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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
T•• I••••••••• M••••••••• C•••••• L••
Latest filing May 5, 2026
First filing on the tape Mar 30, 2012 · 37 filings
SEC status approved since Feb 18, 1987
RAUM
$39B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
6.5%
$2.5B individuals and HNW
Advisors
40
registered through the firm on IAPD
RAUM per advisor
$970M
derived; firm RAUM over IAPD count
Employees
405
114 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$39B as of May 5, 2026
Mar 30, 2012$18B then
HNW client RAUM$107M as of May 5, 2026
Mar 28, 2018$339M then
State-registered IARs (5.B.3)20 as of May 5, 2026
Mar 28, 201320 then
Employees (5.A)405 as of May 5, 2026
Mar 28, 2013327 then
Private funds1 as of Mar 30, 2017
Mar 30, 20122 then
RAUM -3.3% over the last fiscal year+0.8% a year over threeIARs 19 to 20offices 5 to 6
Practice profile
derived from the filing of May 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
- $970MderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 119derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.1MderivedHNW RAUM over HNW clients
- Average account
- $7.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 10.1derivedItem 5.A over advisors
- Advisors per office
- 5.7derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- -3.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- +5.3%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- +6.4%derived
- 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 companies, otherreportedItem 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$29B76%
- Pooled investment vehicles$6.1B16%
- Individuals$2.4B6.2%
- Pension and profit-sharing plans$514M1.3%
- Corporations and businesses$121M0.3%
- High-net-worth individuals$107M0.3%
- Charitable organizations$77.9M0.2%
- Sovereign wealth funds$1.3M0.0%
- Insurance companies$297,1710.0%
- Individual clients
- 4,748reported
- HNW clients
- 15reported
- Pension plan clients
- 40reported
- Charitable clients
- 48reported
- Accounts
- 4,982reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $2.8B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.07 fund_share=0.92 institutional_share=0.02 related_bd=true related_bank=true bd_reps=81.0derived
Advisors registered through the firm
40 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| M••• A• V•••••• | Los Angeles, Ca | Nov 3, 2005 | 25 y | 0 |
| J••••••• M•••••• A••••••Chartered Financial Analyst | New York, Ny | Sep 8, 2006 | 25 y | 0 |
| M••• A•••••• R••••• | Los Angeles, Ca | Mar 3, 2021 | 28 y | 0 |
| J•••• R•••••• Y••••••••• | Los Angeles, Ca | Mar 3, 2021 | 20 y | 4 |
| B•••• W•••••• B•••• | Los Angeles, Ca | Aug 5, 2022 | 11 y | 1 |
| D•••• T••• | Los Angeles, Ca | Oct 20, 2022 | 13 y | 1 |
| J•••••• C•••• | Los Angeles, Ca | Nov 29, 2022 | 18 y | 9 |
| D••••• S•••••• P•••Chartered Financial Analyst | Los Angeles, Ca | Feb 28, 2023 | 11 y | 1 |
| S•••• T••••••••Chartered Financial Analyst | Los Angeles, Ca | Feb 28, 2023 | 23 y | 5 |
| T•••• L••• J••••••••• | Los Angeles, Ca | Mar 9, 2023 | 21 y | 0 |
| J•••••• T••• K••• | Los Angeles, Ca | Mar 9, 2023 | 11 y | 0 |
| A•• C••••••• G•••••••• | Los Angeles, Ca | Mar 9, 2023 | 31 y | 0 |
| T••••• Y•••••• K•• | Los Angeles, Ca | Mar 9, 2023 | 13 y | 1 |
| J••• C•••••• L•••••• | New Y•••, Ny | Mar 20, 2023 | 23 y | 0 |
| K•••• A••• V••••••• | Boston,, Ma | Jan 16, 2024 | 30 y | 3 |
| A••• E• K••••••• | Fort Lauderdale, Fl | Mar 5, 2024 | 21 y | 2 |
| K•••• M•••••• S••••••• | Los Angeles, Ca | Mar 8, 2024 | 13 y | 1 |
| K•••• J••• L•••• | Los Angeles, Ca | Mar 20, 2024 | 10 y | 1 |
| T•••••• N••••• T••••• | Los Angeles, Ca | Mar 25, 2024 | 21 y | 2 |
| A••••• L•• H•••••• | Boston, Ma | May 9, 2024 | 24 y | 3 |
| J•••• B•••••• C••••• | Los Angeles, Ca | Jun 28, 2024 | 12 y | 2 |
| S•••• K••••• | New York, Ny | Sep 9, 2024 | 11 y | 1 |
| B•••• P••• A•••••••• | Los Angeles, Ca | Oct 7, 2024 | 12 y | 2 |
| N••• S••••• N•••••• | Los Angeles, Ca | Oct 14, 2024 | 10 y | 1 |
| E•••••••• L•••• D•••••Certified Financial Planner | Los Angeles, Ca | Oct 14, 2024 | 19 y | 3 |
