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
Security Capital Research & Management Incorporated
Latest filing Mar 31, 2026
First filing on the tape Nov 30, 2011 · 52 filings
SEC status approved since Feb 10, 1997
RAUM
$3.3B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
3.9%
$129M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
17
17 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
52 filings and snapshots on the tape
RAUM$3.3B as of Mar 31, 2026
Mar 30, 2012$5.3B then
HNW client RAUM$129M as of Mar 31, 2026
Mar 29, 2018$39.3M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)17 as of Mar 31, 2026
Mar 28, 201321 then
Private funds3 as of Mar 31, 2026
Mar 30, 20122 then
RAUM -13% over the last fiscal year-2.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; 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
- $3.5MderivedHNW RAUM over HNW clients
- Average account
- $35.9MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -2.6%derived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, pension consultingreportedItem 5.G
- Custody
- $913M, 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)
- 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
- Pooled investment vehicles$1.2B36%
- Corporations and businesses$785M24%
- Investment companies$547M17%
- State and municipal entities$493M15%
- Charitable organizations$134M4.1%
- High-net-worth individuals$129M3.9%
- Pension and profit-sharing plans$23.8M0.7%
- Individual clients
- 0reported
- HNW clients
- 37reported
- Pension plan clients
- 1reported
- Charitable clients
- 3reported
- Accounts
- 92reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $913M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.04 fund_share=0.52 institutional_share=0.2 related_bd=true related_bank=true bd_reps=1.0derived
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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Preferred Growth LLC | Other Private Fund | $735M | 35 | Mar 30, 2012 |
| Va Income Opportunity Investors LLC | Other Private Fund | $108M | 2 | Mar 30, 2012 |
| Preferred Growth-T LLC | Other Private Fund | $15.4M | 14 | Mar 31, 2014 |
Owners and control persons
Schedule A and B, latest filing
- Mark Steven Greenspan · Directorcontrolsince 03/2006 · owns less than 5%
- Joseph Michael Heller · Director, Managing Director & Chief Financial Officercontrolsince 03/2015 · owns less than 5%
- Russo Anthony Manno · Ceo, President, Director & Managing Directorcontrolsince 07/1996 · owns less than 5%
- Anonuevo Danilo Sanjose · Director, Managing Directorcontrolsince 07/2024 · owns less than 5%
- X Jay Villanueva · Director/Managing Directorcontrolsince 10/2020 · owns less than 5%
- Patrick Craig Livingston · Chief Compliance Officer / Vice Presidentsince 03/2023 · owns less than 5%
- Padraig Ronan O'Comhrai · Chief Legal Officersince 08/2022 · owns less than 5%
Entity owners
- Jpmorgan Asset Management Holdings Inc. · Shareholderdirect · owns 75% or more
- Jpmorgan Chase & Co. · 100% Shareholderindirect · owns 75% or more of Jpmorgan Chase Holdings LLC · public reporting company
- Jpmorgan Chase Holdings LLC · 100% Shareholderindirect · owns 75% or more of Jpmorgan Asset Management Holdings Inc.
Related persons
Schedule D 7.A
- Jpmorgan Alternative Asset Managementinvestment adviserbankpooled vehicle sponsorLP sponsornRAUM $30B
- J.P. Morgan Institutional Investmentsbroker-dealernRAUM $14B
- J.P. Morgan Investment Management Inc.investment adviserbankpooled vehicle sponsorLP sponsornRAUM $3519B
- Jpmorgan Chase Bank, N.A.investment adviserbankpooled vehicle sponsorCPO or CTAcustodiann
Advisers that list Security Capital Research & Management Incorporated as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 113 to 92Sep 30, 2025 to Mar 31, 2026
- Advisory employees · 18 to 17Sep 30, 2025 to Mar 31, 2026
- BD registered reps · 2 to 1Sep 30, 2025 to Mar 31, 2026
- Charity clients · 4 to 3Sep 30, 2025 to Mar 31, 2026
- HNW clients · 38 to 37Sep 30, 2025 to Mar 31, 2026
- Pension plan clients · 2 to 1Sep 30, 2025 to Mar 31, 2026
- Assets in custody · $968M to $913MSep 30, 2025 to Mar 31, 2026
- Employees · 18 to 17Sep 30, 2025 to Mar 31, 2026
- Discretionary RAUM · $3.8B to $3.3BSep 30, 2025 to Mar 31, 2026
- HNW RAUM · $138M to $129MSep 30, 2025 to Mar 31, 2026
- Pension RAUM · $471M to $23.8MSep 30, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.1B to $1.2BSep 30, 2025 to Mar 31, 2026
- RAUM · $3.8B to $3.3BSep 30, 2025 to Mar 31, 2026
- Accounts · 145 to 113Aug 30, 2024 to Mar 21, 2025
- Advisory activities · 3 to 4Aug 30, 2024 to Mar 21, 2025
- Corporate clients · 9 to 6Aug 30, 2024 to Mar 21, 2025
