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
Polen Capital Management, LLC
Latest filing May 4, 2026
First filing on the tape Mar 30, 2012 · 34 filings
SEC status approved since Apr 7, 1980
RAUM
$24B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
5.7%
$1.4B individuals and HNW
Advisors
7
registered through the firm on IAPD
RAUM per advisor
$3.4B
derived; firm RAUM over IAPD count
Employees
168
22 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
2
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$24B as of May 4, 2026
Mar 30, 2012$3.0B then
HNW client RAUM$1.4B as of May 4, 2026
Mar 28, 2018$661M then
State-registered IARs (5.B.3)16 as of May 4, 2026
Mar 21, 20135 then
Employees (5.A)168 as of May 4, 2026
Mar 21, 201320 then
Private funds2 as of May 4, 2026
Mar 21, 20131 then
RAUM -36% over the last fiscal year-13% a year over threeIARs 15 to 16offices 2 to 3
Practice profile
derived from the filing of May 4, 2026; every figure names its basis
- RAUM per advisor
- $3.4BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 192derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $1.0MderivedHNW RAUM over HNW clients
- Average account
- $15.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 24.0derivedItem 5.A over advisors
- Advisors per office
- 1.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- -36%derivedbetween the last two annual amendments
- Advisor growth, one year
- +6.7%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
- Custody
- $1.2B, 693 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$8.8B37%
- Investment companies$5.2B22%
- Pooled investment vehicles$3.8B16%
- Pension and profit-sharing plans$1.7B7.0%
- State and municipal entities$1.7B6.9%
- High-net-worth individuals$1.4B5.7%
- Corporations and businesses$799M3.3%
- Charitable organizations$437M1.8%
- Sovereign wealth funds$260M1.1%
- Insurance companies$13.2M0.1%
- Individual clients
- 0reported
- HNW clients
- 1,347reported
- Pension plan clients
- 22reported
- Charitable clients
- 42reported
- Accounts
- 1,607reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $3.2B managedreported
- Custody of client assets
- $1.2B for 693 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.06 fund_share=0.74 institutional_share=0.17 related_bd=false related_bank=false bd_reps=35.0derived
Advisors registered through the firm
7 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Edward Gunther | Boca Raton, Fl | Jan 21, 2016 | 24 y | 5 |
| Paul Justin Fitzgerald | Boca Raton, Fl | Apr 13, 2018 | 14 y | 0 |
| Thomas J Abbatacola | Geneva, Il | Dec 18, 2020 | 21 y | 1 |
| Daniel Christiaan Mclennon | Boca Raton, Fl | Jun 13, 2022 | 14 y | 1 |
| Logan Blackwood | Boca Raton, Fl | Oct 15, 2024 | 10 y | 1 |
| Leonardo Gonzalez | Boca Raton, Fl | Jan 6, 2025 | 14 y | 1 |
| Drew A Halperin | Boca Raton, Fl | Jan 15, 2025 | 12 y | 0 |
Advisor movement
4 left, 0 joined in 12 months
net -4 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 57% of current headcount7 left over 36 months
Left, latest
- Gregory Moro to J.P. Morgan Securities LLCMar 30, 2026 · Other
- Benjamin Anthony Menconi to Pgim Investments LLCMar 30, 2026 · Other
- Michael James Oconnor to Hartford FundsJan 21, 2026 · Other
- Steven Jared Zimmerman to Equity Investment CorpJan 21, 2026 · Other
- Henri Juhani Waltteri Pitkanen to Maytech Global InvestmentsAug 22, 2025 · Other
- Alexandra Rose Choinski to Lazard Asset Management LLCApr 8, 2024 · Other
- Magaly H Williams to T. Rowe Price Advisory Services, Inc.Nov 16, 2023 · Other
Joined, latest
- Michael James Oconnor from Amundi Asset Management US, Inc.Mar 26, 2025 · Other
- Leonardo Gonzalez from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 6, 2025 · Other
