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
P••••• A•••• M••••••••• L••••••
Latest filing Jul 23, 2026
First filing on the tape Mar 29, 2012 · 36 filings
SEC status approved since Apr 17, 1980
RAUM
$24B
reported, Item 5.F
Discretionary
100%
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
314
85 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$24B as of Jul 23, 2026
Mar 29, 2012$28B then
HNW client RAUM$0 as of Jul 23, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Jul 23, 2026
Mar 25, 20130 then
Employees (5.A)314 as of Jul 23, 2026
Mar 25, 2013213 then
Private funds2 as of Mar 28, 2014
Mar 29, 20124 then
RAUM +14% over the last fiscal year+3.5% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 23, 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
- $194MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.2%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
- +14%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 companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$23B93%
- Pension and profit-sharing plans$1.1B4.5%
- State and municipal entities$411M1.7%
- Banks and thrifts$160M0.7%
- Corporations and businesses$72.2M0.3%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 126reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $108M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.93 institutional_share=0.06 related_bd=true related_bank=true 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
none on the tape
Joined, latest
none on the tape
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| P••••• G••••• E••••••• M•••••• F••• L••no longer reported | Other Private Fund | $182M | 17 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B••••• D••••• · Head Of Marketing And Productscontrolsince 11/2014 · owns less than 5%
- B•••••• M•••• T•••••• · Director And Chief Investment Officer - Fixed Incomecontrolsince 10/2023 · owns less than 5%
- D• W•••• P•••••••• T••••• · Chief Investment Officer Equitiescontrolsince 05/2011 · owns less than 5%
- D• P••••••• L••• · Head Of Sales For Distribution Channelscontrolsince 01/2016 · owns less than 5%
- E•••••••• S••••••••• A•••••• · Head Of Investments, Co-Chief Executive Officercontrolsince 04/2019 · owns less than 5%
- G•••••••• O••••••• Y•••••• A•••••• · Chief Investment Officer Multi Asset And Quantitative Investmentscontrolsince 08/2005 · owns less than 5%
- G••••••• S••••• A••• · Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
- J••••••• C••••••• G••••• · Head Of Human Resourcescontrolsince 11/2014 · owns less than 5%
- K•••• M•••••• P•••••• · Chief Operating Officercontrolsince 03/2023 · owns less than 5%
- M••••• F••••••••• E•••• · Chief Investment Riskcontrolsince 03/2023 · owns less than 5%
- Q••••• N••••• M•••••• · Director And Head Of Sales For Institutional Clientscontrolsince 05/2016 · owns less than 5%
- S••••••• R••••••• D••• · Chief Executive Officer And Chairman Of The Board Of Directorscontrolsince 10/2023 · owns less than 5%
- S•••••• J•••• A•••••••• · Chief Risk Officercontrolsince 06/2018 · owns less than 5%
- T••••••• N••••••• C•••••••• · Chief Legal Officercontrolsince 03/2011 · owns less than 5%
- V•••••••• C•••••• J••• · Chief Financial Officercontrolsince 11/2014 · owns less than 5%
Entity owners
- P••••• A•••• M••••••••• H•••••• S• · Shareholderdirect · owns 75% or more
- P••••• • C•• G•••• S•• · Shareholderindirect · owns 75% or more of P••••• A•••• M••••••••• H•••••• S•
- P••••• • P••••••• · Shareholderindirect · owns 75% or more of P••••• • C•• G•••• S••
Related persons
Schedule D 7.A
- B••••• P••••• • C•• ••••••• A•investment advisern
- B••••• P••••• • C•• S•broker-dealerinvestment advisertrust companypooled vehicle sponsorn
- F••••••••• S•••••••• ••••••• S•••investment adviserbankpooled vehicle sponsorn
- P••••• A••••••••• A••••••• ••• L••investment advisern
- P••••• A••••••••• A••••••• S•investment advisern
- P••••• A•••• M••••••••• ••••••• S•investment adviserpooled vehicle sponsorn
- P••••• A•••• M••••••••• •••• K•••• L••••••investment adviserpooled vehicle sponsorn
- P••••• A•••• M••••••••• •••••• L••••••investment adviserpooled vehicle sponsorn
- P••••• A•••• M••••••••• ••••••••• P•• L••investment adviserbanknRAUM $3.9B
- P••••• A•••• M••••••••• •••• C•••investment adviserbankyRAUM $382M
- P••••• A•••• M••••••••• I•••investment advisern
- P••••• A•••• M••••••••• S•investment adviserbankpooled vehicle sponsornRAUM $331B
- P••••• P•••••• F••• M••••••••• ••••••••• L••••••investment advisern
- P••••• S••• ••••••• L••investment advisern
Advisers that list P••••• A•••• M••••••••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Advisory activities · 2 to 3Mar 30, 2026 to May 14, 2026
