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
Vontobel Asset Management, Inc.
Latest filing Aug 4, 2026
First filing on the tape Mar 30, 2012 · 48 filings
SEC status approved since Aug 3, 1984
RAUM
$20B
reported, Item 5.F
Discretionary
98%
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
63
23 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$20B as of Aug 4, 2026
Mar 30, 2012$20B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 4, 2026
Mar 27, 20130 then
Employees (5.A)63 as of Aug 4, 2026
Mar 27, 201350 then
Private funds1 as of Aug 4, 2026
Mar 30, 20123 then
RAUM -24% over the last fiscal year-5.5% a year over threeIARs 0 to 0offices 2 to 1
Practice profile
derived from the filing of Aug 4, 2026; every figure names its basis
- 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $495MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 45%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Custody
- $33.6M, 1 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$8.6B43%
- Sovereign wealth funds$5.9B30%
- Pension and profit-sharing plans$2.1B10%
- Banks and thrifts$1.8B8.8%
- State and municipal entities$1.1B5.4%
- Investment companies$519M2.6%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 41reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $33.6M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.45 institutional_share=0.45 related_bd=true related_bank=true bd_reps=14.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Vontobel India Fund | Other Private Fund | $279M | 18 | Mar 27, 2013 |
| Vontobel International Equity Fund | Other Private Fund | $134M | 7 | Mar 30, 2012 |
| Vontobel Global Equity Fundno longer reported | Other Private Fund | $108M | 9 | Mar 30, 2012 |
| Vontobel Global Emerging Markets Fund | Other Private Fund | $20.1M | 2 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Paul Derek Beckman · Director Of The Board Of Directorscontrolsince 06/2024 · owns less than 5%
- William Matthew Benkendorf · Cio - Managing Director - Portfolio Managercontrolsince 03/2013 · owns less than 5%
- Catherine Melissa Demcsik · Ceo - President - Managing Directorcontrolsince 01/2023 · owns less than 5%
- Suppion Luiz Gustavo Kokubo · Vice Chairman Of The Board Of Directorscontrolsince 06/2024 · owns less than 5%
- Edward Peter Little · Director Of The Board Of Directorscontrolsince 06/2024 · owns less than 5%
- Sylvester Marbey · Chief Compliance Officercontrolsince 10/2023 · owns less than 5%
- Markus Pfister · Director Of The Board Of Directorscontrolsince 01/2024 · owns less than 5%
- Geiger Sandra Richardson · General Counsel Americascontrolsince 02/2024 · owns less than 5%
- Ezinne Udeh Martinez · Director Of The Board Of Directorscontrolsince 06/2024 · owns less than 5%
- Hans-Christoph Von Reiche · Chairman Of The Board Of Directorscontrolsince 06/2024 · owns less than 5%
Entity owners
- Vontobel Holding Ag · Sole Shareholderdirect · owns 75% or more
Related persons
Schedule D 7.A
- Bank Vontobel Aginvestment advisern
- Twentyfour Asset Management (US) LPinvestment adviserpooled vehicle sponsornRAUM $23B
- Vontobel (Hong Kong) Limitedbroker-dealerinvestment advisern
- Vontobel Asset Management Aginvestment advisern
- Vontobel Asset Management Australia Pty Ltdinvestment advisern
- Vontobel Asset Management S.A.broker-dealerinvestment adviserpooled vehicle sponsorn
- Vontobel Securities Ltd.broker-dealern
- Vontobel Swiss Financial Advisersbroker-dealerinvestment advisernRAUM $12B
Advisers that list Vontobel Asset Management, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
- Fort Lauderdale, FL4 employees
- Miami, FL4 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 26, 2026institutional share of RAUM moved from 37.0% to 53.0% between the annual amendments of 2025-03-27 and 2026-03-26peers: other advisers, $20B and over (120)
What changed
consecutive filings, newest first
- Accounts · 63 to 41Sep 29, 2025 to Mar 26, 2026
- BD registered reps · 19 to 14Sep 29, 2025 to Mar 26, 2026