- Logan Blackwood from Valic Financial Advisors, Inc.Oct 15, 2024 · Other
- Benjamin Anthony Menconi from Strive Asset ManagementSep 12, 2024 · Other
- Steven Jared Zimmerman from Thrivent Asset Management, LLCJul 11, 2024 · Other
- Magaly H Williams from Raymond James & Associates, Inc.Sep 6, 2022 · Other
- Daniel Christiaan Mclennon from Voya Investment Management Co. LLCJun 13, 2022 · Other
- Alexandra Rose Choinski from Raymond James & Associates, Inc.Jul 28, 2021 · Other
- Thomas J Abbatacola from Invesco Advisers, Inc.Dec 18, 2020 · Other
- Gregory Moro from T. Rowe Price Associates, Inc.Sep 25, 2020 · Other
- Henri Juhani Waltteri Pitkanen from Merrill Lynch, Pierce, Fenner & Smith IncorporatedJun 19, 2020 · Other
- John Edward Gunther from Wells Fargo AdvisorsJan 21, 2016 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Polen Capital Focus Growth Fund | Other Private Fund | $118M | 11 | Mar 30, 2023 |
| Polen Partners, L.P.no longer reported | Hedge Fund | $25.5M | 26 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Adam Daniel Davidowitz · Portfolio Manager & Analystcontrolsince 07/2007 · owns less than 5%
- Blackman John Doggett · Chief Administrative Officercontrolsince 09/2020 · owns less than 5%
- M Kevin Dolsen · Head Of Distributioncontrolsince 06/2020 · owns less than 5%
- Beth Diana Downey · Chief Marketing Officercontrolsince 04/2022 · owns less than 5%
- Anson Damon Ficklin · Head Of Team, Portfolio Manager & Analystcontrolsince 01/2021 · owns less than 5%
- David Brian Goldberg · General Counselcontrolsince 10/2014 · owns less than 5%
- Paul James Gruver · Head Of Emea And Apaccontrolsince 04/2023 · owns less than 5%
- Ernest Michael Guarasci · Chief Operating Officercontrolsince 05/2020 · owns less than 5%
- Charles Stanley Moss · Chief Executive Officercontrolsince 07/2007 · owns less than 5%
- Roth Rachel Trock · Chief People Officercontrolsince 04/2022 · owns less than 5%
- Casey Lauren Walsh · Chief Compliance Officercontrolsince 04/2024 · owns less than 5%
- Montgomery Graham Ward · Chief Financial Officercontrolsince 04/2019 · owns less than 5%
- Adam Daniel Davidowitz · Trusteecontrolsince 02/2022 · owns F of Daniel A. Davidowitz Revocable Trust
- Charles Stanley Moss · Trusteecontrolsince 10/2015 · owns F of Stan C. Moss Revocable Trust
- (Nmn) Daniel Polen · Co-Trusteecontrolsince 12/2015 · owns F of Pcmi Exempt Trust F/B/O Daniel Polen
- Enrico Solomon Polen · Co-Trusteecontrolsince 09/2015 · owns F of Pcmi Exempt Trust F/B/O Solomon Polen
Entity owners
- Polen Capital Holdings LP · Memberdirect · owns 50% to 75%
- Coral Gables Trust · Co-Trusteeindirect · owns F of Pcmi Exempt Trust F/B/O Daniel Polen
- Coral Gables Trust · Co-Trusteeindirect · owns F of Pcmi Exempt Trust F/B/O Solomon Polen
- Daniel A. Davidowitz Revocable Trust · Memberindirect · owns 50% to 75% of Polen Capital Holdings Gp LLC
- Daniel A. Davidowitz Revocable Trust · Limited Partnerindirect · owns 25% to 50% of Polen Capital Holdings LP
- Eurazeo Se · Holding Companyindirect · owns 75% or more of Legendre Holding 36
- Im Square Partners Holding · Holding Companyindirect · owns 75% or more of Im Square Holding 1 LLC
- Im Square Sas · Parentindirect · owns 75% or more of Im Square Partners Holding
- Jc Decaux Holding Sas · Shareholderindirect · owns 25% to 50% of Eurazeo Se
- Legendre Holding 36 · Holding Companyindirect · owns 50% to 75% of Im Square Sas
- Pcmi Exempt Trust F/B/O Daniel Polen · Class A Shareholderindirect · owns 25% to 50% of Polen Family Holdings, Inc.
- Pcmi Exempt Trust F/B/O Solomon Polen · Class A Shareholderindirect · owns 25% to 50% of Polen Family Holdings, Inc.
