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
Mellon Investments Corporation
Latest filing May 12, 2026
First filing on the tape Dec 21, 2011 · 73 filings
SEC status approved since Sep 30, 1983
RAUM
$874B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
2.2%
$20B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
98
61 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
73 filings and snapshots on the tape
RAUM$874B as of May 12, 2026
Mar 30, 2012$159B then
HNW client RAUM$20B as of May 12, 2026
Feb 1, 2018$7.2B then
State-registered IARs (5.B.3)0 as of May 12, 2026
Mar 27, 20130 then
Employees (5.A)98 as of May 12, 2026
Mar 27, 2013341 then
Private funds3 as of Mar 31, 2021
Mar 30, 201229 then
RAUM +14% over the last fiscal year+42% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 12, 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
- $5.6MderivedHNW RAUM over HNW clients
- Average account
- $222MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 26%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
- +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, fixed fees, otherreportedItem 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
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$591B68%
- State and municipal entities$87B10%
- Sovereign wealth funds$75B8.7%
- Pension and profit-sharing plans$58B6.6%
- Pooled investment vehicles$29B3.3%
- High-net-worth individuals$20B2.3%
- Charitable organizations$5.1B0.6%
- Corporations and businesses$3.6B0.4%
- Insurance companies$1.8B0.2%
- Individual clients
- n/areported
- HNW clients
- 3,492reported
- Pension plan clients
- 106reported
- Charitable clients
- 26reported
- Accounts
- 3,942reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $397M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.02 fund_share=0.71 institutional_share=0.26 related_bd=true related_bank=true bd_reps=7.0derived
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
44 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Macro Opportunity Fund, Ltd.no longer reported | Hedge Fund | $700M | 1 | Mar 30, 2012 |
| Mellon Offshore All Cash Master Fund, Ltd.no longer reported | Other Private Fund | $187M | 14 | Mar 30, 2012 |
| Harborwalk Opportunistic Appreciation Fund, LPno longer reported | Hedge Fund | $125M | 13 | Aug 19, 2015 |
| Redwood Point Orion Master Fund, Ltd.no longer reported | Hedge Fund | $101M | 1 | Mar 30, 2012 |
| Redwood Point Orion Fund, Ltd.no longer reported | Hedge Fund | $100M | 4 | Mar 30, 2012 |
| Mcm Creditalpha Market Neutral Premier Offshore Master Fund, Ltd.no longer reported | Hedge Fund | $92.2M | 3 | Mar 30, 2012 |
| Redwood Point Global Opportunity Fund Ltd. - Multicurrencyno longer reported | Hedge Fund | $89.3M | 2 | Mar 30, 2012 |
| Redwood Point Global Opportunity Master Fund, Ltd.no longer reported | Hedge Fund | $88.9M | 11 | Mar 30, 2012 |
| Mellon Offshore Alphaaccess Master Fund, Ltd.no longer reported | Hedge Fund | $67.8M | 9 | Mar 30, 2012 |
| Mcm Creditalpha Market Neutral Premier Multicurrency Fund, Ltd.no longer reported | Hedge Fund | $67.1M | 1 | Mar 30, 2012 |
| Harborwalk Opportunistic Alpha Fund LPno longer reported | Hedge Fund | $64.7M | 82 | Mar 30, 2012 |
| Mcm Creditalpha Market Neutral Premier Offshore Fund, Ltd.no longer reported | Hedge Fund | $52.3M | 2 | Mar 30, 2012 |
| Mellon Offshore Alphaaccess Fund, Ltd.no longer reported | Hedge Fund | $51.5M | 3 | Mar 30, 2012 |
