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
Credit Suisse Asset Management, LLC
Latest filing Mar 29, 2024
First filing on the tape Mar 30, 2012 · 96 filings
RAUM
$60B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
6.1%
$3.7B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
254
64 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
108
$34B gross assets
History
96 filings and snapshots on the tape
RAUM$60B as of Mar 29, 2024
Mar 30, 2012$66B then
HNW client RAUM$3.7B as of Mar 29, 2024
Mar 29, 2018$3.4B then
State-registered IARs (5.B.3)4 as of Mar 29, 2024
Mar 28, 20130 then
Employees (5.A)254 as of Mar 29, 2024
Mar 28, 2013600 then
Private funds108 as of Mar 29, 2024
Mar 30, 2012298 then
RAUM -8.9% over the last fiscal year-5.9% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Mar 29, 2024; every figure names its basis
- RAUM per advisor
- $15BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $4.4MderivedHNW RAUM over HNW clients
- Average account
- $55.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 11%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 63.5derivedItem 5.A over advisors
- Advisors per office
- 1.3derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -8.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- -20%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- 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
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- 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
- Pooled investment vehicles$40B67%
- Investment companies$5.4B9.0%
- High-net-worth individuals$3.7B6.1%
- State and municipal entities$2.7B4.5%
- Insurance companies$2.2B3.6%
- Banks and thrifts$1.8B3.0%
- Corporations and businesses$1.2B2.1%
- Other investment advisers$1.1B1.9%
- Pension and profit-sharing plans$968M1.6%
- Sovereign wealth funds$832M1.4%
- Charitable organizations$20.3M0.0%
- Individual clients
- n/areported
- HNW clients
- 832reported
- Pension plan clients
- 10reported
- Charitable clients
- 5reported
- Accounts
- 1,078reported
- Financial planning clients
- n/areported
- Wrap fee programs
- $0 sponsored, $0 managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- 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
Left, latest
- Donald Christopher Schultheis to David A. Noyes & CompanyOct 11, 2005 · Other
Joined, latest
none on the tape
Private funds
168 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Cs Strategic Partners V, L.P.no longer reported | Private Equity Fund | $3.0B | 527 | Mar 30, 2012 |
| Cs Strategic Partners IV, L.P.no longer reported | Private Equity Fund | $2.4B | 572 | Mar 30, 2012 |
| Dlj Investment Partners III, L.P.no longer reported | Private Equity Fund | $976M | 115 | Mar 30, 2012 |
| Csfb Strategic Partners III, L.P.no longer reported | Private Equity Fund | $844M | 244 | Mar 30, 2012 |
| Cs Strategic Partners V Special Acquisitions, L.P. Series Ano longer reported | Private Equity Fund | $547M | 3 | Mar 28, 2013 |
| Dlj Investment Partners, L.P. - Series Cno longer reported | Private Equity Fund | $399M | 2 | Mar 30, 2012 |
| Wind River Fund, LLC | Other Private Fund | $392M | 2 | Mar 30, 2020 |
| Ophelia I Fund, Ltd.no longer reported | Other Private Fund | $378M | 1 | Mar 30, 2012 |
| Terlingua Fund 1, LPno longer reported | Hedge Fund | $371M | 1 | Jan 4, 2013 |
| Csfb Strategic Partners Parallel Fund III, L.P.no longer reported | Private Equity Fund | $304M | 10 | Mar 30, 2012 |
| Csfb Strategic Partners III-B, L.P.no longer reported | Private Equity Fund | $283M | 4 | Mar 30, 2012 |
| Credit Suisse Long/Short Equity Strategy Master Fund, Ltd.no longer reported | Hedge Fund | $270M | 2 | Jul 21, 2014 |
