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
Galliard Capital Management
Legal name Galliard Capital Management, LLC
Latest filing Mar 20, 2026
First filing on the tape Feb 27, 2012 · 62 filings
SEC status approved since Aug 10, 1995
RAUM
$80B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
89
20 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
62 filings and snapshots on the tape
RAUM$80B as of Mar 20, 2026
Mar 29, 2012$73B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 20, 2026
Mar 27, 20130 then
Employees (5.A)89 as of Mar 20, 2026
Mar 27, 201397 then
Private funds3 as of Mar 20, 2026
Mar 25, 20243 then
RAUM -0.1% over the last fiscal year-4.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
- 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $304MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 80%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
- -0.1%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 feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Custody
- $430M, 5 clientsreportedItem 9.A
- Ownership
- a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$34B43%
- State and municipal entities$27B34%
- Pooled investment vehicles$14B17%
- Charitable organizations$3.0B3.8%
- Insurance companies$757M1.0%
- Investment companies$602M0.8%
- Corporations and businesses$285M0.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 104reported
- Charitable clients
- 15reported
- Accounts
- 264reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $430M for 5 clientsreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.18 institutional_share=0.8 related_bd=true related_bank=true bd_reps=0.0derived
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 |
|---|---|---|---|---|
| Galliard Intermediate Aggregate Fund, LLC | Other Private Fund | $0 | 0 | Sep 29, 2023 |
| Galliard Short Core Fund, LLC | Other Private Fund | $0 | 0 | Sep 29, 2023 |
| Galliard Broad Market Core Fund, LLC | Other Private Fund | $0 | 0 | Sep 29, 2023 |
Owners and control persons
Schedule A and B, latest filing
- Werner Paul Felsch · Chief Compliance Officercontrolsince 02/2023 · owns less than 5%
- (Nmn) Ajay Mirza · Senior Managing Principalcontrolsince 01/2020 · owns less than 5%
- David Michael Norman · President And Senior Managing Principalcontrolsince 10/2022 · owns less than 5%
- Clements Sallie Squire · Chief Operations Officercontrolsince 02/2023 · owns less than 5%
- Janecka Annette Lege · Managercontrolsince 08/2024 · owns F of Allspring Global Investments Holdings, LLC
- Clements Sallie Squire · Managercontrolsince 11/2021 · owns F of Allspring Global Investments Holdings, LLC
- Andrew Joseph Sullivan · Managercontrolsince 11/2021 · owns F of Allspring Global Investments Holdings, LLC
Entity owners
- Allspring Global Investments Holdings, LLC · Direct Parent Companydirect · owns 75% or more
- Allspring Buyer, LLC · Shareholderindirect · owns 75% or more of Allspring Global Investments Holdings, LLC
- Allspring Group Holdings, LLC · Shareholderindirect · owns 75% or more of Allspring Intermediate I, LLC
- Allspring Intermediate I, LLC · Shareholderindirect · owns 75% or more of Allspring Intermediate II, LLC
- Allspring Intermediate II, LLC · Shareholderindirect · owns 75% or more of Allspring Buyer, LLC
- Gtcr Fund Xiii/B LP · Shareholderindirect · owns 25% to 50% of Allspring Group Holdings, LLC
- Gtcr Investment Xiii LLC · General Partnerindirect · owns F of Gtcr Partners Xiii/B LP
- Gtcr Partners Xiii/B LP · General Partnerindirect · owns F of Gtcr Fund Xiii/B LP