| Redwood Point Global Equityalpha Master Fund, Ltd.no longer reported | Hedge Fund | $37.1M | 1 | Mar 30, 2012 |
| Redwood Point Commodityalpha Master Fund, Ltd.no longer reported | Hedge Fund | $34.4M | 1 | Nov 14, 2012 |
| Mellon Offshore Alphaaccess Fund, Ltd. - Multicurrencyno longer reported | Hedge Fund | $23.9M | 6 | Mar 30, 2012 |
| Harborwalk Risk Parity Fund V15, L.P.no longer reported | Hedge Fund | $20.0M | 26 | Jan 2, 2019 |
| Mcm Offshore Credit Market Neutral Fund, Ltd.no longer reported | Hedge Fund | $18.8M | 3 | Mar 30, 2012 |
| Mcm Convertiblealpha Offshore Master Fund, Ltd.no longer reported | Hedge Fund | $18.5M | 1 | Mar 30, 2012 |
| Mcm Convertiblealpha Offshore Fund, Ltd.no longer reported | Hedge Fund | $18.1M | 1 | Mar 30, 2012 |
| Mcm Offshore Credit Market Neutral Master Fund, Ltd.no longer reported | Hedge Fund | $14.9M | 3 | Mar 30, 2012 |
| Mellon Offshore Currency Opportunity Enhanced Master Fund, Limitedno longer reported | Hedge Fund | $13.6M | 1 | Mar 30, 2012 |
| Mcm Dynamic Alternativebeta Offshore Fund, Ltd.no longer reported | Hedge Fund | $13.0M | 2 | Mar 30, 2012 |
| Redwood Point Global Equityalpha Fund, Ltd.no longer reported | Hedge Fund | $12.5M | 1 | Mar 30, 2012 |
| Mcm Dynamic Alternativebeta Offshore Master Fund, Ltd.no longer reported | Hedge Fund | $5.9M | 1 | Mar 30, 2012 |
| Redwood Point Global Opportunity Fund, Ltd.no longer reported | Hedge Fund | $5.8M | 0 | Mar 30, 2012 |
| Harborwalk Global Growth, LPno longer reported | Hedge Fund | $5.0M | 1 | Aug 26, 2016 |
| Harborwalk Trend Institutional V20 Fund, L.P.no longer reported | Hedge Fund | $4.9M | 6 | Jan 2, 2019 |
| Harborwalk Risk Parity Fund V12, L.P.no longer reported | Hedge Fund | $2.5M | 5 | Jan 2, 2019 |
| Redwood Point Global Opportunity Fund, LLCno longer reported | Hedge Fund | $2.3M | 5 | Mar 30, 2012 |
| Harborwalk Opportunistic Investor, LPno longer reported | Hedge Fund | $1.4M | 6 | Mar 30, 2016 |
| Mcm Offshore Global Fixed Income Fund, Ltd.no longer reported | Hedge Fund | $52,248 | 0 | Mar 30, 2012 |
| Mcm Offshore Global Fixed Income Master Fund, Ltd.no longer reported | Hedge Fund | $46,437 | 0 | Mar 30, 2012 |
| Harborwalk Risk Parity Delta Rho Q V10 Fund, L.P.no longer reported | Hedge Fund | $10,424 | 2 | Jan 2, 2019 |
| Mellon Offshore Alphaaccess Select Fund, Ltd. Multicurrencyno longer reported | Hedge Fund | $0 | 0 | May 29, 2013 |
| Mellon Offshore Enhanced Currency Opportunity Fund, Ltd.no longer reported | Hedge Fund | $0 | 0 | Mar 30, 2012 |
| Mellon Offshore Currency Opportunity Fund, Ltd.no longer reported | Hedge Fund | $0 | 0 | May 29, 2013 |
| Mellon Offshore Currency Opportunity Master Fund, Ltd.no longer reported | Hedge Fund | $0 | 0 | May 29, 2013 |
| Mellon Alphaaccess Fund, LLCno longer reported | Hedge Fund | $0 | 0 | Mar 30, 2012 |
| Mellon Currency Opportunity Fund, LLCno longer reported | Hedge Fund | $0 | 0 | May 29, 2013 |
Owners and control persons
Schedule A and B, latest filing
- Kimberly Mackenzie-Perman · Chief Financial Officercontrolsince 09/2023 · owns less than 5%
- Miller Stephanie Pierce · Chief Executive Officer & Directorcontrolsince 02/2021 · owns less than 5%
- (Nmi) Hanneke Smits · Directorcontrolsince 10/2020 · owns less than 5%
- Wayne David Kingsley · Chief Operating Officersince 02/2024 · owns less than 5%
- Ann Lori Najjar · Chief Compliance Officersince 08/2021 · owns less than 5%
Entity owners
- Mbc Investments Corporation · Shareholderdirect · owns 75% or more