| Credit Suisse Corporate Credit Solutions LLCno longer reported | Other Private Fund | $259M | 2 | Mar 31, 2015 |
| Next Investors II, L.P. | Private Equity Fund | $256M | 110 | Mar 29, 2018 |
| Cs Strategic Partners 2007, L.P.no longer reported | Private Equity Fund | $251M | 3 | Mar 30, 2012 |
| Michigan Growth Capital Partners, L.P.no longer reported | Private Equity Fund | $228M | 2 | Mar 30, 2012 |
| Cs Strategic Partners V Re, L.P.no longer reported | Real Estate Fund | $223M | 5 | Mar 30, 2012 |
| Cs Strategic Partners IV Re, L.P.no longer reported | Real Estate Fund | $215M | 14 | Mar 30, 2012 |
| Cs Strategic Partners IV Vc, L.P.no longer reported | Private Equity Fund | $210M | 14 | Mar 30, 2012 |
| Sapic 98 Master Fundno longer reported | Other Private Fund | $208M | 8 | Mar 30, 2012 |
| Cs Sp V (Co-Invest Opers), L.P.no longer reported | Private Equity Fund | $207M | 4 | Mar 30, 2012 |
| Michigan Growth Capital Partners II, L.P.no longer reported | Private Equity Fund | $181M | 1 | Mar 28, 2013 |
| Mbp IV Plan Investors, L.P.no longer reported | Private Equity Fund | $177M | 93 | Mar 30, 2012 |
| Hcep Plan Investors, L.P.no longer reported | Private Equity Fund | $169M | 7 | Mar 30, 2012 |
| Csfb Strategic Partners III Re, L.P.no longer reported | Real Estate Fund | $156M | 28 | Mar 30, 2012 |
| Pension Plan For Eaton Corporation Employeeno longer reported | Securitized Asset Fund | $153M | 0 | Mar 31, 2015 |
| Credit Suisse Dollar Senior Loan Offshore Fund Ltd.no longer reported | Other Private Fund | $146M | 62 | Mar 30, 2012 |
| Csfb Strategic Partners III Vc, L.P.no longer reported | Private Equity Fund | $142M | 21 | Mar 30, 2012 |
| Mistral (Spc)no longer reported | Hedge Fund | $139M | 1 | Mar 30, 2012 |
| Next Investors, LLC | Private Equity Fund | $137M | 33 | Mar 28, 2014 |
| Cs Strategic Partners V Vc, L.P.no longer reported | Private Equity Fund | $133M | 4 | Mar 30, 2012 |
| Credit Suisse First Boston Fund Investments Vi Holdings, LLCno longer reported | Private Equity Fund | $126M | 137 | Mar 30, 2012 |
| Liquid Alternative Beta Index Fund, Ltd.no longer reported | Hedge Fund | $111M | 2 | Mar 30, 2012 |
| Credit Suisse Fixed Income Opportunities Fund Ltd.no longer reported | Hedge Fund | $103M | 3 | Oct 17, 2012 |
| Tu Jupiter Fund (Sub-Fund Of Genesis Trust)no longer reported | Other Private Fund | $101M | 1 | Mar 30, 2012 |
| Csfb Strategic Partners II, L.P.no longer reported | Private Equity Fund | $98.0M | 137 | Mar 30, 2012 |
| Cs Strategic Partners Parallel Fund V, L.P.no longer reported | Private Equity Fund | $94.5M | 4 | Mar 28, 2013 |
| Csfb Strategic Partners Parallel Fund III-B, L.P.no longer reported | Private Equity Fund | $87.8M | 2 | Mar 30, 2012 |
| Dlj Strategic Partners, L.P.no longer reported | Private Equity Fund | $85.4M | 44 | Mar 30, 2012 |
| Michigan Growth Capital Partners Sbic, L.P.no longer reported | Hedge Fund | $82.5M | 8 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Sumit Khanna · Director And Member Of Management Committeecontrolsince 01/2022 · owns less than 5%
- Anne Maura Miller · Managing Director, Chief Compliance Officer And Member Of Management Committeecontrolsince 06/2023 · owns less than 5%
- James Michael Rongetti · Chief Executive Officer, Managing Director And Chairman Of The Management Committeecontrolsince 01/2022 · owns less than 5%
- Michael Craig Velsor · Chief Financial Officer, Directorcontrolsince 12/2021 · owns less than 5%
Entity owners
- Csam Americas Holding Corp. · Owner Of 100% Member Interestsdirect · owns 75% or more
- UBS Group Ag · Shareholderdirect · owns 75% or more · public reporting company
- Credit Suisse (USA), Inc. · Shareholderindirect · owns 75% or more of Csam Americas Holding Corp.
