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
Bny Mellon Investment Adviser, Inc.
Latest filing Jun 30, 2026
First filing on the tape Dec 21, 2011 · 57 filings
SEC status approved since Dec 10, 1971
RAUM
$419B
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
69
14 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
5
reported on Schedule D
History
57 filings and snapshots on the tape
RAUM$419B as of Jun 30, 2026
Mar 29, 2012$343B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 30, 2026
Mar 27, 20130 then
Employees (5.A)69 as of Jun 30, 2026
Mar 27, 2013363 then
Private funds5 as of Jun 30, 2026
Mar 29, 20122 then
RAUM +15% over the last fiscal year+5.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- 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
- $4.6BderivedRAUM 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
- unknownderived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +15%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 pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$406B97%
- Pooled investment vehicles$14B3.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 91reported
- 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=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=5.0derived
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
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Ncs Global Fundno longer reported | Other Private Fund | $3.1B | 52 | Mar 31, 2022 |
| Ncs Group Trust Global Fund | Other Private Fund | $2.9B | 43 | Mar 30, 2023 |
| Ncs Group Trust International Fund | Other Private Fund | $1.2B | 24 | Mar 30, 2023 |
| Ncs International Fund LLC | Other Private Fund | $586M | 21 | Mar 30, 2023 |
| Ncs Global Fund LLC | Other Private Fund | $400M | 31 | Mar 30, 2023 |
| Ncs International Fundno longer reported | Other Private Fund | $330M | 4 | Mar 31, 2022 |
| Ncs Emerging Markets Fundno longer reported | Other Private Fund | $294M | 3 | Mar 31, 2022 |
| Ncs Millburn LLC | Other Private Fund | $280M | 3 | Mar 30, 2012 |
| Allianz Variable Insurance Products Securities Lending Collateral Fund No. 1no longer reported | Liquidity Fund | $272M | 25 | Mar 29, 2012 |
| Delaware Investments Collateral Fund No. 1, A Series Of Delaware Investments Collteral Trustno longer reported | Liquidity Fund | $200M | 7 | Mar 29, 2012 |
| Ncs Group Trust US Fund | Other Private Fund | $0 | 0 | Mar 30, 2023 |
| Ncs Group Trust Global Emerging Markets Fund | Other Private Fund | $0 | 0 | Mar 30, 2023 |
Owners and control persons
Schedule A and B, latest filing
- James Kenneth Bradle · Vice President & Directorcontrolsince 06/2019 · owns less than 5%
- John David Dipetrillo · Vice President & Directorcontrolsince 02/2021 · owns less than 5%
- Bushra Mannan · Directorcontrolsince 08/2023 · owns less than 5%
- Kay Susan Maroni · Secretarycontrolsince 04/2024 · owns less than 5%
- Despina Irene Papadoulis · Directorcontrolsince 08/2023 · owns less than 5%
- John Gregory Pasquale · Chief Financial Officercontrolsince 01/2021 · owns less than 5%
- John Squillace · Chief Compliance Officercontrolsince 07/2021 · owns less than 5%
- Michael Peter Sullivan · Chief Legal Officercontrolsince 07/2021 · owns less than 5%
- James Windels · Directorcontrolsince 02/2023 · owns less than 5%
Entity owners
- Mbc Investments Corporation · Sole Shareholderdirect · owns 75% or more
- Bny Mellon Ihc, LLC · Ownerindirect · owns 75% or more of The Bank Of New York Mellon Corporation
- Mbc Investment Corporation · Ownerindirect · owns 75% or more of Bny Mellon Ihc, LLC
- The Bank Of New York Mellon Corporation · Sole Shareholderindirect · owns 75% or more of Mbc Investments Corporation · public reporting company
Related persons
Schedule D 7.A
- Arx Investimentos Ltdainvestment adviserbanknRAUM $1.9B
- Bny Mellon Advisors, Inc.investment advisernRAUM $33B
- Bny Mellon Alocacao De Patrimonio Ltda.investment advisern
- Bny Mellon Asset Management Canada, Ltdbroker-dealerinvestment adviserpooled vehicle sponsorn
- Bny Mellon Banco S.A.n
- Bny Mellon Capital Markets, LLCbroker-dealern
- Bny Mellon Etf Investment Adviser, LLCinvestment adviserbanknRAUM $11B
- Bny Mellon Fund Management (Luxembourg) S.A.broker-dealerinvestment adviserpooled vehicle sponsorn
