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
Victory Capital Management Inc.
Latest filing Aug 5, 2026
First filing on the tape Dec 1, 2011 · 43 filings
SEC status approved since May 10, 1994
RAUM
$283B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.5%
$1.3B individuals and HNW
Advisors
102
registered through the firm on IAPD
RAUM per advisor
$2.8B
derived; firm RAUM over IAPD count
Employees
699
170 advisory (5.B.1)
Offices
8
beyond the principal office
Private funds
20
reported on Schedule D
History
43 filings and snapshots on the tape
RAUM$283B as of Aug 5, 2026
Mar 26, 2012$26B then
HNW client RAUM$94.0M as of Aug 5, 2026
Mar 30, 2018$370M then
State-registered IARs (5.B.3)107 as of Aug 5, 2026
Mar 27, 20139 then
Employees (5.A)699 as of Aug 5, 2026
Mar 27, 2013144 then
Private funds20 as of Aug 5, 2026
Mar 26, 20121 then
RAUM +86% over the last fiscal year+26% a year over threeIARs 60 to 107offices 11 to 8
Practice profile
derived from the filing of Aug 5, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $2.8BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 32derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $2.5MderivedHNW RAUM over HNW clients
- Average account
- $69.6MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 6.3%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 6.9derivedItem 5.A over advisors
- Advisors per office
- 11.3derived9 offices incl. principal (1.F.5)
- RAUM growth, one year
- +86%derivedbetween the last two annual amendments
- Advisor growth, one year
- +78%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +42%derived
- Compensation
- percentage of assets, fixed fees, 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 companies, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $453M, 3 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)
- 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)
- a related person has custody of client cash (9.B.1.a)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$200B71%
- Pooled investment vehicles$50B18%
- Corporations and businesses$8.9B3.2%
- Pension and profit-sharing plans$6.2B2.2%
- State and municipal entities$4.5B1.6%
- Sovereign wealth funds$3.9B1.4%
- Charitable organizations$1.9B0.7%
- Insurance companies$1.4B0.5%
- Individuals$1.2B0.4%
- Banks and thrifts$1.2B0.4%
- High-net-worth individuals$94.0M0.0%
- Individual clients
- 3,238reported
- HNW clients
- 37reported
- Pension plan clients
- 85reported
- Charitable clients
- 45reported
- Accounts
- 4,061reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $1.1B managedreported
- Custody of client assets
- $453M for 3 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.89 institutional_share=0.06 related_bd=true related_bank=false bd_reps=225.0derived
Advisors registered through the firm
102 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| John Thomas Mccauley | Cleveland, Oh | Jun 17, 2004 | 28 y | 0 |
| Jason Steven Knapp | Brooklyn, Oh | Dec 7, 2004 | 25 y | 1 |
| Garrett William Kelley | Manhattan Beach, Ca | Sep 24, 2014 | 31 y | 4 |
| James E Fagan | San Antonio, Tx | Oct 27, 2014 | 29 y | 3 |
| Gary Stanley Goska | Pewaukee, Wi | May 1, 2015 | 21 y | 2 |
| Kurt Kenneth Blanz | Moraga, Ca | Jul 28, 2015 | 24 y | 3 |
| Joseph Michael Balestra | Sagamore Hills, Oh | Jan 8, 2018 | 32 y | 2 |
| Nicholas Matthew Peiffer | San Antonio, Tx | Sep 6, 2018 | 21 y | 1 |
| Christopher M Miller | San Antonio, Tx | Jul 10, 2019 | 20 y | 3 |
| Jonathan Charles Goss | San Antonio, Tx | Jul 11, 2019 | 11 y | 5 |
| Gerald Steven Reed | San Antonio, Tx | Jul 15, 2019 | 18 y | 5 |
| Dale Brent Rowse | San Antonio, Tx | Aug 29, 2019 | 15 y | 5 |