- Polen Capital Holdings Gp LLC · General Partnerindirect · owns F of Polen Capital Holdings LP
- Stan C. Moss Revocable Trust · Limited Partnerindirect · owns 25% to 50% of Polen Capital Holdings LP
- Stan C. Moss Revocable Trust · Memberindirect · owns 50% to 75% of Polen Capital Holdings Gp LLC
- Im Square Holding 1 LLC · Memberdirect · owns 10% to 25%
- Polen Family Holdings, Inc. · Memberdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- Income Partners Asset Management (Hk) Limitedinvestment advisery
- Polen Capital Credit, LLCinvestment adviseryRAUM $6.1B
- Polen Capital Hk Limitedinvestment advisery
- Polen Capital Uk Llpinvestment adviseryRAUM $997,037
- Polen/Gp Strategic Income Plus, LLCpooled vehicle sponsory
- Summit Ridge Capital Partners Ltd.investment advisery
Advisers that list Polen Capital Management, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Boca Raton, Fl · principal | 6 | 0 | 3 | ||
| West Bloomfield, Mi | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- Boston, MA8 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- account count collapseChange between filings · filing Mar 30, 2026accounts (Item 5.F.2.f) moved from 2,732.0 to 1,607.0 (-41.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +4.0% (111 comparable advisers, 3.0th percentile of changes)peers: asset managers, $20B and over (111) · 2.7% percentile
- RAUM down 25 %Change between filings · filing Mar 30, 2026RAUM (Item 5.F) moved from $37,703,918,773 to $24,061,099,864 (-36.0%) between the annual amendments of 2025-03-31 and 2026-03-30; the peer median change was +15.0% (471 comparable advisers, 1.0th percentile of changes)peers: asset managers, $20B and over (471) · 0.6% percentile
What changed
consecutive filings, newest first
- Accounts · 2,732 to 1,607Jan 27, 2026 to Mar 30, 2026
- Advisory employees · 43 to 22Jan 27, 2026 to Mar 30, 2026
- BD registered reps · 45 to 35Jan 27, 2026 to Mar 30, 2026
- Charity clients · 88 to 42Jan 27, 2026 to Mar 30, 2026
- Corporate clients · 90 to 48Jan 27, 2026 to Mar 30, 2026
- HNW clients · 2,277 to 1,347Jan 27, 2026 to Mar 30, 2026
- Individual clients · unset to 0.0Jan 27, 2026 to Mar 30, 2026
- Pension plan clients · 36 to 22Jan 27, 2026 to Mar 30, 2026
- Assets in custody · $1.5B to $1.2BJan 27, 2026 to Mar 30, 2026
- Employees · 229 to 168Jan 27, 2026 to Mar 30, 2026
- State-registered IARs · 15 to 16Jan 27, 2026 to Mar 30, 2026
- Other offices · 2 to 3Jan 27, 2026 to Mar 30, 2026
- Private funds · 1 to 2Jan 27, 2026 to Mar 30, 2026
- Discretionary RAUM · $38B to $24BJan 27, 2026 to Mar 30, 2026
- HNW RAUM · $2.2B to $1.4BJan 27, 2026 to Mar 30, 2026
- Individual RAUM · unset to 0.0Jan 27, 2026 to Mar 30, 2026
- Pension RAUM · $2.5B to $1.7BJan 27, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $5.1B to $3.8BJan 27, 2026 to Mar 30, 2026
- RAUM · $38B to $24BJan 27, 2026 to Mar 30, 2026
- Wrap assets (manager) · $5.2B to $3.2BJan 27, 2026 to Mar 30, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 6, 2025
- Accounts · 3,397 to 2,732May 24, 2024 to Mar 31, 2025
- Advisory employees · 27 to 43May 24, 2024 to Mar 31, 2025
- BD registered reps · 39 to 45May 24, 2024 to Mar 31, 2025
- Charity clients · 113 to 88May 24, 2024 to Mar 31, 2025
- Corporate clients · 110 to 90May 24, 2024 to Mar 31, 2025
- HNW clients · 2,723 to 2,277May 24, 2024 to Mar 31, 2025
- Pension plan clients · 60 to 36May 24, 2024 to Mar 31, 2025
- Pooled vehicle clients · 21 to 18May 24, 2024 to Mar 31, 2025
- Assets in custody · $1.4B to $1.5BMay 24, 2024 to Mar 31, 2025
- Employees · 173 to 229May 24, 2024 to Mar 31, 2025
- State-registered IARs · 14 to 15May 24, 2024 to Mar 31, 2025
- Other offices · 1 to 2May 24, 2024 to Mar 31, 2025
- Discretionary RAUM · $43B to $38BMay 24, 2024 to Mar 31, 2025
- HNW RAUM · $2.5B to $2.2BMay 24, 2024 to Mar 31, 2025
- Pension RAUM · $3.2B to $2.5BMay 24, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $6.7B to $5.1BMay 24, 2024 to Mar 31, 2025
- RAUM · $43B to $38BMay 24, 2024 to Mar 31, 2025