- UBS Group Ag · Shareholderindirect · owns 75% or more of Credit Suisse Ag · public reporting company
- Credit Suisse Ag · Shareholderindirect · owns 75% or more of Credit Suisse Holdings (USA), Inc. · public reporting company
- Credit Suisse Holdings (USA), Inc. · Shareholderindirect · owns 75% or more of Credit Suisse (USA), Inc. · public reporting company
Related persons
Schedule D 7.A
- Credit Suisse (Luxembourg) S.A.custodiann
- Credit Suisse Agbroker-dealerinvestment adviserpooled vehicle sponsorCPO or CTAy
- UBS Asset Management Credit Investments Group (Uk) Ltdinvestment adviserpooled vehicle sponsornRAUM $11B
- Credit Suisse Securities (USA) LLCbroker-dealerinvestment advisertrust companypooled vehicle sponsornRAUM $805M
- UBS Asset Management (Americas) LLCinvestment adviserbanknRAUM $588B
- UBS Asset Management (US) Inc.broker-dealern
- UBS Farmland Investors LLCinvestment advisern
- UBS Financial Services Inc.broker-dealerinvestment advisertrust companynRAUM $916B
- UBS Fund Services (USA) LLCbroker-dealern
- UBS Hedge Fund Solutionsinvestment adviserbankpooled vehicle sponsornRAUM $39B
- UBS Oconnor LLCinvestment adviserbankpooled vehicle sponsornRAUM $14B
- UBS Realty Investors LLCinvestment adviserpooled vehicle sponsorLP sponsornRAUM $2.3B
- UBS Securities LLCbroker-dealerbanktrust companyn
Advisers that list Credit Suisse Asset Management, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- Ranch Santa Fe, CA1 employees
- San Francisco, CA1 employees
What changed
consecutive filings, newest first
- Accounts · 1,139 to 1,078Dec 20, 2023 to Mar 29, 2024
- Advisory employees · 75 to 64Dec 20, 2023 to Mar 29, 2024
- BD registered reps · 119 to 78Dec 20, 2023 to Mar 29, 2024
- Corporate clients · 7 to 6Dec 20, 2023 to Mar 29, 2024
- HNW clients · 877 to 832Dec 20, 2023 to Mar 29, 2024
- Pension plan clients · 8 to 10Dec 20, 2023 to Mar 29, 2024
- Pooled vehicle clients · 195 to 179Dec 20, 2023 to Mar 29, 2024
- Employees · 276 to 254Dec 20, 2023 to Mar 29, 2024
- State-registered IARs · 5 to 4Dec 20, 2023 to Mar 29, 2024
- Private funds · 113 to 108Dec 20, 2023 to Mar 29, 2024
- Discretionary RAUM · $66B to $60BDec 20, 2023 to Mar 29, 2024
- HNW RAUM · $3.7B to $3.7BDec 20, 2023 to Mar 29, 2024
- Pension RAUM · $913M to $968MDec 20, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $42B to $40BDec 20, 2023 to Mar 29, 2024
- RAUM · $66B to $60BDec 20, 2023 to Mar 29, 2024
- Wrap assets (manager) · $722M to $0Dec 20, 2023 to Mar 29, 2024
- Discretionary RAUM · $66B to $66BMar 31, 2023 to May 8, 2023
- Pooled vehicle RAUM · $42B to $42BMar 31, 2023 to May 8, 2023
- RAUM · $66B to $66BMar 31, 2023 to May 8, 2023
- Accounts · 1,110 to 1,139Feb 2, 2023 to Mar 31, 2023
- Advisory employees · 80 to 75Feb 2, 2023 to Mar 31, 2023
- BD registered reps · 83 to 119Feb 2, 2023 to Mar 31, 2023
- Charity clients · 6 to 5Feb 2, 2023 to Mar 31, 2023
- Corporate clients · 8 to 7Feb 2, 2023 to Mar 31, 2023
- HNW clients · 842 to 877Feb 2, 2023 to Mar 31, 2023
- Pooled vehicle clients · 197 to 195Feb 2, 2023 to Mar 31, 2023
- Other offices · 4 to 2Feb 2, 2023 to Mar 31, 2023
- Private funds · 110 to 113Feb 2, 2023 to Mar 31, 2023
- Discretionary RAUM · $78B to $66BFeb 2, 2023 to Mar 31, 2023
