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
Rainier Investment Management LLC
Latest filing Jun 23, 2026
First filing on the tape Mar 28, 2012 · 45 filings
SEC status approved since Dec 7, 1989
RAUM
$581M
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
3
3 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$581M as of Jun 23, 2026
Mar 28, 2012$15B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 23, 2026
Mar 28, 20120 then
Employees (5.A)3 as of Jun 23, 2026
Mar 20, 201378 then
Private funds: no history
RAUM -5.8% over the last fiscal year-15% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 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
- $145MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -5.8%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Ownership
- controlled by a public reporting companyderived
- 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)
- controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$356M61%
- Pooled investment vehicles$196M34%
- Corporations and businesses$29.1M5.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.95 institutional_share=0.0 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
- Kyle Vann Mylius to Bridgeway Capital Management, LLCMay 1, 2008 · Other
- Mark William Broughton to Merrill Lynch, Pierce, Fenner & Smith IncorporatedNov 27, 2006 · Other
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Orlans Marc Mayer · Ceocontrolsince 01/2019 · owns less than 5%
- Stuart James Morrow · Ownercontrolsince 10/2020 · owns 75% or more of Callodine Group, LLC
- Suanne Kim Pegula · Ownercontrolsince 01/2018 · owns 50% to 75% of East Asset Management, LLC
- Michael Terrence Pegula · Ownercontrolsince 01/2018 · owns 50% to 75% of East Asset Management, LLC
- Michele Jessica Kushner · Chief Compliance Officersince 05/2017 · owns less than 5%
- Christine Sarah Turner · Corporate Secretarysince 09/2018 · owns less than 5%
Entity owners
- Manning & Napier Group, LLC · Sole Ownerdirect · owns 75% or more
- Callodine Aggregator, LLC · Ownerindirect · owns 75% or more of Callodine Mn Holdings, Inc.
- Callodine Group, LLC · Ownerindirect · owns 50% to 75% of Callodine Aggregator, LLC
- Callodine Midco, Inc · Ownerindirect · owns 75% or more of Manning & Napier Inc.
- Callodine Mn Holdings, Inc. · Ownerindirect · owns 75% or more of Callodine Midco, Inc
- East Asset Management, LLC · Ownerindirect · owns 25% to 50% of Callodine Aggregator, LLC
- Manning & Napier Inc. · Sole Managing Memberindirect · owns 75% or more of Manning & Napier Group, LLC
Related persons
Schedule D 7.A
- Callodine Capital Managementinvestment advisernRAUM $2.0B
- Callodine Capital Partners LLCpooled vehicle sponsorn
- Callodine Commercial Partners, LLCpooled vehicle sponsorn
- Callodine Credit Managementinvestment advisernRAUM $603M
- Callodine Strategic Credit Fund II Gp, LLCpooled vehicle sponsorn
- Callodine Strategic Credit, LLCinvestment advisern
- Exeter Trust Companyn
- Manning & Napier Advisors, LLCinvestment adviserbanknRAUM $17B
- Manning & Napier Investor Services, Inc.broker-dealern
- Rand Capital Managementinvestment advisernRAUM $137M
- Thorofare Capital, Inc.investment companyn
- Thorofare Lending Fund IV Management, LLCpooled vehicle sponsorn
- Thorofare Lending Fund V Management, LLCpooled vehicle sponsorn
- Thorofare LLCinvestment advisern
Advisers that list Rainier Investment Management LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- St. Petersburg, FL
- Dublin, OH
- Fairport, NY
What changed
consecutive filings, newest first
- Accounts · 5 to 4Oct 20, 2025 to Mar 27, 2026
- Advisory employees · 4 to 3Oct 20, 2025 to Mar 27, 2026
- Pooled vehicle clients · 3 to 2Oct 20, 2025 to Mar 27, 2026
- Employees · 4 to 3Oct 20, 2025 to Mar 27, 2026
- Discretionary RAUM · $617M to $581MOct 20, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $227M to $196MOct 20, 2025 to Mar 27, 2026