Related persons
Schedule D 7.A
- Allspring Funds Distributor, LLCbroker-dealern
- Allspring Funds Management, LLCinvestment adviserbankpooled vehicle sponsornRAUM $325B
- Allspring Global Investments (Hong Kong) Limitedbroker-dealerinvestment advisern
- Allspring Global Investments (Japan) Limitedinvestment advisern
- Allspring Global Investments (Singapore) Pte. Ltd.broker-dealerinvestment advisernRAUM $894M
- Allspring Global Investments (Uk) Limitedinvestment adviserbankpooled vehicle sponsornRAUM $31B
- Allspring Global Investments Luxembourg S.A.investment adviserpooled vehicle sponsorn
- Allspring Global Investments, LLCinvestment adviserbankpooled vehicle sponsornRAUM $476B
Advisers that list Galliard Capital Management as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 267 to 264Jul 2, 2025 to Mar 20, 2026
- Charity clients · 17 to 15Jul 2, 2025 to Mar 20, 2026
- Pension plan clients · 103 to 104Jul 2, 2025 to Mar 20, 2026
- Pooled vehicle clients · 6 to 4Jul 2, 2025 to Mar 20, 2026
- Assets in custody · $114M to $430MJul 2, 2025 to Mar 20, 2026
- Employees · 94 to 89Jul 2, 2025 to Mar 20, 2026
- Discretionary RAUM · $80B to $79BJul 2, 2025 to Mar 20, 2026
- Non-discretionary RAUM · $810M to $1.1BJul 2, 2025 to Mar 20, 2026
- Pension RAUM · $34B to $34BJul 2, 2025 to Mar 20, 2026
- Pooled vehicle RAUM · $15B to $14BJul 2, 2025 to Mar 20, 2026
- RAUM · $80B to $80BJul 2, 2025 to Mar 20, 2026
- Financial planning clients · unset to Mar 25, 2025 to Jul 2, 2025
- Accounts · 279 to 267Jan 22, 2025 to Mar 25, 2025
- Charity clients · 19 to 17Jan 22, 2025 to Mar 25, 2025
- Pension plan clients · 105 to 103Jan 22, 2025 to Mar 25, 2025
- Pooled vehicle clients · 8 to 6Jan 22, 2025 to Mar 25, 2025
- Assets in custody · $0 to $114MJan 22, 2025 to Mar 25, 2025
- Employees · 102 to 94Jan 22, 2025 to Mar 25, 2025
- Discretionary RAUM · $85B to $80BJan 22, 2025 to Mar 25, 2025
- Non-discretionary RAUM · $644M to $810MJan 22, 2025 to Mar 25, 2025
- Pension RAUM · $38B to $34BJan 22, 2025 to Mar 25, 2025
- Pooled vehicle RAUM · $17B to $15BJan 22, 2025 to Mar 25, 2025
- RAUM · $86B to $80BJan 22, 2025 to Mar 25, 2025
- Accounts · 282 to 279Sep 29, 2023 to Mar 25, 2024
- Advisory employees · 22 to 20Sep 29, 2023 to Mar 25, 2024
- Charity clients · 21 to 19Sep 29, 2023 to Mar 25, 2024
- Pension plan clients · 106 to 105Sep 29, 2023 to Mar 25, 2024
- Pooled vehicle clients · 10 to 8Sep 29, 2023 to Mar 25, 2024
- Assets in custody · unset to 0.0Sep 29, 2023 to Mar 25, 2024
- Custody of client assets · false to trueSep 29, 2023 to Mar 25, 2024
- Employees · 79 to 102Sep 29, 2023 to Mar 25, 2024
- Discretionary RAUM · $91B to $85BSep 29, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $641M to $644MSep 29, 2023 to Mar 25, 2024
- Pension RAUM · $44B to $38BSep 29, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $20B to $17BSep 29, 2023 to Mar 25, 2024
- RAUM · $92B to $86BSep 29, 2023 to Mar 25, 2024
- Private funds · unset to 3Mar 1, 2023 to Sep 29, 2023
- Related broker-dealer · false to trueMar 1, 2023 to Sep 29, 2023
- Accounts · 293 to 282Oct 28, 2022 to Mar 1, 2023
- Advisory employees · 23 to 22Oct 28, 2022 to Mar 1, 2023
Signals
21 dated events
- Festa Molly Mcmillin (Manager) no longer on Schedule A of Galliard Capital Management (listed 2024-03-27, absent 2024-09-09)Sep 9, 2024 · Control person left · inference
- Janecka Annette Lege (Manager) appeared on Schedule A of Galliard Capital ManagementSep 9, 2024 · Control person joined · fact
