B individuals and HNW
Advisors
3
registered through the firm on IAPD
RAUM per advisor
$127B
derived; firm RAUM over IAPD count
Employees
1,013
152 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
16
reported on Schedule D
History
57 filings and snapshots on the tape
RAUM$380B as of Jul 29, 2026
Mar 29, 2012$110B then
HNW client RAUM$10.4M as of Jul 29, 2026
Mar 29, 2018$268M then
State-registered IARs (5.B.3)3 as of Jul 29, 2026
Mar 29, 20120 then
Employees (5.A)1,013 as of Jul 29, 2026
Mar 28, 20131,044 then
Private funds16 as of Jul 29, 2026
Mar 29, 201212 then
RAUM +39% over the last fiscal year+23% a year over threeIARs 3 to 3offices 4 to 6
Practice profile
derived from the filing of Jul 29, 2026; every figure names its basis
Archetypes, each a printed rule
- 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
- $127BderivedRAUM 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
- $50.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 337.7derivedItem 5.A over advisors
- Advisors per office
- 0.4derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +39%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 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 vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $6.8B, 1,182 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
- a related person acts as qualified custodian (9.D.2)
- 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
- Investment companies$258B68%
- Pooled investment vehicles$59B16%
- Insurance companies$49B13%
- Pension and profit-sharing plans$6.8B1.8%
- Sovereign wealth funds$3.4B0.9%
- Individuals$1.8B0.5%
- Corporations and businesses$658M0.2%
- State and municipal entities$653M0.2%
- Other investment advisers$417M0.1%
- Charitable organizations$382M0.1%
- High-net-worth individuals$10.4M0.0%
- Individual clients
- 7,214reported
- HNW clients
- n/areported
- Pension plan clients
- 32reported
- Charitable clients
- n/areported
- Accounts
- 7,485reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $1.8B managedreported
- Custody of client assets
- $6.8B for 1,182 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.83 institutional_share=0.16 related_bd=true related_bank=true bd_reps=363.0derived
Advisors registered through the firm
3 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Pamela Estes | Denver, Co | Jul 3, 2023 | 27 y | 0 |
| Matthew Flight | Denver, Co | Sep 16, 2025 | 10 y | 0 |
| Richard Peters | Denver, Co | Jan 23, 2026 | 27 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
24 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- Ashton Berg Crawford · Chief Accounting Officercontrolsince 05/2024 · owns less than 5%
- Brett Kristin Mariani · Chief Compliance Officercontrolsince 09/2017 · owns less than 5%
- Rose Michelle Rosenberg · President And General Counselcontrolsince 09/2015 · owns less than 5%
- Alan Michael Schweitzer · Head Of North America Client Groupcontrolsince 11/2022 · owns less than 5%
Entity owners
- Janus Henderson Management US Corp. · Memberdirect · owns 5% to 10%
- Janus Henderson US (Holdings) Inc. · Managing Memberdirect · owns 75% or more
- Janus Henderson Group Plc · Shareholderindirect · owns 75% or more of Janus Henderson US (Holdings) Inc. · public reporting company
Related persons
Schedule D 7.A
- Janus Henderson Distributors US LLCbroker-dealery
- Janus Henderson Fund Management Uk Limitedinvestment advisern
- Janus Henderson Investors (Australia) Funds Management Limitedinvestment adviserpooled vehicle sponsorn
- Janus Henderson Investors (Australia) Institutional Funds Management Limitedinvestment adviserpooled vehicle sponsorn
- Janus Henderson Investors (Japan) Limitedinvestment adviserpooled vehicle sponsorn
- Janus Henderson Investors (Jersey) Limitedinvestment advisern
- Janus Henderson Investors (Singapore) Limitedinvestment advisern
- Janus Henderson Investors Europe S.A.investment advisern
- Janus Henderson Investors Hong Kong Limitedinvestment advisern
- Janus Henderson Investors International Limitedinvestment advisern
- Janus Henderson Investors Uk Limitedinvestment adviserbankn
- Janus Henderson Services US LLCbroker-dealercustodiany
- Kapstream Capitalinvestment advisernRAUM $6.7B
Advisers that list Janus Henderson Investors as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Denver, Co · principal | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Chicago, IL12 employees
- Newport Beach, CA4 employees
- Boston, MA3 employees
- Darien, CT3 employees
- New York, NY1 employees
What changed
consecutive filings, newest first
- Other offices · 5 to 6Apr 16, 2026 to Jun 29, 2026
- Accounts · 6,806 to 7,485Feb 26, 2026 to Mar 31, 2026
- Advisory employees · 143 to 152Feb 26, 2026 to Mar 31, 2026
- BD registered reps · 373 to 363Feb 26, 2026 to Mar 31, 2026
- Corporate clients · 5 to 7Feb 26, 2026 to Mar 31, 2026