- Bny Mellon Ihc, LLC · Shareholderindirect · owns 75% or more of Mbc Investments Corporation
- The Bank Of New York Mellon Corporation · Shareholderindirect · owns 75% or more of Bny Mellon Ihc, LLC · 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 Ltdainvestment advisern
- Bny Mellon Asset Management Canada Limitedbroker-dealerinvestment adviserpooled vehicle sponsorn
- Bny Mellon Banco S.A.n
- Bny Mellon Capital Markets, LLCbroker-dealern
- Bny Mellon Etf Investment Adviser, LLCinvestment adviserbankcustodiannRAUM $11B
- Bny Mellon Fund Management (Luxembourg) S.A.broker-dealerinvestment adviserpooled vehicle sponsorn
- Bny Mellon Fund Managers Limitedinvestment adviserpooled 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 Adviser, Inc.investment adviserbanknRAUM $419B
- Bny Mellon Investment Management Emea Limitedbroker-dealerinvestment adviserpooled vehicle sponsorn
- 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 advisernRAUM $78.5M
- Bny Mellon Investment Servicing Trust Companyn
- Bny Mellon National Associationinvestment advisercustodiann
- Bny Mellon Securities Corporationbroker-dealerinvestment adviserreal estatenRAUM $8.4B
- Bny Mellon Servicos Financeiros Distribuidora De Titulos E Valores Mobiliarios (Dtvm) S.A.broker-dealerinvestment advisern
- Bny Mellon Trust Company Of Illinoisn
- Bny Mellon Trust Of Delawareinvestment advisern
- Bnym Mellon Investment Management (Shanghai) Limitedinvestment 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 (Global) Limitedinvestment adviserbankn
Advisers that list Mellon Investments Corporation as a related person
Offices
Schedule D 1.F, the 25 largest
- Pittsburgh, PA24 employees
- New York, NY18 employees
- San Francisco, CA11 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 31, 2026accounts (Item 5.F.2.f) moved from 533.0 to 3,942.0 (+640.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +4.0% (111 comparable advisers, 99.0th percentile of changes)peers: asset managers, $20B and over (111) · 99% percentile
- employee count dropChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 155.0 to 98.0 (-37.0%) between the annual amendments of 2025-03-31 and 2026-03-31; the peer median change was +3.0% (462 comparable advisers, 2.0th percentile of changes)peers: asset managers, $20B and over (462) · 2.0% percentile
What changed
consecutive filings, newest first
- Accounts · 533 to 3,942Jul 31, 2025 to Mar 31, 2026
- Advisory employees · 67 to 61Jul 31, 2025 to Mar 31, 2026
- BD registered reps · 24 to 7Jul 31, 2025 to Mar 31, 2026
- Charity clients · 27 to 26Jul 31, 2025 to Mar 31, 2026
- Corporate clients · 2 to 9Jul 31, 2025 to Mar 31, 2026
- HNW clients · 0 to 3,492Jul 31, 2025 to Mar 31, 2026
- Individual clients · 72.0 to unsetJul 31, 2025 to Mar 31, 2026
- Pension plan clients · 122 to 106Jul 31, 2025 to Mar 31, 2026
- Employees · 155 to 98Jul 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $764B to $874BJul 31, 2025 to Mar 31, 2026
- HNW RAUM · $0 to $20BJul 31, 2025 to Mar 31, 2026
- Individual RAUM · 326578021.0 to unsetJul 31, 2025 to Mar 31, 2026
- Pension RAUM · $50B to $58BJul 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $29B to $29BJul 31, 2025 to Mar 31, 2026
- RAUM · $764B to $874BJul 31, 2025 to Mar 31, 2026
- Wrap assets (manager) · $327M to $397MJul 31, 2025 to Mar 31, 2026
- Financial planning clients · unset to May 30, 2025 to Jul 31, 2025
- Accounts · 502 to 533Nov 12, 2024 to Mar 31, 2025