- Pension plan clients · 7.0 to unsetSep 29, 2025 to Mar 26, 2026
- Pooled vehicle clients · 34 to 16Sep 29, 2025 to Mar 26, 2026
- Assets in custody · $187M to $33.6MSep 29, 2025 to Mar 26, 2026
- Employees · 69 to 63Sep 29, 2025 to Mar 26, 2026
- Other offices · 2 to 1Sep 29, 2025 to Mar 26, 2026
- Private funds · 2 to 1Sep 29, 2025 to Mar 26, 2026
- Discretionary RAUM · $26B to $20BSep 29, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $391M to $353MSep 29, 2025 to Mar 26, 2026
- Pension RAUM · $2.6B to $2.1BSep 29, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $16B to $8.6BSep 29, 2025 to Mar 26, 2026
- RAUM · $27B to $20BSep 29, 2025 to Mar 26, 2026
- Financial planning clients · unset to Mar 27, 2025 to Jul 29, 2025
- BD registered reps · 17 to 19Jun 25, 2024 to Mar 27, 2025
- Accounts · 62 to 63Jun 25, 2024 to Mar 27, 2025
- Advisory employees · 25 to 23Jun 25, 2024 to Mar 27, 2025
- Pension plan clients · 9 to 7Jun 25, 2024 to Mar 27, 2025
- Pooled vehicle clients · 33 to 34Jun 25, 2024 to Mar 27, 2025
- Assets in custody · $433M to $187MJun 25, 2024 to Mar 27, 2025
- Employees · 70 to 69Jun 25, 2024 to Mar 27, 2025
- Discretionary RAUM · $28B to $26BJun 25, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $378M to $391MJun 25, 2024 to Mar 27, 2025
- Pension RAUM · $4.8B to $2.6BJun 25, 2024 to Mar 27, 2025
- Pooled vehicle RAUM · $15B to $16BJun 25, 2024 to Mar 27, 2025
- RAUM · $28B to $27BJun 25, 2024 to Mar 27, 2025
- Related bank · false to trueJun 25, 2024 to Mar 27, 2025
- Private funds · 3 to 2Apr 30, 2024 to Jun 25, 2024
- Accounts · 63 to 62Mar 28, 2024 to Apr 26, 2024
- Pooled vehicle clients · 34 to 33Mar 28, 2024 to Apr 26, 2024
- Discretionary RAUM · $31B to $28BMar 28, 2024 to Apr 26, 2024
- Pooled vehicle RAUM · $18B to $15BMar 28, 2024 to Apr 26, 2024
- RAUM · $31B to $28BMar 28, 2024 to Apr 26, 2024
- Accounts · 58 to 63Feb 5, 2024 to Mar 28, 2024
- Advisory employees · 27 to 25Feb 5, 2024 to Mar 28, 2024
- BD registered reps · 24 to 17Feb 5, 2024 to Mar 28, 2024
- HNW clients · 0.0 to unsetFeb 5, 2024 to Mar 28, 2024
- Individual clients · 0.0 to unsetFeb 5, 2024 to Mar 28, 2024
- Pension plan clients · 10 to 9Feb 5, 2024 to Mar 28, 2024
- Pooled vehicle clients · 29 to 34Feb 5, 2024 to Mar 28, 2024
Signals
37 dated events
- Ezinne Udeh Martinez (Director Of The Board Of Directors) appeared on Schedule A of Vontobel Asset Management, Inc.Jun 25, 2024 · Control person joined · fact
- Edward Peter Little (Director Of The Board Of Directors) appeared on Schedule A of Vontobel Asset Management, Inc.Jun 25, 2024 · Control person joined · fact
- Suppion Luiz Gustavo Kokubo (Vice Chairman Of The Board Of Directors) appeared on Schedule A of Vontobel Asset Management, Inc.Jun 25, 2024 · Control person joined · fact
- Paul Derek Beckman (Director Of The Board Of Directors) appeared on Schedule A of Vontobel Asset Management, Inc.Jun 25, 2024 · Control person joined · fact
- Hans-Christoph Von Reiche (Chairman Of The Board Of Directors) appeared on Schedule A of Vontobel Asset Management, Inc.Jun 25, 2024 · Control person joined · fact
- Maria-Antonella Bino (Director Of The Board Of Directors) no longer on Schedule A of Vontobel Asset Management, Inc. (listed 2024-04-30, absent 2024-06-25)Jun 25, 2024 · Control person left · inference
- Katrin Koch (Director Of The Board Of Directors) no longer on Schedule A of Vontobel Asset Management, Inc. (listed 2024-04-30, absent 2024-06-25)Jun 25, 2024 · Control person left · inference
- Christel Rendu De Lint (Vice Chairwoman And Director Of The Board Of Directors) no longer on Schedule A of Vontobel Asset Management, Inc. (listed 2024-04-30, absent 2024-06-25)Jun 25, 2024 · Control person left · inference
