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
Southeastern Asset Management Inc.
Latest filing Mar 27, 2026
First filing on the tape Feb 2, 2012 · 27 filings
SEC status approved since Nov 21, 1975
RAUM
$3.7B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
6.3%
$235M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
29
14 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
1
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$3.7B as of Mar 27, 2026
Feb 2, 2012$31B then
HNW client RAUM$156M as of Mar 27, 2026
Mar 28, 2018$124M then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Feb 2, 20120 then
Employees (5.A)29 as of Mar 27, 2026
Mar 28, 201360 then
Private funds1 as of Mar 27, 2026
Mar 29, 20162 then
RAUM -14% over the last fiscal year-12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $22.3MderivedHNW RAUM over HNW clients
- Average account
- $148MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 20%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
- -14%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +9.1%derived
- 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 companiesreportedItem 5.G
- Custody
- $8.7M, 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$2.6B71%
- Pension and profit-sharing plans$742M20%
- High-net-worth individuals$156M4.2%
- Individuals$78.8M2.1%
- Corporations and businesses$52.8M1.4%
- Pooled investment vehicles$36.4M1.0%
- Charitable organizations$5.8M0.2%
- Individual clients
- 5reported
- HNW clients
- 7reported
- Pension plan clients
- 4reported
- Charitable clients
- 2reported
- Accounts
- 25reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $8.7M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.06 fund_share=0.72 institutional_share=0.2 related_bd=false related_bank=false bd_reps=3.0derived
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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Southeastern European Concentrated Opportunities Icavno longer reported | Hedge Fund | $61.1M | 19 | Mar 30, 2021 |
| Southeastern European Concentrated Opportunities LP | Hedge Fund | $56.9M | 13 | Mar 27, 2024 |
| Sam Asia Pacific Opportunities Fund LP | Hedge Fund | $43.9M | 31 | Mar 29, 2016 |
| Southeastern Global Equity Fund LP | Hedge Fund | $30.1M | 4 | Mar 30, 2021 |
| Southeastern Concentrated Value Master Fund Ltdno longer reported | Hedge Fund | $1.2M | 34 | Apr 21, 2015 |
Owners and control persons
Schedule A and B, latest filing
- Eugene Raymond Glotzbach · Ceo / Shareholder / Directorcontrolsince 08/2016 · owns 10% to 25%
- Mason Otis Hawkins · Chairman/Shareholder/Directorcontrolsince 09/1975 · owns 25% to 50%
- Rowan Andrew Mccarroll · General Counsel / Shareholder / Cco / Secretary / Directorcontrolsince 01/2003 · owns less than 5%
- Boggan Jessica Pressgrove · Chief Financial Officer, Shareholdercontrolsince 01/2018 · owns less than 5%
Related persons
Schedule D 7.A
- Southeastern Asset Management (Gp) LLCpooled vehicle sponsory
- Southeastern Asset Management International (Singapore) Pte. Ltdinvestment adviseryRAUM $703M
- Southeastern Asset Management International (Uk) Ltd.investment advisery
Advisers that list Southeastern Asset Management Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
- Greenwich, CT1 employees
What changed
consecutive filings, newest first
- Accounts · 34 to 25Mar 28, 2025 to Mar 27, 2026
- Advisory employees · 8 to 14Mar 28, 2025 to Mar 27, 2026
- Charity clients · 8 to 2Mar 28, 2025 to Mar 27, 2026
- HNW clients · 8 to 7Mar 28, 2025 to Mar 27, 2026
- Individual clients · 3 to 5Mar 28, 2025 to Mar 27, 2026