- Advisory employees · 59 to 67Nov 12, 2024 to Mar 31, 2025
- BD registered reps · 25 to 24Nov 12, 2024 to Mar 31, 2025
- Charity clients · 32 to 27Nov 12, 2024 to Mar 31, 2025
- Corporate clients · 3 to 2Nov 12, 2024 to Mar 31, 2025
- Individual clients · 0 to 72Nov 12, 2024 to Mar 31, 2025
- Pension plan clients · 125 to 122Nov 12, 2024 to Mar 31, 2025
- Employees · 146 to 155Nov 12, 2024 to Mar 31, 2025
- HQ city · BOSTON to PITTSBURGHNov 12, 2024 to Mar 31, 2025
- HQ state · MA to PANov 12, 2024 to Mar 31, 2025
- Discretionary RAUM · $674B to $764BNov 12, 2024 to Mar 31, 2025
- Individual RAUM · $0 to $327MNov 12, 2024 to Mar 31, 2025
- Pension RAUM · $40B to $50BNov 12, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $24B to $29BNov 12, 2024 to Mar 31, 2025
- RAUM · $674B to $764BNov 12, 2024 to Mar 31, 2025
- Wrap assets (manager) · $0 to $327MNov 12, 2024 to Mar 31, 2025
- Accounts · 518 to 502Oct 18, 2023 to Mar 29, 2024
- Advisory employees · 63 to 59Oct 18, 2023 to Mar 29, 2024
- BD registered reps · 27 to 25Oct 18, 2023 to Mar 29, 2024
- Charity clients · 34 to 32Oct 18, 2023 to Mar 29, 2024
- Pension plan clients · 126 to 125Oct 18, 2023 to Mar 29, 2024
- Pooled vehicle clients · 19 to 6Oct 18, 2023 to Mar 29, 2024
- Employees · 180 to 146Oct 18, 2023 to Mar 29, 2024
Signals
33 dated events
- Giuliette Drake (Chief Financial Officer) no longer on Schedule A of Mellon Investments Corporation (listed 2024-09-27, absent 2024-11-12)Nov 12, 2024 · Control person left · inference
- Sujin Christina King (Director) no longer on Schedule A of Mellon Investments Corporation (listed 2023-09-29, absent 2023-10-18)Oct 18, 2023 · Control person left · inference
- Kimberly Mackenzie-Perman (Director) appeared on Schedule A of Mellon Investments CorporationOct 18, 2023 · Control person joined · fact
- Mellon Investments Corporation reported RAUM $619.4B, up 102% from $307.2B (2023-03-31 to 2023-09-29)Sep 29, 2023 · RAUM change · derived
- Giuliette Drake (Chief Financial Officer) appeared on Schedule A of Mellon Investments CorporationSep 29, 2021 · Control person joined · fact
- Webb Parker Wertz (Chief Financial Officer) no longer on Schedule A of Mellon Investments Corporation (listed 2021-08-04, absent 2021-09-29)Sep 29, 2021 · Control person left · inference
- Anthony Michael Germano (Chief Operations Officer & Director) no longer on Schedule A of Mellon Investments Corporation (listed 2021-08-04, absent 2021-09-29)Sep 29, 2021 · Control person left · inference
- Miller Stephanie Pierce (Chief Executive Officer & Director) appeared on Schedule A of Mellon Investments CorporationAug 4, 2021 · Control person joined · fact
- Mellon Investments Corporation reported RAUM $438.5B, up 34% from $328.0B (2020-10-16 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Desmond James Mac Intyre (President, Chief Executive Officer, Director) no longer on Schedule A of Mellon Investments Corporation (listed 2020-10-16, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Michelle Renee Laroche-Morris (Director) no longer on Schedule A of Mellon Investments Corporation (listed 2020-10-16, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Michelle Renee Laroche-Morris (Director) appeared on Schedule A of Mellon Investments CorporationOct 16, 2020 · Control person joined · fact
- (Nmi) Hanneke Smits (Director) appeared on Schedule A of Mellon Investments CorporationOct 16, 2020 · Control person joined · fact