- Pension plan clients · 4 to 2Aug 30, 2024 to Mar 21, 2025
- Assets in custody · $859M to $968MAug 30, 2024 to Mar 21, 2025
- Financial planning clients · unset to Aug 30, 2024 to Mar 21, 2025
- Discretionary RAUM · $4.0B to $3.8BAug 30, 2024 to Mar 21, 2025
- HNW RAUM · $131M to $138MAug 30, 2024 to Mar 21, 2025
- Pension RAUM · $537M to $471MAug 30, 2024 to Mar 21, 2025
- Pooled vehicle RAUM · $1.0B to $1.1BAug 30, 2024 to Mar 21, 2025
- RAUM · $4.0B to $3.8BAug 30, 2024 to Mar 21, 2025
- Accounts · 146 to 145Jul 20, 2023 to Mar 26, 2024
- Advisory employees · 20 to 18Jul 20, 2023 to Mar 26, 2024
- Corporate clients · 10 to 9Jul 20, 2023 to Mar 26, 2024
- HNW clients · 39 to 38Jul 20, 2023 to Mar 26, 2024
- Assets in custody · $810M to $859MJul 20, 2023 to Mar 26, 2024
- Employees · 20 to 18Jul 20, 2023 to Mar 26, 2024
- Discretionary RAUM · $3.6B to $4.0BJul 20, 2023 to Mar 26, 2024
- HNW RAUM · $118M to $131MJul 20, 2023 to Mar 26, 2024
- Pension RAUM · $370M to $537MJul 20, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $951M to $1.0BJul 20, 2023 to Mar 26, 2024
- RAUM · $3.6B to $4.0BJul 20, 2023 to Mar 26, 2024
- Accounts · 134 to 146Nov 4, 2022 to Mar 30, 2023
- Charity clients · 2 to 4Nov 4, 2022 to Mar 30, 2023
- HNW clients · 24 to 39Nov 4, 2022 to Mar 30, 2023
- Pension plan clients · 6 to 4Nov 4, 2022 to Mar 30, 2023
- Assets in custody · $1.3B to $810MNov 4, 2022 to Mar 30, 2023
Signals
15 dated events
- Le-Ellen Spelman (Director / Managing Director) no longer on Schedule A of Security Capital Research & Management Incorporated (listed 2024-03-26, absent 2024-08-30)Aug 30, 2024 · Control person left · inference
- Anonuevo Danilo Sanjose (Director, Managing Director) appeared on Schedule A of Security Capital Research & Management IncorporatedAug 30, 2024 · Control person joined · fact
- Wendell Kevin Bedell (Managing Director) no longer on Schedule A of Security Capital Research & Management Incorporated (listed 2023-03-30, absent 2023-07-20)Jul 20, 2023 · Control person left · inference
- Dale Kenneth Statz (Managing Director) no longer on Schedule A of Security Capital Research & Management Incorporated (listed 2023-03-30, absent 2023-07-20)Jul 20, 2023 · Control person left · inference
- Security Capital Research & Management Incorporated reported RAUM $3.6B, down 37% from $5.7B (2022-11-04 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Security Capital Research & Management Incorporated reported RAUM $5.7B, up 34% from $4.3B (2022-01-28 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Sandra Belmonti (Director / Executive Director) no longer on Schedule A of Security Capital Research & Management Incorporated (listed 2020-10-23, absent 2021-02-09)Feb 9, 2021 · Control person left · inference
- Cyriel Anton Pil (Director/Global Head Of Jpmorgan Asset Management Alternatives/Managing Director) no longer on Schedule A of Security Capital Research & Management Incorporated (listed 2020-10-23, absent 2021-02-09)Feb 9, 2021 · Control person left · inference
- Elisabeth Jennifer Mcgrew (Director / Executive Director) no longer on Schedule A of Security Capital Research & Management Incorporated (listed 2020-10-23, absent 2021-02-09)Feb 9, 2021 · Control person left · inference
- Le-Ellen Spelman (Managing Director) appeared on Schedule A of Security Capital Research & Management IncorporatedFeb 9, 2021 · Control person joined · fact
- X Jay Villanueva (Executive Director) appeared on Schedule A of Security Capital Research & Management IncorporatedFeb 9, 2021 · Control person joined · fact
- Elisabeth Jennifer Mcgrew (Executive Director) appeared on Schedule A of Security Capital Research & Management IncorporatedNov 6, 2019 · Control person joined · fact
- Sandra Belmonti (Executive Director) appeared on Schedule A of Security Capital Research & Management IncorporatedNov 6, 2019 · Control person joined · fact
- Thomas Richard Madsen (Director) no longer on Schedule A of Security Capital Research & Management Incorporated (listed 2019-06-12, absent 2019-11-06)Nov 6, 2019 · Control person left · inference
- John Lawrence Fuchs (Managing Director) no longer on Schedule A of Security Capital Research & Management Incorporated (listed 2019-06-12, absent 2019-11-06)Nov 6, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Security Capital Research & Management Incorporated · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- securitycapital.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 312-385-8320reportedpublic record, Form ADV, Mar 31, 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
- Other 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