- Pension plan clients · 5 to 4Mar 28, 2025 to Mar 27, 2026
- Assets in custody · $70.1M to $8.7MMar 28, 2025 to Mar 27, 2026
- Employees · 31 to 29Mar 28, 2025 to Mar 27, 2026
- Private funds · 2 to 1Mar 28, 2025 to Mar 27, 2026
- Discretionary RAUM · $4.3B to $3.7BMar 28, 2025 to Mar 27, 2026
- HNW RAUM · $173M to $156MMar 28, 2025 to Mar 27, 2026
- Individual RAUM · $71.4M to $78.8MMar 28, 2025 to Mar 27, 2026
- Pension RAUM · $753M to $742MMar 28, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $61.1M to $36.4MMar 28, 2025 to Mar 27, 2026
- RAUM · $4.3B to $3.7BMar 28, 2025 to Mar 27, 2026
- Accounts · 49 to 34Dec 18, 2024 to Mar 28, 2025
- Advisory employees · 10 to 8Dec 18, 2024 to Mar 28, 2025
- Charity clients · 11 to 8Dec 18, 2024 to Mar 28, 2025
- HNW clients · 11 to 8Dec 18, 2024 to Mar 28, 2025
- Individual clients · 5 to 3Dec 18, 2024 to Mar 28, 2025
- Pension plan clients · 8 to 5Dec 18, 2024 to Mar 28, 2025
- Assets in custody · $0 to $70.1MDec 18, 2024 to Mar 28, 2025
- Employees · 25 to 31Dec 18, 2024 to Mar 28, 2025
- Financial planning clients · unset to Dec 18, 2024 to Mar 28, 2025
- Private funds · 3 to 2Dec 18, 2024 to Mar 28, 2025
- Discretionary RAUM · $5.3B to $4.3BDec 18, 2024 to Mar 28, 2025
- HNW RAUM · $202M to $173MDec 18, 2024 to Mar 28, 2025
- Individual RAUM · $133M to $71.4MDec 18, 2024 to Mar 28, 2025
- Pension RAUM · $827M to $753MDec 18, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $75.0M to $61.1MDec 18, 2024 to Mar 28, 2025
- RAUM · $5.3B to $4.3BDec 18, 2024 to Mar 28, 2025
- Advisory employees · 12 to 10Mar 30, 2023 to Mar 27, 2024
- BD registered reps · 5 to 3Mar 30, 2023 to Mar 27, 2024
- Charity clients · 12 to 11Mar 30, 2023 to Mar 27, 2024
- HNW clients · 12 to 11Mar 30, 2023 to Mar 27, 2024
- Employees · 37 to 25Mar 30, 2023 to Mar 27, 2024
- Discretionary RAUM · $5.5B to $5.3BMar 30, 2023 to Mar 27, 2024
- HNW RAUM · $181M to $202MMar 30, 2023 to Mar 27, 2024
- Individual RAUM · $140M to $133MMar 30, 2023 to Mar 27, 2024
- Pension RAUM · $824M to $827MMar 30, 2023 to Mar 27, 2024
Signals
7 dated events
- Staley George Cates (Vice Chairman/Shareholder/Director) no longer on Schedule A of Southeastern Asset Management Inc. (listed 2024-11-13, absent 2024-12-18)Dec 18, 2024 · Control person left · inference
- Jason Michael Wittke (Chief Compliance Officer) no longer on Schedule A of Southeastern Asset Management Inc. (listed 2024-03-27, absent 2024-06-07)Jun 7, 2024 · Control person left · inference
- George Steven Fracchia (Chief Operating Officer/ Shareholder) no longer on Schedule A of Southeastern Asset Management Inc. (listed 2023-03-30, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Griesbeck Louise Myerberg (Director, Shareholder) no longer on Schedule A of Southeastern Asset Management Inc. (listed 2023-03-30, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Southeastern Asset Management Inc. reported RAUM $5.5B, down 50% from $11.1B (2022-03-30 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- David Joshua Shores (Director, Shareholder) no longer on Schedule A of Southeastern Asset Management Inc. (listed 2022-03-30, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Griesbeck Louise Myerberg (Director) appeared on Schedule A of Southeastern Asset Management Inc.Mar 30, 2021 · Control person joined · fact
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/southeastern-asset-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- SOUTHEASTERNASSET.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 901-761-2474reportedpublic record, Form ADV, Mar 27, 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