- Sujin Christina King (Director) appeared on Schedule A of Mellon Investments CorporationOct 16, 2020 · Control person joined · fact
- Evan Mitchell Harris (Director) no longer on Schedule A of Mellon Investments Corporation (listed 2020-06-30, absent 2020-10-16)Oct 16, 2020 · Control person left · inference
- Evan Mitchell Harris (Director) appeared on Schedule A of Mellon Investments CorporationApr 15, 2020 · Control person joined · fact
- Allan Gregory Brisk (Board Of Directors) no longer on Schedule A of Mellon Investments Corporation (listed 2020-03-30, absent 2020-04-15)Apr 15, 2020 · Control person left · inference
- Antonio David Daglio (Board Of Directors, Chief Investment Officer - Active Equity) no longer on Schedule A of Mellon Investments Corporation (listed 2020-03-30, absent 2020-04-15)Apr 15, 2020 · Control person left · inference
- Homer Edward Ladd (Board Of Directors) no longer on Schedule A of Mellon Investments Corporation (listed 2020-03-30, absent 2020-04-15)Apr 15, 2020 · Control person left · inference
- Mellon Investments Corporation reported RAUM $328.0B, down 26% from $442.4B (2019-12-05 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Thomas Loeb (Board Of Directors & Chairman Emeritus) no longer on Schedule A of Mellon Investments Corporation (listed 2019-12-05, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Brett Adam Joffe (Board Of Directors, Chief Business Officer) no longer on Schedule A of Mellon Investments Corporation (listed 2019-12-05, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Michelle Renee Laroche-Morris (Board Member) no longer on Schedule A of Mellon Investments Corporation (listed 2019-12-05, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Webb Parker Wertz (Chief Financial Officer) appeared on Schedule A of Mellon Investments CorporationMar 30, 2020 · Control person joined · fact
- John Matthew Oomen (Board Of Directors) no longer on Schedule A of Mellon Investments Corporation (listed 2019-02-20, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Tung Linda Lillard (Executive Vice President, Chief Operating Officer, Board Of Directors) no longer on Schedule A of Mellon Investments Corporation (listed 2018-02-01, absent 2019-01-02)Jan 2, 2019 · Control person left · inference
- Jianfeng Jeff Zhang (Executive Vice President, Chief Investment Officer - Multi-Asset And Multi-Factor And Index, Board Of Directors) no longer on Schedule A of Mellon Investments Corporation (listed 2018-02-01, absent 2019-01-02)Jan 2, 2019 · Control person left · inference
- C David Leduc (Board Of Directors, Chief Investment Officer - Active Fixed Income) no longer on Schedule A of Mellon Investments Corporation (listed 2018-02-01, absent 2019-01-02)Jan 2, 2019 · Control person left · inference
- Brian Alexander Over (Board Of Directors, Global Head Of Distribution) no longer on Schedule A of Mellon Investments Corporation (listed 2018-02-01, absent 2019-01-02)Jan 2, 2019 · Control person left · inference
- Anthony Michael Germano (Board Of Directors, Head Of Strategy) no longer on Schedule A of Mellon Investments Corporation (listed 2018-02-01, absent 2019-01-02)Jan 2, 2019 · Control person left · inference
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/mellon-investmentsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- dreyfus.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 617-248-3682reportedpublic record, Form ADV, May 12, 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