| Shana Lynn Cantu | San Antonio, Tx | Jan 21, 2021 | 13 y | 2 |
| Patrick Thomas Groh | San Antonio, Tx | Jan 21, 2021 | 28 y | 4 |
| Christopher Castillo | San Antonio, Tx | Jan 21, 2021 | 22 y | 3 |
| Kenneth Wade Lutz | San Antonio, Tx | Jan 22, 2021 | 19 y | 4 |
| Stephen Edward Shadrock | San Antonio, Tx | Jan 22, 2021 | 17 y | 4 |
| John Wesley Rankin | San Antonio, Tx | Jan 22, 2021 | 27 y | 3 |
| Jeffrey Cody Garcia | San Antonio, Tx | Apr 13, 2021 | 19 y | 3 |
| Michael John Esquivel | San Antonio, Tx | May 3, 2021 | 27 y | 1 |
| Sean Michael Salinas | San Antonio, Tx | May 10, 2021 | 19 y | 0 |
| Manuel Perez | San Antonio, Tx | Jun 1, 2021 | 14 y | 2 |
| Clarissa Velez | San Antonio, Tx | Jun 1, 2021 | 21 y | 3 |
| Jesus Anselmo Chavez | San Antonio, Tx | Jun 2, 2021 | 26 y | 3 |
| Dustie Lynn Hill | San Antonio, Tx | Jun 3, 2021 | 19 y | 3 |
| Sonia Elias Shipp | San Antonio, Tx | Jun 3, 2021 | 29 y | 3 |
| Paul Edward Perez | San Antonio, Tx | Jun 3, 2021 | 9 y | 2 |
| Adam James Cook | San Antonio, Tx | Jun 3, 2021 | 30 y | 3 |
| David Walter Lipinski | San Antonio, Tx | Jun 3, 2021 | 25 y | 5 |
| Diane Katherine Hernandez | San Antonio, Tx | Jun 4, 2021 | 27 y | 3 |
| Jon Michael Green | San Antonio, Tx | Jun 4, 2021 | 26 y | 3 |
| Jennifer Marie Romo | San Antonio, Tx | Jun 4, 2021 | 18 y | 3 |
| Ada Margaret Brewster | San Antonio, Tx | Jun 4, 2021 | 13 y | 4 |
| Mary Elizabeth Eisinger | San Antonio, Tx | Jun 4, 2021 | 23 y | 5 |
| Carolyn Suzanne Carrillo | San Antonio, Tx | Jun 4, 2021 | 29 y | 3 |
| Noe Jose Fernandez | San Antonio, Tx | Sep 1, 2021 | 19 y | 3 |
| Rhonda Rene Garcia | San Antonio, Tx | Oct 19, 2021 | 33 y | 3 |
| Irene Myriam Gill | San Antonio, Tx | Jan 26, 2022 | 16 y | 3 |
| Robert Lee Wells | San Antonio, Tx | Apr 4, 2022 | 21 y | 5 |
| Charles B Mathes | San Antonio, Tx | Jul 6, 2022 | 15 y | 1 |
Advisor movement
11 left, 8 joined in 12 months
net -3 in 12 months2 left in 90 days3 joined in 90 daysdeparture rate 11% of current headcount21 left over 36 months
Left, latest
- Andrew Raymond Williams to Blackrock Investment Management, LLCAug 17, 2026 · Other
- Cameron Richard Knight to Swbc Investment CompanyAug 12, 2026 · Other
- Adam Lewin to LPL Financial LLCJun 12, 2026 · Other
- Benjamin Lopez to J.P. Morgan Securities LLCMay 27, 2026 · Other
- John Francis Korn to Private Advisor Group, LLCMay 5, 2026 · Other
- Judith Phu to Citigroup Global Markets Inc.Apr 8, 2026 · Other
- Richard Alan Edgett to Strategic Financial Concepts, LLCFeb 11, 2026 · Other
- Patrick Carbone to Neuberger Berman Bd LLCFeb 4, 2026 · Other
- Ronald Winston Cato to Capital Client Group, Inc.Oct 10, 2025 · Other
- Shannon Edward Gillis to Integrity Alliance, LLCSep 22, 2025 · Other
- George E. Rogers to J.P. Morgan Securities LLCSep 22, 2025 · Other
- Russell Sully to Morgan StanleySep 15, 2025 · Other
- Brian Shaw O'Connor to Merrill Lynch, Pierce, Fenner & Smith IncorporatedAug 14, 2025 · Other
- Thomas James Coy to Wela Financial AdvisoryJul 16, 2025 · Other
- Louis Augustus Fennell to New York Life Investment Management LLCMay 8, 2025 · Other
Joined, latest
- James Murphy Brown from Nomura Investment Management Business TrustJul 22, 2026 · Other
- Marie Rose Zoutomou Hockaday from First Citizens Investor Services, Inc.Jul 8, 2026 · Other
- Tyler Haines from T. Rowe Price Associates, Inc.Jun 22, 2026 · Other
- Brandon Locke Daniels from Advisors Asset Management, Inc.Oct 2, 2025 · Other
- Brian Dominic Giue from Commonwealth Financial NetworkSep 18, 2025 · Other
- Michael John Mahoney from John Hancock Investment Management LLCSep 18, 2025 · Other