- Bny Mellon Fund Managers Limitedpooled vehicle sponsorn
- Bny Mellon Im Korea Limitedinvestment advisern
- Bny Mellon Im Taiwan Securities Investment Consulting Co., Ltdinvestment advisern
- Bny Mellon International Management Limitedinvestment adviserpooled vehicle sponsorn
- Bny Mellon Investment Management (Shanghai) Limitedinvestment advisern
- Bny Mellon Investment Management Australia Limitedbroker-dealerinvestment adviserpooled vehicle sponsorn
- Bny Mellon Investment Management Emea Limitedbroker-dealerinvestment advisern
- Bny Mellon Investment Management Hong Kong Limitedbroker-dealerinvestment adviserpooled vehicle sponsorn
- Bny Mellon Investment Management Japan Limitedinvestment advisernRAUM $32B
- Bny Mellon Investment Management Singapore Pte. Limitedinvestment advisern
- Bny Mellon Investment Servicing Trust Companyn
- Bny Mellon National Associationinvestment advisern
- Bny Mellon Securities Corporationbroker-dealerinvestment adviserreal estateyRAUM $8.4B
- Bny Mellon Servicos Finaceiros Distribuidora De Titulos E Valores Mobiliarios (Dtvm) S.A.broker-dealerinvestment advisern
- Bny Mellon Trust Company Of Illinoisn
- Bny Mellon Trust Of Delawareinvestment advisern
- Cibc Mellon Global Securities Services Companyn
- Cibc Mellon Trust Companyn
- Insight Investment Australia Pty Limitedinvestment advisern
- Insight Investment Funds Management Limitedinvestment adviserpooled vehicle sponsorn
- Insight Investmentinvestment adviserbanknRAUM $3.0B
- Insight Investment Management (Europe) Limitedpooled vehicle sponsorn
Advisers that list Bny Mellon Investment Adviser, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
- Boston, MA8 employees
- Pittsburgh, PA6 employees
- New York, NY3 employees
- San Francisco, CA3 employees
- Winter Park, FL1 employees
What changed
consecutive filings, newest first
- Accounts · 101 to 91Jan 20, 2026 to Mar 30, 2026
- Advisory employees · 18 to 14Jan 20, 2026 to Mar 30, 2026
- BD registered reps · 4 to 5Jan 20, 2026 to Mar 30, 2026
- Pooled vehicle clients · 8 to 9Jan 20, 2026 to Mar 30, 2026
- Employees · 80 to 69Jan 20, 2026 to Mar 30, 2026
- Private funds · 6 to 5Jan 20, 2026 to Mar 30, 2026
- Discretionary RAUM · $365B to $419BJan 20, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $8.9B to $14BJan 20, 2026 to Mar 30, 2026
- RAUM · $365B to $419BJan 20, 2026 to Mar 30, 2026
- Financial planning clients · 0 to 0Apr 1, 2025 to Sep 20, 2025
- Accounts · 117 to 101Aug 30, 2024 to Apr 1, 2025
- Advisory employees · 23 to 18Aug 30, 2024 to Apr 1, 2025
- Pooled vehicle clients · 9 to 8Aug 30, 2024 to Apr 1, 2025
- Assets in custody · $9.2B to $0Aug 30, 2024 to Apr 1, 2025
- Custody of client assets · true to falseAug 30, 2024 to Apr 1, 2025
- Employees · 96 to 80Aug 30, 2024 to Apr 1, 2025
- Private funds · 7 to 6Aug 30, 2024 to Apr 1, 2025
- Discretionary RAUM · $340B to $365BAug 30, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $9.2B to $8.9BAug 30, 2024 to Apr 1, 2025
- RAUM · $340B to $365BAug 30, 2024 to Apr 1, 2025
- Accounts · 134 to 117Sep 5, 2023 to Mar 28, 2024
- Advisory employees · 33 to 23Sep 5, 2023 to Mar 28, 2024
- BD registered reps · 2 to 4Sep 5, 2023 to Mar 28, 2024
- Pooled vehicle clients · 13 to 9Sep 5, 2023 to Mar 28, 2024
- Assets in custody · $5.1B to $9.2BSep 5, 2023 to Mar 28, 2024
- Employees · 113 to 96Sep 5, 2023 to Mar 28, 2024
- Discretionary RAUM · $361B to $340BSep 5, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $30B to $9.2BSep 5, 2023 to Mar 28, 2024
- RAUM · $361B to $340BSep 5, 2023 to Mar 28, 2024
- Accounts · 126 to 134May 27, 2022 to Mar 30, 2023
- Advisory employees · 35 to 33May 27, 2022 to Mar 30, 2023
- BD registered reps · 9 to 2May 27, 2022 to Mar 30, 2023
- Pooled vehicle clients · 7 to 13May 27, 2022 to Mar 30, 2023
- Assets in custody · $4.0B to $5.1BMay 27, 2022 to Mar 30, 2023
- Employees · 116 to 113May 27, 2022 to Mar 30, 2023
- Private funds · 4 to 7May 27, 2022 to Mar 30, 2023
- Discretionary RAUM · $384B to $361BMay 27, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $30B to $30BMay 27, 2022 to Mar 30, 2023
- RAUM · $384B to $361BMay 27, 2022 to Mar 30, 2023
- Accounts · 137 to 126Oct 26, 2021 to Mar 31, 2022
Signals
22 dated events