- Vontobel Asset Management, Inc. reported RAUM $31.1B, up 29% from $24.1B (2024-02-05 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Ingo Marko Roder (Director Of The Board Of Directors) no longer on Schedule A of Vontobel Asset Management, Inc. (listed 2024-02-05, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Geiger Sandra Richardson (General Counsel Americas) appeared on Schedule A of Vontobel Asset Management, Inc.Mar 28, 2024 · Control person joined · fact
- Markus Pfister (Director Of The Board Of Directors) appeared on Schedule A of Vontobel Asset Management, Inc.Mar 28, 2024 · Control person joined · fact
- Markus Zeno Staub (Director Of The Board Of Directors) no longer on Schedule A of Vontobel Asset Management, Inc. (listed 2023-11-01, absent 2024-02-05)Feb 5, 2024 · Control person left · inference
- Felix Lenhard (Director Of The Board Of Directors) no longer on Schedule A of Vontobel Asset Management, Inc. (listed 2023-11-01, absent 2024-02-05)Feb 5, 2024 · Control person left · inference
- Christopher Marc Cozzolino (Executive Director - Head Of Legal) no longer on Schedule A of Vontobel Asset Management, Inc. (listed 2023-11-01, absent 2024-02-05)Feb 5, 2024 · Control person left · inference
- Christopher Marc Cozzolino (Executive Director - Head Of Legal) appeared on Schedule A of Vontobel Asset Management, Inc.Nov 1, 2023 · Control person joined · fact
- Sylvester Marbey (Chief Compliance Officer) appeared on Schedule A of Vontobel Asset Management, Inc.Nov 1, 2023 · Control person joined · fact
- Vontobel Asset Management, Inc. reported RAUM $24.1B, down 33% from $36.0B (2023-01-04 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Ingo Marko Roder (Director Of The Board Of Directors) appeared on Schedule A of Vontobel Asset Management, Inc.Mar 30, 2023 · Control person joined · fact
- Katrin Koch (Director Of The Board Of Directors) appeared on Schedule A of Vontobel Asset Management, Inc.Mar 30, 2023 · Control person joined · fact
- Christel Rendu De Lint (Vice Chairwoman And Director Of The Board Of Directors) appeared on Schedule A of Vontobel Asset Management, Inc.Mar 30, 2023 · Control person joined · fact
- Anton Thomas Heinzl (Director Of The Board Of Directors) no longer on Schedule A of Vontobel Asset Management, Inc. (listed 2023-01-04, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Francis Joseph Mastoloni (Managing Director) no longer on Schedule A of Vontobel Asset Management, Inc. (listed 2022-10-05, absent 2023-01-04)Jan 4, 2023 · Control person left · inference
- Peter Thomas Wittwer (Ceo - President - Managing Director) no longer on Schedule A of Vontobel Asset Management, Inc. (listed 2022-10-05, absent 2023-01-04)Jan 4, 2023 · Control person left · inference
- Catherine Melissa Demcsik (Ceo - President - Managing Director) appeared on Schedule A of Vontobel Asset Management, Inc.Jan 4, 2023 · Control person joined · fact
- Maria-Antonella Bino (Director Of The Board Of Directors) appeared on Schedule A of Vontobel Asset Management, Inc.Jul 13, 2022 · Control person joined · fact
- Adamo Enrico Friz (Director Of The Board Of Directors) no longer on Schedule A of Vontobel Asset Management, Inc. (listed 2021-01-19, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Juergen Axel Schwarzer (Vice Chairman Of The Board Of Directors) no longer on Schedule A of Vontobel Asset Management, Inc. (listed 2020-11-30, absent 2021-01-19)Jan 19, 2021 · Control person left · inference
- Robert Charles Falck (Director Of The Board Of Directors) no longer on Schedule A of Vontobel Asset Management, Inc. (listed 2020-11-30, absent 2021-01-19)Jan 19, 2021 · Control person left · inference
- Robert Charles Falck (Director Of The Board Of Directors) appeared on Schedule A of Vontobel Asset Management, Inc.Aug 14, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Vontobel Asset Management, Inc. · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/vontobelreportedpublic record, Form ADV, Sep 17, 2026
- Website
- am.vontobel.com/enreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-804-9300reportedpublic record, Form ADV, Aug 4, 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