- Jimmy Roberto Bueso from Citigroup Global Markets Inc.Sep 18, 2025 · Other
- Brian Craig Byers from Usaa Investment Services CompanySep 17, 2025 · Other
- Thomas James Coy from Alliancebernstein L.P.Jun 9, 2025 · Other
- Daniel Enrique Ortega from Frost Investment Advisors, LLCMay 29, 2025 · Other
- Benjamin Lopez from MML Investors Services, LLCMay 5, 2025 · Other
- Darren Brian Armstrong from Equitable Advisors, LLCMay 2, 2025 · Other
- Richard Alan Edgett from Edward JonesJan 8, 2025 · Other
- Ronald Winston Cato from Westwood Management CorpJun 6, 2024 · Other
- Austin Wallace List from Capital Client Group, Inc.Jan 17, 2024 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 left for LPL Financial LLCMay 3, 2023 · San Antonio, Tx
- 2 joined from Usaa Investment Services CompanyJan 13, 2021 · San Antonio, Tx
- 2 joined from J.P. Morgan Securities LLCAug 28, 2019 · San Antonio, Tx
- 4 joined from J.P. Morgan Securities LLCJun 11, 2019 · San Antonio, Tx
Private funds
23 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Necicf II Aggregator 2, LLC | Private Equity Fund | $527M | 114 | Mar 29, 2024 |
| New Energy Capital Infrastructure Credit Fund II, LP | Private Equity Fund | $391M | 98 | Mar 27, 2019 |
| Necicf II Aiv2, LP | Private Equity Fund | $359M | 90 | Mar 29, 2024 |
| Nec Fund Vi Aggregator, LLC | Private Equity Fund | $139M | 75 | Mar 29, 2024 |
| New Energy Capital Infrastructure Credit Fund, LP | Private Equity Fund | $99.5M | 95 | Mar 20, 2017 |
| Necicf II Cayman Blocker Corp. | Private Equity Fund | $84.9M | 15 | Mar 29, 2024 |
| New Energy Capital Infrastructure Offshore Credit Fund II, LP | Private Equity Fund | $84.9M | 15 | Mar 27, 2019 |
| Nec Fund Vi Aiv, L.P. | Private Equity Fund | $76.7M | 54 | Mar 29, 2024 |
| Nec Fund Vi, L.P. | Private Equity Fund | $76.7M | 54 | Mar 29, 2024 |
| Victory Thb Smallcap Fund, LLC | Hedge Fund | $52.1M | 3 | Mar 27, 2012 |
| New Energy Capital Infrastructure Credit Fund II-A, LP | Private Equity Fund | $51.8M | 1 | Mar 27, 2019 |
| Nec Fund Vi (Signature), L.P. | Private Equity Fund | $35.0M | 1 | Mar 29, 2024 |
| Necicf II Aiv2 Lpi (Blocker), LLC | Private Equity Fund | $31.4M | 8 | Mar 29, 2024 |
| Necicf II Aiv2-B, LP | Private Equity Fund | $31.4M | 8 | Mar 29, 2024 |
| Necic Cayman Blocker LLC | Private Equity Fund | $27.9M | 7 | Mar 29, 2024 |
| New Energy Capital Infrastructure Offshore Credit Fund, LP | Private Equity Fund | $27.9M | 7 | Mar 20, 2017 |
| Nec Fund Vi (Offshore) Blocker Corp. | Private Equity Fund | $27.1M | 20 | Mar 29, 2024 |
| Nec Fund Vi (Offshore), L.P. | Private Equity Fund | $27.1M | 20 | Mar 29, 2024 |
| Victory Capital Series, LLC - International Small Cap Portfolio (Series C)no longer reported | Other Private Fund | $23.4M | 2 | Dec 1, 2011 |
| Nec Cleantech Infrastructure Fund, L.P. | Private Equity Fund | $2.5M | 2 | Mar 6, 2012 |
| Victory Hashdex Nasdaq Crypto Index Fund LLC | Other Private Fund | $1.9M | 19 | Dec 1, 2021 |
| Nec Fund Vi Aiv (Blocker), LLC | Private Equity Fund | $0 | 0 | Mar 29, 2024 |
| Nec Fund Vi Aiv-B, L.P. | Private Equity Fund | $0 | 0 | Mar 29, 2024 |
Owners and control persons
Schedule A and B, latest filing
- Craig David Brown · Chief Executive Officer, Chairman, Directorcontrolsince 02/2011 · owns less than 5%
- Nina Gupta · Chief Legal Officer, Secretary, Directorcontrolsince 07/2016 · owns less than 5%
- Stefan Barry Garrett · Chief Compliance Officersince 06/2022 · owns less than 5%
- Dennis Michael Policarpo · President, Chief Financial Officer & Chief Administrative Officer, Directorsince 08/2013 · owns less than 5%
Entity owners