- Kay Susan Maroni (Secretary) appeared on Schedule A of Bny Mellon Investment Adviser, Inc.Jun 12, 2024 · Control person joined · fact
- Nmi James Bitetto (Secretary) no longer on Schedule A of Bny Mellon Investment Adviser, Inc. (listed 2024-03-28, absent 2024-06-12)Jun 12, 2024 · Control person left · inference
- Bushra Mannan (Director) appeared on Schedule A of Bny Mellon Investment Adviser, Inc.Aug 2, 2023 · Control person joined · fact
- Despina Irene Papadoulis (Director) appeared on Schedule A of Bny Mellon Investment Adviser, Inc.Aug 2, 2023 · Control person joined · fact
- James Windels (Director) appeared on Schedule A of Bny Mellon Investment Adviser, Inc.Apr 3, 2023 · Control person joined · fact
- John Andrew Provencher (Director) no longer on Schedule A of Bny Mellon Investment Adviser, Inc. (listed 2022-05-27, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Michael Stephen Hagan (Director Of Investment Oversight) no longer on Schedule A of Bny Mellon Investment Adviser, Inc. (listed 2022-05-27, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Ann Tracy Hopkins - Condon (Vice President-Cash Strategies) no longer on Schedule A of Bny Mellon Investment Adviser, Inc. (listed 2022-03-31, absent 2022-05-02)May 2, 2022 · Control person left · inference
- Michael Stephen Hagan (Director Of Investment Oversight) appeared on Schedule A of Bny Mellon Investment Adviser, Inc.May 2, 2022 · Control person joined · fact
- Michael Peter Sullivan (Chief Legal Officer) appeared on Schedule A of Bny Mellon Investment Adviser, Inc.Oct 4, 2021 · Control person joined · fact
- Warren Joseph Connolly (Chief Compliance Officer) no longer on Schedule A of Bny Mellon Investment Adviser, Inc. (listed 2021-04-05, absent 2021-06-30)Jun 30, 2021 · Control person left · inference
- Allen Bennett Macdougall (Chief Legal Officer) no longer on Schedule A of Bny Mellon Investment Adviser, Inc. (listed 2021-04-05, absent 2021-06-30)Jun 30, 2021 · Control person left · inference
- John Squillace (Chief Compliance Officer) appeared on Schedule A of Bny Mellon Investment Adviser, Inc.Jun 30, 2021 · Control person joined · fact
- John David Dipetrillo (Vice President & Director) appeared on Schedule A of Bny Mellon Investment Adviser, Inc.Feb 1, 2021 · Control person joined · fact
- John Gregory Pasquale (Chief Financial Officer) appeared on Schedule A of Bny Mellon Investment Adviser, Inc.Jan 20, 2021 · Control person joined · fact
- Michelle Renee Laroche-Morris (President And Director) no longer on Schedule A of Bny Mellon Investment Adviser, Inc. (listed 2020-11-04, absent 2021-01-20)Jan 20, 2021 · Control person left · inference
- P John Shea (Chief Financial Officer) no longer on Schedule A of Bny Mellon Investment Adviser, Inc. (listed 2020-11-04, absent 2021-01-20)Jan 20, 2021 · Control person left · inference
- Allan Gregory Brisk (Director) no longer on Schedule A of Bny Mellon Investment Adviser, Inc. (listed 2020-03-30, absent 2020-11-04)Nov 4, 2020 · Control person left · inference
- P John Shea (Chief Financial Officer) appeared on Schedule A of Bny Mellon Investment Adviser, Inc.Nov 11, 2019 · Control person joined · fact
- James Kenneth Bradle (Chief Operating Officer And Director) appeared on Schedule A of Bny Mellon Investment Adviser, Inc.May 31, 2019 · Control person joined · fact
- John Bradley Skapyak (Chief Operating Officer And Director) no longer on Schedule A of Bny Mellon Investment Adviser, Inc. (listed 2019-03-27, absent 2019-05-31)May 31, 2019 · Control person left · inference
- David Christopher O'Connor (Chief Administrative Officer) no longer on Schedule A of Bny Mellon Investment Adviser, Inc. (listed 2019-03-27, absent 2019-05-31)May 31, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- BNY Mellon Investment Adviser, Inc. · Independent Sponsorsshared crd · capital_provider
- BNY Mellon Investment Adviser, Inc. · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Website
- BNY.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 2129226273reportedpublic record, Form ADV, Jun 30, 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
Across the graphs
Bny Mellon Investment Adviser, Inc. is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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