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.

Former SEC-registered adviser

Russell Investment Group

Former SEC-registered adviserSeattle, WashingtonCRD 105739SEC 801-17157IAPD
Legal name Frank Russell Company
Latest filing Nov 17, 2015
First filing on the tape Nov 18, 2011 · 15 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
538
44 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM: $723M
HNW client RAUM: no history
State-registered IARs (5.B.3)16 as of Mar 23, 2015
Mar 28, 20120 then
Employees (5.A)538 as of Mar 23, 2015
Mar 25, 2013532 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 16 to 16
Practice profile
derived from the filing of Nov 17, 2015; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
33.6derivedItem 5.A over advisors
Advisors per office
5.3derived3 offices incl. principal (1.F.5)
RAUM growth, one year
unknownderivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
fixed fees, otherreportedItem 5.E
Advisory activities
pension consulting, selection of other advisersreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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)
  • controlled by a public reporting company (10.A)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixedreported
Class basis
absent from the latest SEC rosterderived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • T. Ian Battye · Director; Chief Operating Officercontrol
    since 06/2014 · owns less than 5%
  • Patrick Leonard Brennan · Director, President And Chief Executive Officercontrol
    since 07/2011 · owns less than 5%
  • Diane Cote · Directorcontrol
    since 12/2014 · owns less than 5%
  • C. Brian Golob · Chief Compliance Officercontrol
    since 03/2014 · owns less than 5%
  • Alan David Lester · Directorcontrol
    since 05/2015 · owns less than 5%
  • Stephen Mark Makepeace · Directorcontrol
    since 12/2014 · owns less than 5%
  • Charles Matthew Moss · Chief Financial Officercontrol
    since 07/2010 · owns less than 5%
  • Porter David Warren · Directorcontrol
    since 12/2014 · owns less than 5%
  • Wayne Kenneth Willman · Secretary And Chief Legal Officercontrol
    since 08/2008 · owns less than 5%
Entity owners
  • Lseg US Holdco, Inc. · Owner
    direct · owns 75% or more
  • London Stock Exchange Group Plc · Shareholder
    indirect · owns 75% or more of Lseg US Holdco, Inc.
Related persons
Schedule D 7.A
  • Frank Russell Investment Partners 1997-1, G.P.
    pooled vehicle sponsorn
  • Frank Russell Investment Partners 1997-2, G.P.
    pooled vehicle sponsorn
  • Frf Partners II, L.P.
    pooled vehicle sponsorn
  • Frf Partners IV, L.P.
    pooled vehicle sponsorn
  • Ggep Investments (Bermuda), Ltd.
    pooled vehicle sponsorn
  • Ggep Investments, L.L.C.
    pooled vehicle sponsorn
  • Ggep Management (Bermuda), Ltd.
    pooled vehicle sponsorn
  • Ggep Management, L.L.C.
    pooled vehicle sponsorn
  • Russell Investments
    investment adviserbankpooled vehicle sponsoryRAUM $35B
  • Russell Employee Benefits Pty Ltd
    investment advisery
  • Russell Financial Services, Inc.
    broker-dealery
  • Russell Financial Solutions Pty Ltd
    investment advisery
  • Russell Investments
    broker-dealerinvestment adviserbankyRAUM $81B
  • Russell Implementation Services Limited
    investment advisery
  • Russell Institutional Funds Management, LLC
    pooled vehicle sponsory
  • Russell Insurance Agency, Inc.
    real estatey
  • Russell Investment Group Ltd
    investment advisery
  • Russell Investment Group Private Limited
    investment advisery
  • Russell Investment Group Pty Ltd
    investment advisery
  • Russell Investment Japan Co., Ltd.
    investment advisery
  • Russell Investments
    investment adviserpooled vehicle sponsoryRAUM $69B
  • Russell Investment Management Ltd.
    investment advisery
  • Russell Investment Tujajamun Chusik Hoesa
    investment advisery
  • Russell Investments Canada Limited
    broker-dealerinvestment advisery
  • Russell Investments Cayman Ltd.
    investment adviserpooled vehicle sponsory
  • Russell Investments Delaware Inc.
    pooled vehicle sponsory
  • Russell Investments France Sas
    investment advisery
  • Russell Investments Ireland Limited
    investment adviserbankpooled vehicle sponsory
  • Russell Investments Limited
    investment advisery
  • Russell Investments
    investment adviserpooled vehicle sponsoryRAUM $893M
Advisers that list Russell Investment Group as a related person
Offices
Schedule D 1.F, the 25 largest
  • Chicago, IL
  • New York, NY
What changed
consecutive filings, newest first
  • Advisory employees · 13 to 44
    Jan 6, 2015 to Mar 23, 2015
  • BD registered reps · 29 to 34
    Jan 6, 2015 to Mar 23, 2015
  • Employees · 533 to 538
    Jan 6, 2015 to Mar 23, 2015
  • Advisory employees · 34 to 13
    Jan 14, 2014 to Mar 26, 2014
  • BD registered reps · 32 to 29
    Jan 14, 2014 to Mar 26, 2014
  • Employees · 532 to 533
    Jan 14, 2014 to Mar 26, 2014
  • State-registered IARs · 6 to 16
    Jan 14, 2014 to Mar 26, 2014
  • Accounts · 13.0 to unset
    Jun 25, 2012 to Mar 25, 2013
  • Advisory employees · unset to 34.0
    Jun 25, 2012 to Mar 25, 2013
  • Advisory activities · 4 to 2
    Jun 25, 2012 to Mar 25, 2013
  • BD registered reps · unset to 32.0
    Jun 25, 2012 to Mar 25, 2013
  • Employees · unset to 532.0
    Jun 25, 2012 to Mar 25, 2013
  • State-registered IARs · 0 to 6
    Jun 25, 2012 to Mar 25, 2013
  • Discretionary RAUM · 722963349.0 to unset
    Jun 25, 2012 to Mar 25, 2013
  • Non-discretionary RAUM · 0.0 to unset
    Jun 25, 2012 to Mar 25, 2013
  • RAUM · 722963349.0 to unset
    Jun 25, 2012 to Mar 25, 2013
  • Accounts · 5 to 13
    Nov 18, 2011 to Mar 28, 2012
  • Insurance-licensed employees · unset to 0.0
    Nov 18, 2011 to Mar 28, 2012
  • Discretionary RAUM · $258M to $723M
    Nov 18, 2011 to Mar 28, 2012
  • RAUM · $258M to $723M
    Nov 18, 2011 to Mar 28, 2012
  • Related bank · false to true
    Nov 18, 2011 to Mar 28, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
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
Former SEC-registered 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