- Victory Capital Operating, LLC · Shareholderdirect · owns 75% or more
- Vch Holdings, LLC · Memberindirect · owns 75% or more of Victory Capital Operating, LLC
- Victory Capital Holdings, Inc. · Shareholderindirect · owns 75% or more of Vch Holdings, LLC · public reporting company
Related persons
Schedule D 7.A
- M. Curtis Whittakerpooled vehicle sponsorn
- Nec Af2 Gp Partner, LLCpooled vehicle sponsorn
- Nec Fund Vi Gp, LLCpooled vehicle sponsorn
- Nec Fund Vi Slp, L.P.pooled vehicle sponsorn
- Nec Pipeline, LLCpooled vehicle sponsorn
- Necic Gp, LLCpooled vehicle sponsorn
- Necicf II Gp, LLCpooled vehicle sponsorn
- New Energy Capital Partners Gp, LLCpooled vehicle sponsorn
- Rs Investment Management (Singapore) Pte. Ltd.investment advisern
- Rs Investments (Uk) Limitedinvestment advisern
- Victory Capital Services, Inc.broker-dealern
- Westend Advisors, LLCinvestment advisernRAUM $1.9B
Advisers that list Victory Capital Management Inc. as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| San Antonio, Tx · principal | 79 | 25 | 10 | ||
| Boston, Ma | 24 | 15 | 0 | ||
| Bayville, Ny | 0 | 0 | 0 | ||
| Concord, Nc | 0 | 0 | 0 | ||
| Rockville Centre, Ny | 0 | 0 | 1 |
Offices
Schedule D 1.F, the 25 largest
- San Francisco, CA22 employees
- Brooklyn, OH15 employees
- Cincinnati, OH14 employees
- Rocky River, OH13 employees
- Boston, MA8 employees
- Des Moines, IA7 employees
- New York, NY6 employees
- Norwalk, CT6 employees
- Hanover, NH6 employees
- Birmingham, MI6 employees
ADV anomalies
4 against comparable advisers; where to look, not conclusions
- account count surgeChange between filings · filing Mar 27, 2026accounts (Item 5.F.2.f) moved from 2,566.0 to 4,061.0 (+58.0%) between the annual amendments of 2025-04-08 and 2026-03-27; the peer median change was +4.0% (111 comparable advisers, 95.0th percentile of changes)peers: asset managers, $20B and over (111) · 95% percentile
- advisor count surgeChange between filings · filing Mar 27, 2026advisory representatives (Item 5.B.3) moved from 60.0 to 107.0 (+78.0%) between the annual amendments of 2025-04-08 and 2026-03-27; the peer median change was +3.0% (51 comparable advisers, 96.0th percentile of changes)peers: asset managers, $20B and over (51) · 96% percentile
- employee count surgeChange between filings · filing Mar 27, 2026employees (Item 5.A) moved from 460.0 to 699.0 (+52.0%) between the annual amendments of 2025-04-08 and 2026-03-27; the peer median change was +3.0% (462 comparable advisers, 97.0th percentile of changes)peers: asset managers, $20B and over (462) · 97% percentile
- RAUM up 50 %Change between filings · filing Mar 27, 2026RAUM (Item 5.F) moved from $152,291,202,954 to $282,713,179,656 (+86.0%) between the annual amendments of 2025-04-08 and 2026-03-27; the peer median change was +15.0% (471 comparable advisers, 96.0th percentile of changes)peers: asset managers, $20B and over (471) · 96% percentile
What changed
consecutive filings, newest first
- Accounts · 2,566 to 4,061Dec 10, 2025 to Mar 27, 2026
- Advisory employees · 135 to 170Dec 10, 2025 to Mar 27, 2026
- BD registered reps · 189 to 225Dec 10, 2025 to Mar 27, 2026
- Charity clients · 40 to 45Dec 10, 2025 to Mar 27, 2026
- Corporate clients · 82 to 116Dec 10, 2025 to Mar 27, 2026
- HNW clients · 55 to 37Dec 10, 2025 to Mar 27, 2026
- Individual clients · 2,252 to 3,238Dec 10, 2025 to Mar 27, 2026
- Pension plan clients · 50 to 85Dec 10, 2025 to Mar 27, 2026
- Pooled vehicle clients · 22 to 75Dec 10, 2025 to Mar 27, 2026
- Assets in custody · $545M to $453MDec 10, 2025 to Mar 27, 2026
- Employees · 460 to 699Dec 10, 2025 to Mar 27, 2026