- Accounts · 140 to 126Jul 17, 2025 to Mar 30, 2026
- Advisory employees · 115 to 85Jul 17, 2025 to Mar 30, 2026
- Pension plan clients · 6 to 7Jul 17, 2025 to Mar 30, 2026
- Pooled vehicle clients · 129 to 114Jul 17, 2025 to Mar 30, 2026
- Employees · 335 to 314Jul 17, 2025 to Mar 30, 2026
- Discretionary RAUM · $21B to $24BJul 17, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $15.3M to $0Jul 17, 2025 to Mar 30, 2026
- Pension RAUM · $923M to $1.1BJul 17, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $20B to $23BJul 17, 2025 to Mar 30, 2026
- RAUM · $21B to $24BJul 17, 2025 to Mar 30, 2026
- Wrap assets (manager) · $113M to $108MJul 17, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 31, 2025 to Jul 17, 2025
- Accounts · 171 to 140Dec 6, 2024 to Mar 31, 2025
- Advisory employees · 128 to 115Dec 6, 2024 to Mar 31, 2025
- Pension plan clients · 12 to 6Dec 6, 2024 to Mar 31, 2025
- Pooled vehicle clients · 148 to 129Dec 6, 2024 to Mar 31, 2025
- Employees · 342 to 335Dec 6, 2024 to Mar 31, 2025
- HQ state · unset to Dec 6, 2024 to Mar 31, 2025
- Discretionary RAUM · $26B to $21BDec 6, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $24.2M to $15.3MDec 6, 2024 to Mar 31, 2025
- Pension RAUM · $2.3B to $923MDec 6, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $23B to $20BDec 6, 2024 to Mar 31, 2025
- RAUM · $26B to $21BDec 6, 2024 to Mar 31, 2025
- Wrap assets (manager) · $204M to $113MDec 6, 2024 to Mar 31, 2025
- Accounts · 144 to 171Aug 16, 2024 to Dec 6, 2024
- Corporate clients · 0.0 to unsetAug 16, 2024 to Dec 6, 2024
- Pension plan clients · 9 to 12Aug 16, 2024 to Dec 6, 2024
- Pooled vehicle clients · 130 to 148Aug 16, 2024 to Dec 6, 2024
- Discretionary RAUM · $23B to $26BAug 16, 2024 to Dec 6, 2024
- Pension RAUM · $1.5B to $2.3BAug 16, 2024 to Dec 6, 2024
- Pooled vehicle RAUM · $21B to $23BAug 16, 2024 to Dec 6, 2024
- RAUM · $23B to $26BAug 16, 2024 to Dec 6, 2024
- Accounts · 141 to 144Oct 20, 2023 to Mar 22, 2024
- Advisory employees · 76 to 128Oct 20, 2023 to Mar 22, 2024
- Pension plan clients · 10 to 9Oct 20, 2023 to Mar 22, 2024
- Pooled vehicle clients · 126 to 130Oct 20, 2023 to Mar 22, 2024
- Employees · 372 to 342Oct 20, 2023 to Mar 22, 2024
- Discretionary RAUM · $22B to $23BOct 20, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $49.7M to $24.2MOct 20, 2023 to Mar 22, 2024
Signals
11 dated events
- Robert David Cawthrow (Chief Compliance Officer) no longer on Schedule A of P••••• A•••• M••••••••• L•••••• (listed 2024-03-22, absent 2024-04-08)Apr 8, 2024 · Control person left · inference
- Alan Simon Greaves (Chief Compliance Officer) appeared on Schedule A of P••••• A•••• M••••••••• L••••••Apr 8, 2024 · Control person joined · fact
- James Richard Heelis (Non Executive-Director) no longer on Schedule A of P••••• A•••• M••••••••• L•••••• (listed 2023-10-20, absent 2024-03-22)Mar 22, 2024 · Control person left · inference
- Therese Mary Barton (Chief Investment Officer - Fixed Income) appeared on Schedule A of P••••• A•••• M••••••••• L••••••Oct 20, 2023 · Control person joined · fact
- Anastase Laurent Ramsey (Chief Executive Officer) no longer on Schedule A of P••••• A•••• M••••••••• L•••••• (listed 2023-03-23, absent 2023-10-20)Oct 20, 2023 · Control person left · inference
- Elena Mendez Fraboulet (Chief Investment Risk) appeared on Schedule A of P••••• A•••• M••••••••• L••••••Mar 23, 2023 · Control person joined · fact
- P••••• A•••• M••••••••• L•••••• reported RAUM $22.0B, down 28% from $30.7B (2022-03-29 to 2023-03-23)Mar 23, 2023 · RAUM change · derived
- Cynthia O'Gorman Schem (Chief Operating Officer) no longer on Schedule A of P••••• A•••• M••••••••• L•••••• (listed 2022-03-29, absent 2023-03-23)Mar 23, 2023 · Control person left · inference
- Patrick Martin Kunz (Chief Operating Officer) appeared on Schedule A of P••••• A•••• M••••••••• L••••••Mar 23, 2023 · Control person joined · fact
- P••••• A•••• M••••••••• L•••••• reported RAUM $35.6B, down 30% from $50.6B (2018-06-05 to 2019-03-21)Mar 21, 2019 · RAUM change · derived
- P••••• A•••• M••••••••• L•••••• reported RAUM $50.6B, up 59% from $31.8B (2017-03-30 to 2018-03-28)Mar 28, 2018 · 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
- Firm profile
- linkedin.com/company/pictet-asset-managementreportedpublic record, Form ADV, Sep 18, 2026
- Website
- am.pictet/en/globalwebsite/institutionalreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- +4420-7847-5000reportedpublic record, Form ADV, Jul 23, 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
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026