- RAUM · $617M to $581MOct 20, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Mar 20, 2025 to Oct 20, 2025
- Accounts · 6 to 5Mar 13, 2024 to Mar 20, 2025
- Advisory employees · 3 to 4Mar 13, 2024 to Mar 20, 2025
- Corporate clients · 2 to 1Mar 13, 2024 to Mar 20, 2025
- Employees · 3 to 4Mar 13, 2024 to Mar 20, 2025
- Discretionary RAUM · $840M to $617MMar 13, 2024 to Mar 20, 2025
- Pooled vehicle RAUM · $233M to $227MMar 13, 2024 to Mar 20, 2025
- RAUM · $840M to $617MMar 13, 2024 to Mar 20, 2025
- Accounts · 7 to 6Mar 3, 2023 to Mar 13, 2024
- Discretionary RAUM · $930M to $840MMar 3, 2023 to Mar 13, 2024
- Pooled vehicle RAUM · $275M to $233MMar 3, 2023 to Mar 13, 2024
- RAUM · $930M to $840MMar 3, 2023 to Mar 13, 2024
- Accounts · 6 to 7Nov 30, 2022 to Mar 3, 2023
- Corporate clients · 1 to 2Nov 30, 2022 to Mar 3, 2023
- Discretionary RAUM · $1.3B to $930MNov 30, 2022 to Mar 3, 2023
- Pooled vehicle RAUM · $449M to $275MNov 30, 2022 to Mar 3, 2023
- RAUM · $1.3B to $930MNov 30, 2022 to Mar 3, 2023
- Discretionary RAUM · $856M to $1.3BMar 26, 2022 to Apr 22, 2022
- RAUM · $856M to $1.3BMar 26, 2022 to Apr 22, 2022
- Financial planning clients · unset to 0Jul 30, 2021 to Mar 26, 2022
- Discretionary RAUM · $1.1B to $856MJul 30, 2021 to Mar 26, 2022
- Pooled vehicle RAUM · $443M to $449MJul 30, 2021 to Mar 26, 2022
- RAUM · $1.1B to $856MJul 30, 2021 to Mar 26, 2022
- Discretionary RAUM · $824M to $1.1BMay 15, 2020 to Mar 17, 2021
- Pooled vehicle RAUM · $352M to $443MMay 15, 2020 to Mar 17, 2021
- RAUM · $824M to $1.1BMay 15, 2020 to Mar 17, 2021
- Related bank · false to trueMay 15, 2020 to Mar 17, 2021
- Advisory employees · 4 to 3May 24, 2019 to Mar 5, 2020
- Employees · 4 to 3May 24, 2019 to Mar 5, 2020
- Other offices · 1 to 3May 24, 2019 to Mar 5, 2020
- Discretionary RAUM · $738M to $824MMay 24, 2019 to Mar 5, 2020
- Pooled vehicle RAUM · $266M to $352MMay 24, 2019 to Mar 5, 2020
- RAUM · $738M to $824MMay 24, 2019 to Mar 5, 2020
Signals
11 dated events
- Rainier Investment Management Llc reported RAUM $617.0M, down 27% from $840.3M (2024-03-13 to 2025-03-20)Mar 20, 2025 · RAUM change · derived
- Rainier Investment Management Llc reported RAUM $930.5M, down 27% from $1.3B (2022-11-30 to 2023-03-03)Mar 3, 2023 · RAUM change · derived
- Stuart James Morrow (Owner) appeared on Schedule A of Rainier Investment Management LlcNov 14, 2022 · Control person joined · fact
- M Terrence Pegula (Owner) appeared on Schedule A of Rainier Investment Management LlcNov 14, 2022 · Control person joined · fact
- S Kim Pegula (Owner) appeared on Schedule A of Rainier Investment Management LlcNov 14, 2022 · Control person joined · fact
- Rainier Investment Management Llc reported RAUM $1.3B, up 48% from $856.3M (2022-03-26 to 2022-04-22)Apr 22, 2022 · RAUM change · derived
- Rainier Investment Management Llc reported RAUM $1.1B, up 31% from $824.1M (2020-05-15 to 2021-03-17)Mar 17, 2021 · RAUM change · derived
- William Manning (Managing Member) no longer on Schedule A of Rainier Investment Management Llc (listed 2020-03-05, absent 2020-05-15)May 15, 2020 · Control person left · inference
- Orlans Marc Mayer (Ceo) appeared on Schedule A of Rainier Investment Management LlcFeb 7, 2019 · Control person joined · fact
- Scott Jeffrey Coons (President) no longer on Schedule A of Rainier Investment Management Llc (listed 2018-10-03, absent 2019-02-07)Feb 7, 2019 · Control person left · inference
- Rainier Investment Management,Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 21, 2014 · Succession (Item 4) · 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/MANNINGNAPIERreportedpublic record, Form ADV, Sep 17, 2026
- Website
- manning-napier.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 206-518-6600reportedpublic record, Form ADV, Jun 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