- Insurance-licensed employees · 0 to 13Dec 10, 2025 to Mar 27, 2026
- State-registered IARs · 60 to 107Dec 10, 2025 to Mar 27, 2026
- Discretionary RAUM · $152B to $279BDec 10, 2025 to Mar 27, 2026
- HNW RAUM · $154M to $94.0MDec 10, 2025 to Mar 27, 2026
- Individual RAUM · $609M to $1.2BDec 10, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $0 to $3.4BDec 10, 2025 to Mar 27, 2026
- Pension RAUM · $2.0B to $6.2BDec 10, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $12B to $50BDec 10, 2025 to Mar 27, 2026
- RAUM · $152B to $283BDec 10, 2025 to Mar 27, 2026
- Wrap assets (manager) · $765M to $1.1BDec 10, 2025 to Mar 27, 2026
- Other offices · 11 to 8Apr 8, 2025 to Oct 7, 2025
- Accounts · 2,923 to 2,566Mar 29, 2024 to Apr 8, 2025
- Advisory employees · 162 to 135Mar 29, 2024 to Apr 8, 2025
- Corporate clients · 84 to 82Mar 29, 2024 to Apr 8, 2025
- HNW clients · 70 to 55Mar 29, 2024 to Apr 8, 2025
- Individual clients · 2,178 to 2,252Mar 29, 2024 to Apr 8, 2025
- Pension plan clients · 54 to 50Mar 29, 2024 to Apr 8, 2025
- Pooled vehicle clients · 16 to 22Mar 29, 2024 to Apr 8, 2025
- Assets in custody · $514M to $545MMar 29, 2024 to Apr 8, 2025
- Employees · 481 to 460Mar 29, 2024 to Apr 8, 2025
- Financial planning clients · unset to Mar 29, 2024 to Apr 8, 2025
- State-registered IARs · 83 to 60Mar 29, 2024 to Apr 8, 2025
- Other offices · 10 to 11Mar 29, 2024 to Apr 8, 2025
- Private funds · 21 to 20Mar 29, 2024 to Apr 8, 2025
- Discretionary RAUM · $151B to $152BMar 29, 2024 to Apr 8, 2025
- HNW RAUM · $188M to $154MMar 29, 2024 to Apr 8, 2025
- Individual RAUM · $560M to $609MMar 29, 2024 to Apr 8, 2025
- Pension RAUM · $2.0B to $2.0BMar 29, 2024 to Apr 8, 2025
- Pooled vehicle RAUM · $7.5B to $12BMar 29, 2024 to Apr 8, 2025
Signals
60 dated events
- Gerald Steven Reed no longer holds an investment adviser registration (last listed at Victory Capital Management Inc. on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Patrick Thomas Groh no longer holds an investment adviser registration (last listed at Victory Capital Management Inc. on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Jeffrey Cody Garcia no longer holds an investment adviser registration (last listed at Victory Capital Management Inc. on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Joseph Isaiah Morris no longer holds an investment adviser registration (last listed at Victory Capital Management Inc. on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Joshua Eugene Johnson Garcia no longer holds an investment adviser registration (last listed at Victory Capital Management Inc. on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Christopher Castillo no longer holds an investment adviser registration (last listed at Victory Capital Management Inc. on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Jesus Anselmo Chavez no longer holds an investment adviser registration (last listed at Victory Capital Management Inc. on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Irene Myriam Gill no longer holds an investment adviser registration (last listed at Victory Capital Management Inc. on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Brandon Locke Daniels no longer holds an investment adviser registration (last listed at Victory Capital Management Inc. on the 2026-09-16 feed)Sep 16, 2026 · Advisor registration ended · derived
- Andrew Raymond Williams left Victory Capital Management Inc. for Blackrock Investment Management, Llc (registered 2026-09-02)Aug 17, 2026 · Advisor changed firm · fact
- Cameron Richard Knight left Victory Capital Management Inc. for Swbc Investment Company (registered 2026-08-21)Aug 12, 2026 · Advisor changed firm · fact