- Wrap assets (manager) · $5.1B to $5.2BMay 24, 2024 to Mar 31, 2025
- Accounts · 3,515 to 3,397Jun 6, 2023 to Mar 27, 2024
Signals
24 dated events
- Gregory Moro left Polen Capital Management, Llc for J.P. Morgan Securities Llc (registered 2026-07-14)Mar 30, 2026 · Advisor changed firm · fact
- Benjamin Anthony Menconi left Polen Capital Management, Llc for Pgim Investments Llc (registered 2026-04-21)Mar 30, 2026 · Advisor changed firm · fact
- Polen Capital Management, Llc reported RAUM $24.1B, down 36% from $37.7B (2026-01-27 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Michael James Oconnor left Polen Capital Management, Llc for Hartford Funds (registered 2026-04-28)Jan 21, 2026 · Advisor changed firm · fact
- Steven Jared Zimmerman left Polen Capital Management, Llc for Equity Investment Corp (registered 2026-01-27)Jan 21, 2026 · Advisor changed firm · fact
- Henri Juhani Waltteri Pitkanen left Polen Capital Management, Llc for Maytech Global Investments (registered 2025-12-17)Aug 22, 2025 · Advisor changed firm · fact
- Franklin Karl Dasher (President) no longer on Schedule A of Polen Capital Management, Llc (listed 2024-04-17, absent 2024-05-24)May 24, 2024 · Control person left · inference
- Casey Lauren Walsh (Chief Compliance Officer) appeared on Schedule A of Polen Capital Management, LlcApr 17, 2024 · Control person joined · fact
- Alexandra Rose Choinski left Polen Capital Management, Llc for Lazard Asset Management Llc (registered 2024-04-30)Apr 8, 2024 · Advisor changed firm · fact
- Paul James Gruver (Head Of Emea And Apac) appeared on Schedule A of Polen Capital Management, LlcMar 27, 2024 · Control person joined · fact
- Magaly H Williams left Polen Capital Management, Llc for T. Rowe Price Advisory Services, Inc. (registered 2024-09-20)Nov 16, 2023 · Advisor changed firm · fact
- Polen Capital Management, Llc reported RAUM $36.0B, down 43% from $63.5B (2022-03-25 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Franklin Karl Dasher (President) appeared on Schedule A of Polen Capital Management, LlcMar 30, 2023 · Control person joined · fact
- Beth Diana Downey (Chief Marketing Officer) appeared on Schedule A of Polen Capital Management, LlcMar 30, 2023 · Control person joined · fact
- Roth Rachel Trock (Chief People Officer) appeared on Schedule A of Polen Capital Management, LlcMar 30, 2023 · Control person joined · fact
- Polen Capital Management, Llc reported RAUM $63.5B, up 38% from $46.0B (2021-03-25 to 2022-03-25)Mar 25, 2022 · RAUM change · derived
- Polen Capital Management, Llc reported RAUM $46.0B, up 68% from $27.3B (2020-12-10 to 2021-03-25)Mar 25, 2021 · RAUM change · derived
- Anson Damon Ficklin (Head Of Team, Portfolio Manager & Analyst) appeared on Schedule A of Polen Capital Management, LlcMar 25, 2021 · Control person joined · fact
- Ernest Michael Guarasci (Chief Operating Officer) appeared on Schedule A of Polen Capital Management, LlcMar 25, 2021 · Control person joined · fact
- M Kevin Dolsen (Head Of Distribution) appeared on Schedule A of Polen Capital Management, LlcMar 25, 2021 · Control person joined · fact
- Montgomery Graham Ward (Chief Financial Officer) appeared on Schedule A of Polen Capital Management, LlcMar 25, 2021 · Control person joined · fact
- Blackman John Doggett (Head Of Corporate Strategy) appeared on Schedule A of Polen Capital Management, LlcMar 25, 2021 · Control person joined · fact
- Polen Capital Management, Llc reported RAUM $27.3B, up 64% from $16.7B (2019-03-28 to 2020-03-27)Mar 27, 2020 · RAUM change · derived
- Polen Capital Management, Llc reported RAUM $14.5B, up 39% from $10.4B (2017-03-27 to 2018-03-28)Mar 28, 2018 · RAUM change · derived
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/polen-capital-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- POLENCAPITAL.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 1-561-241-2425reportedpublic record, Form ADV, May 4, 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
- $3.4Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026