- HNW RAUM · $4.0B to $3.7BFeb 2, 2023 to Mar 31, 2023
- Pension RAUM · $1.8B to $913MFeb 2, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $47B to $42BFeb 2, 2023 to Mar 31, 2023
- RAUM · $78B to $66BFeb 2, 2023 to Mar 31, 2023
- Wrap assets (manager) · $647M to $722MFeb 2, 2023 to Mar 31, 2023
- Private funds · 111 to 110Jan 13, 2023 to Feb 2, 2023
- Discretionary RAUM · $78B to $78BMar 31, 2022 to May 13, 2022
- Pooled vehicle RAUM · $47B to $47BMar 31, 2022 to May 13, 2022
- RAUM · $78B to $78BMar 31, 2022 to May 13, 2022
- Accounts · 1,097 to 1,110Jan 13, 2022 to Mar 31, 2022
- Advisory employees · 98 to 80Jan 13, 2022 to Mar 31, 2022
Signals
11 dated events
- Dmitri Shadrin (Director, Chief Operating Officer) no longer on Schedule A of Credit Suisse Asset Management, Llc (listed 2023-12-20, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Anne Maura Miller (Managing Director, Chief Compliance Officer And Member Of Management Committee) appeared on Schedule A of Credit Suisse Asset Management, LlcJun 27, 2023 · Control person joined · fact
- Sumit Khanna (Director And Member Of Management Committee) appeared on Schedule A of Credit Suisse Asset Management, LlcJun 27, 2023 · Control person joined · fact
- Sumit Khanna (Chief Financial Officer, Managing Director And Member Of Management Committee) no longer on Schedule A of Credit Suisse Asset Management, Llc (listed 2023-02-02, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Michael Craig Velsor (Chief Financial Officer, Director And Member Of The Management Committee) appeared on Schedule A of Credit Suisse Asset Management, LlcMar 31, 2023 · Control person joined · fact
- Dmitri Shadrin (Director, Chief Operating Officer) appeared on Schedule A of Credit Suisse Asset Management, LlcMar 31, 2023 · Control person joined · fact
- Timothy Sean Flynn (Chief Operating Officer, Managing Director And Member Of The Management Committee) no longer on Schedule A of Credit Suisse Asset Management, Llc (listed 2022-05-13, absent 2022-07-21)Jul 21, 2022 · Control person left · inference
- Michael Levin (Chief Executive Officer, Managing Director And Chairman Of The Management Committee) no longer on Schedule A of Credit Suisse Asset Management, Llc (listed 2021-11-18, absent 2022-01-13)Jan 13, 2022 · Control person left · inference
- Sumit Khanna (Chief Financial Officer, Managing Director And Member Of Management Committee) appeared on Schedule A of Credit Suisse Asset Management, LlcJan 13, 2022 · Control person joined · fact
- George Peter Norley (Chief Executive Officer, Managing Director And Chairman Of The Management Committee) no longer on Schedule A of Credit Suisse Asset Management, Llc (listed 2020-05-05, absent 2020-06-10)Jun 10, 2020 · Control person left · inference
- Michael Levin (Chief Executive Officer, Managing Director And Chairman Of The Management Committee) appeared on Schedule A of Credit Suisse Asset Management, LlcJun 10, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Credit Suisse Asset Management, LLC · Private Equityshared crd · organization
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
Across the graphs
Credit Suisse Asset Management, LLC 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.
Checking your plan…