- Adam Lewin left Victory Capital Management Inc. for Lpl Financial Llc (registered 2026-06-15)Jun 12, 2026 · Advisor changed firm · fact
- Benjamin Lopez left Victory Capital Management Inc. for J.P. Morgan Securities Llc (registered 2026-08-28)May 27, 2026 · Advisor changed firm · fact
- John Francis Korn left Victory Capital Management Inc. for Private Advisor Group, Llc (registered 2026-05-05)May 5, 2026 · Advisor changed firm · fact
- Judith Phu left Victory Capital Management Inc. for Citigroup Global Markets Inc. (registered 2026-05-05)Apr 8, 2026 · Advisor changed firm · fact
- Victory Capital Management Inc. reported 107 state-registered advisory representatives, up from 60 (2025-12-10 to 2026-03-27)Mar 27, 2026 · Advisor headcount change · derived
- Victory Capital Management Inc. reported RAUM $282.7B, up 86% from $152.3B (2025-12-10 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Richard Alan Edgett left Victory Capital Management Inc. for Strategic Financial Concepts, Llc (registered 2026-05-01)Feb 11, 2026 · Advisor changed firm · fact
- Patrick Carbone left Victory Capital Management Inc. for Neuberger Berman Bd Llc (registered 2026-02-04)Feb 4, 2026 · Advisor changed firm · fact
- Ronald Winston Cato left Victory Capital Management Inc. for Capital Client Group, Inc. (registered 2026-07-27)Oct 10, 2025 · Advisor changed firm · fact
- George E. Rogers left Victory Capital Management Inc. for J.P. Morgan Securities Llc (registered 2025-11-13)Sep 22, 2025 · Advisor changed firm · fact
- Shannon Edward Gillis left Victory Capital Management Inc. for Integrity Alliance, Llc (registered 2025-10-15)Sep 22, 2025 · Advisor changed firm · fact
- Russell Sully left Victory Capital Management Inc. for Morgan Stanley (registered 2025-09-24)Sep 15, 2025 · Advisor changed firm · fact
- Brian Shaw O'Connor left Victory Capital Management Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-09-08)Aug 14, 2025 · Advisor changed firm · fact
- Thomas James Coy left Victory Capital Management Inc. for Wela Financial Advisory (registered 2025-07-03)Jul 16, 2025 · Advisor changed firm · fact
- Joseph Bernard Powers left Victory Capital Management Inc. for Charles Schwab & Co., Inc. (registered 2026-01-08)May 8, 2025 · Advisor changed firm · fact
- Louis Augustus Fennell left Victory Capital Management Inc. for New York Life Investment Management Llc (registered 2025-12-26)May 8, 2025 · Advisor changed firm · fact
- Victory Capital Management Inc. reported 60 state-registered advisory representatives, down from 83 (2024-03-29 to 2025-04-08)Apr 8, 2025 · Advisor headcount change · derived
- Timothy Benjamin Eastman left Victory Capital Management Inc. for Frost Investment Services (registered 2025-08-20)Nov 20, 2024 · Advisor changed firm · fact
- John P Hernandez left Victory Capital Management Inc. for Frost Investment Services (registered 2025-10-29)Oct 9, 2024 · Advisor changed firm · fact
Across DFX
shared identifiers only, never a name match
- Victory Capital Management Inc. · Independent Sponsorsshared crd · capital_provider
- Victory Capital Management Inc. · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/new-energy-capital-/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Firm profile
- linkedin.com/company/rs-investmentsreportedpublic record, Form ADV, Sep 17, 2026
- Website
- newenergycapital.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 877-660-4400reportedpublic record, Form ADV, Aug 5, 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
- $2.8Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026