- Paul Brian Renelt (Chief Compliance Officer) no longer on Schedule A of Galliard Capital Management (listed 2022-10-28, absent 2023-03-01)Mar 1, 2023 · Control person left · inference
- Werner Paul Felsch (Chief Compliance Officer) appeared on Schedule A of Galliard Capital ManagementMar 1, 2023 · Control person joined · fact
- Nelson Andrew Owen (Co-President And Senior Managing Principal) no longer on Schedule A of Galliard Capital Management (listed 2022-05-27, absent 2022-10-28)Oct 28, 2022 · Control person left · inference
- Ralph Milton Berlinski (Managing Member) no longer on Schedule A of Galliard Capital Management (listed 2022-03-30, absent 2022-05-27)May 27, 2022 · Control person left · inference
- Festa Molly Mcmillin (Manager) appeared on Schedule A of Galliard Capital ManagementMar 30, 2022 · Control person joined · fact
- Clements Sallie Squire (Manager) appeared on Schedule A of Galliard Capital ManagementMar 30, 2022 · Control person joined · fact
- Andrew Joseph Sullivan (Manager) appeared on Schedule A of Galliard Capital ManagementMar 30, 2022 · Control person joined · fact
- Ralph Milton Berlinski (Managing Member) appeared on Schedule A of Galliard Capital ManagementMar 30, 2022 · Control person joined · fact
- Ravineran Peter Arulanantham (Manager) no longer on Schedule A of Galliard Capital Management (listed 2021-11-29, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Galliard Capital Management Inc reported succeeding to the business of Another Adviser (Form ADV Item 4)Sep 27, 2021 · Succession (Item 4) · fact
- Paul Brian Renelt (Chief Compliance Officer) appeared on Schedule A of Galliard Capital ManagementJan 31, 2020 · Control person joined · fact
- Ravineran Peter Arulanantham (Director) appeared on Schedule A of Galliard Capital ManagementJan 31, 2020 · Control person joined · fact
- Michael Chad Foote (Chief Operating Officer) no longer on Schedule A of Galliard Capital Management (listed 2019-11-01, absent 2020-01-31)Jan 31, 2020 · Control person left · inference
- Davis Jennifer Lammers (Chief Compliance Officer) no longer on Schedule A of Galliard Capital Management (listed 2019-11-01, absent 2020-01-31)Jan 31, 2020 · Control person left · inference
- Joseph Leela Scattum (Partner) no longer on Schedule A of Galliard Capital Management (listed 2019-11-01, absent 2020-01-31)Jan 31, 2020 · Control person left · inference
- (Nmn) Sesidhar Kodali (Director) no longer on Schedule A of Galliard Capital Management (listed 2019-11-01, absent 2020-01-31)Jan 31, 2020 · Control person left · inference
- Joseph Richard Merriam (Founding Managing Partner And Treasurer) no longer on Schedule A of Galliard Capital Management (listed 2019-04-29, absent 2019-11-01)Nov 1, 2019 · Control person left · inference
- Patrick Karl Tourville (President And Founding Managing Partner) no longer on Schedule A of Galliard Capital Management (listed 2019-04-29, absent 2019-11-01)Nov 1, 2019 · Control person left · inference
- Ann Carrie Callahan (Managing Partner) no longer on Schedule A of Galliard Capital Management (listed 2019-04-29, absent 2019-11-01)Nov 1, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Galliard Capital Management · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/galliard-capital-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- allspringglobal.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 612-667-3220reportedpublic record, Form ADV, Mar 20, 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
- Institutional managerderiveda 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