- HNW clients · 14.0 to unsetFeb 26, 2026 to Mar 31, 2026
- Individual clients · 6,795 to 7,214Feb 26, 2026 to Mar 31, 2026
- Pension plan clients · 27 to 32Feb 26, 2026 to Mar 31, 2026
- Pooled vehicle clients · 96 to 116Feb 26, 2026 to Mar 31, 2026
- Assets in custody · $5.6B to $6.8BFeb 26, 2026 to Mar 31, 2026
- Employees · 1,010 to 1,013Feb 26, 2026 to Mar 31, 2026
- State-registered IARs · 2 to 3Feb 26, 2026 to Mar 31, 2026
- Private funds · 14 to 16Feb 26, 2026 to Mar 31, 2026
- Discretionary RAUM · $275B to $380BFeb 26, 2026 to Mar 31, 2026
- HNW RAUM · $9.3M to $10.4MFeb 26, 2026 to Mar 31, 2026
- Individual RAUM · $2.2B to $1.8BFeb 26, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $50.9M to $0Feb 26, 2026 to Mar 31, 2026
- Pension RAUM · $4.5B to $6.8BFeb 26, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $46B to $59BFeb 26, 2026 to Mar 31, 2026
- RAUM · $275B to $380BFeb 26, 2026 to Mar 31, 2026
- Wrap assets (manager) · $848M to $1.8BFeb 26, 2026 to Mar 31, 2026
- Private funds · 13 to 14Sep 9, 2025 to Feb 26, 2026
- Private funds · 12 to 13Jul 7, 2025 to Sep 9, 2025
- Financial planning clients · unset to Mar 31, 2025 to Jul 7, 2025
- State-registered IARs · 3 to 2Mar 31, 2025 to Jul 7, 2025
- Other offices · 4 to 5Mar 31, 2025 to Jul 7, 2025
- Wrap assets (manager) · $5.9B to $848MMar 31, 2025 to Jul 7, 2025
- Accounts · 6,602 to 6,806Nov 27, 2024 to Mar 31, 2025
- Advisory employees · 106 to 143Nov 27, 2024 to Mar 31, 2025
- BD registered reps · 354 to 373Nov 27, 2024 to Mar 31, 2025
- Charity clients · 3.0 to unsetNov 27, 2024 to Mar 31, 2025
- HNW clients · 6 to 14Nov 27, 2024 to Mar 31, 2025
- Individual clients · 6,360 to 6,795Nov 27, 2024 to Mar 31, 2025
- Pension plan clients · 29 to 27Nov 27, 2024 to Mar 31, 2025
- Pooled vehicle clients · 98 to 96Nov 27, 2024 to Mar 31, 2025
- Assets in custody · $5.0B to $5.6BNov 27, 2024 to Mar 31, 2025
- Employees · 978 to 1,010Nov 27, 2024 to Mar 31, 2025
- Other offices · 5 to 4Nov 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $239B to $275BNov 27, 2024 to Mar 31, 2025
- HNW RAUM · $7.5M to $9.3MNov 27, 2024 to Mar 31, 2025
Signals
13 dated events
- Janus Henderson Investors reported RAUM $380.4B, up 39% from $274.7B (2026-02-26 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Richard Steven Saba (Chief Accounting Officer) no longer on Schedule A of Janus Henderson Investors (listed 2024-03-27, absent 2024-06-13)Jun 13, 2024 · Control person left · inference
- Berg Crawford (Chief Accounting Officer) appeared on Schedule A of Janus Henderson InvestorsJun 13, 2024 · Control person joined · fact
- Allen Brennan Hughes (Chief Financial Officer) no longer on Schedule A of Janus Henderson Investors (listed 2024-01-02, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Richard Steven Saba (Chief Accounting Officer) appeared on Schedule A of Janus Henderson InvestorsMar 27, 2024 · Control person joined · fact
- Lewis Bruce Koepfgen (President) no longer on Schedule A of Janus Henderson Investors (listed 2022-10-07, absent 2022-11-30)Nov 30, 2022 · Control person left · inference
- John Ingram (Head Of Adviser Distribution) no longer on Schedule A of Janus Henderson Investors (listed 2022-10-07, absent 2022-11-30)Nov 30, 2022 · Control person left · inference
- Alan Michael Schweitzer (Head Of Retail Distribution Na) appeared on Schedule A of Janus Henderson InvestorsNov 30, 2022 · Control person joined · fact
- Robert James Lowry (Chief Operating Officer) no longer on Schedule A of Janus Henderson Investors (listed 2022-04-06, absent 2022-05-19)May 19, 2022 · Control person left · inference
- De Jesus Enrique Chang (Chief Investment Officer) no longer on Schedule A of Janus Henderson Investors (listed 2022-04-01, absent 2022-04-06)Apr 6, 2022 · Control person left · inference
- Robert James Lowry (Chief Operating Officer) appeared on Schedule A of Janus Henderson InvestorsMar 29, 2022 · Control person joined · fact
- Drew Michael Elder (Svp, Head Of North American Distribution) no longer on Schedule A of Janus Henderson Investors (listed 2019-03-29, absent 2019-12-02)Dec 2, 2019 · Control person left · inference
- John Ingram (Head Of Adviser Distribution) appeared on Schedule A of Janus Henderson InvestorsDec 2, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Janus Henderson Investors · Independent Sponsorsshared crd · capital_provider
- Janus Henderson Investors · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/richard-bernstein-advisorsreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/janus-henderson-investorsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- janushenderson.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (303) 333-3863reportedpublic record, Form ADV, Jul 29, 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
- $127Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026