| S••• N••••• P••••• B•••• | New York, Ny | Oct 17, 2024 | 12 y | 2 |
| A•••••• J••• S•••• | Los Angeles, Ca | Dec 24, 2024 | 23 y | 3 |
| L••• A•• G•••••••• | Los Angeles, Ca | Jan 1, 2025 | 31 y | 2 |
| C••••••• S• K•••••• | Los Angeles, Ca | Jan 2, 2025 | 25 y | 0 |
| T•••••• S••• C••••• | Los Angeles, Ca | Jan 23, 2025 | 11 y | 1 |
| M••• S•••••••• O••••••••• | Los Angeles, Ca | Mar 20, 2025 | 20 y | 2 |
| P••••• S•••••• S••••• | New York, Ny | Mar 20, 2025 | 11 y | 1 |
| G•••••• T••••• M•••••••Chartered Financial Analyst | New York, Ny | May 2, 2025 | 13 y | 1 |
| E••• C•••••••• N••• | Los Angeles, Ca | Jun 20, 2025 | 12 y | 1 |
| R•••••• A•••••••• G••••• | Los Angeles, Ca | Sep 30, 2025 | 12 y | 0 |
| I••• L••• | Los Angeles, Ca | Jan 3, 2026 | 11 y | 2 |
| Z•••••••• M••••• | Los Angeles, Ca | Mar 3, 2026 | 10 y | 2 |
| R••••• E••••• M••••• | Los Angeles, Ca | Mar 10, 2026 | 18 y | 3 |
| J••••• P• R•••• | Los Angeles, Ca | Mar 16, 2026 | 11 y | 1 |
| M••• F•••••• M•••••• | Boston, Ma | Apr 21, 2026 | 10 y | 2 |
Advisor movement
1 left, 5 joined in 12 months
net +4 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 2.5% of current headcount2 left over 36 months
Left, latest
- E•••• H••••••••• to S•••Dec 15, 2025 · Other
- E•••• P••• C••• to F••• P••••• A•••••••• L••Dec 12, 2023 · Other
- R•• H••••• L••••••••• to J••• M••••• S••••••••• L••Jan 31, 2023 · Other
- C••••••••• L•••• C••••••• to A••••• A•••• M••••••••• U•• I•••Jan 9, 2023 · Other
- R•••• D••• to D••••••• C•••••• M••••••••• A•••••••• I••Nov 19, 2014 · Other
- F•••• P••• L••••• to V••••••••• A••••••• S•••••••Jan 19, 2011 · Other
- D••••• A••• M•••••••• to D••••••• C•••••• M••••••••• A•••••••• I••Oct 19, 2010 · Other
- S•••• F• T••• to C••••••••• I••••••••• L••Dec 21, 2007 · Other
- R••••• M•••••• D•••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••Apr 16, 2007 · Other
- S•••• M••••••• S••••• to C•••••• A••••••• L••Jun 27, 2006 · Other
- M••• M•••••• M••••••• to U•• A•••• M••••••••• ••••••••• L••Nov 3, 2005 · Other
- J•••• D•• F••••• to P••••••• I••••••••• A•••••••May 25, 2005 · Other
- K•••• M•••••• W•••••• to A••••••••• L•••Dec 1, 2004 · Other
- M•••••• J• H•••• to U•• F•••••••• S••••••• I•••Mar 4, 2003 · Other
Joined, latest
- M••• F•••••• M•••••• from B•••••••• I••••••••• M••••••••• L••Apr 21, 2026 · Other
- J••••• P• R•••• from P••••• I••••••••• M••••••••• L••Mar 16, 2026 · Other
- R••••• E••••• M••••• from M••••• S••••••Mar 10, 2026 · Other
- Z•••••••• M••••• from N•••••• A•••••••• L••Mar 3, 2026 · Other
- I••• L••• from G••••••••• P••••••• I••••••••• M••••••••• L••Jan 3, 2026 · Other
- E••• C•••••••• N••• from N•••••••• B••••• B• L••Jun 20, 2025 · Other
- G•••••• T••••• M••••••• from N•••••••• B••••• B• L••May 2, 2025 · Other
- P••••• S•••••• S••••• from B•••••••• I••••••••• M••••••••• L••Mar 20, 2025 · Other
- M••• S•••••••• O••••••••• from B•••••••• I••••••••• M••••••••• L••Mar 20, 2025 · Other
- T•••••• S••• C••••• from A••••• A•••• M••••••••• U•• I•••Jan 23, 2025 · Other
- L••• A•• G•••••••• from T••••••• I••••••••• M••••••••• I•••Jan 1, 2025 · Other
- A•••••• J••• S•••• from N•••••••• B••••• B• L••Dec 24, 2024 · Other
- S••• N••••• P••••• B•••• from B•••••••• I••••••••• M••••••••• L••Oct 17, 2024 · Other
- N••• S••••• N•••••• from F••••••• P••••••• A•• W•••••••• A•••••••Oct 14, 2024 · Other
- E•••••••• L•••• D••••• from B•••••••• F••• A•••••••Oct 14, 2024 · Other
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| T•• L•••••••• I••••• T••••• L•••no longer reported | Securitized Asset Fund | $1.1M | 54 | Mar 30, 2012 |
| T•• L•••••••• I••••• T•••• I•• L•••no longer reported | Securitized Asset Fund | $949,681 | 18 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- B•••••• A•••••• J••• · Executive Vice President, General Counsel, Secretarycontrolsince 09/2023 · owns less than 5%
- K•••• K••••••• A•••• · Board Member, President, Chief Executive Officercontrolsince 02/2023 · owns less than 5%
- S••••• M•••• I•••• · Board Member, Chairmancontrolsince 07/2009 · owns less than 5%
- S•••••• M••••••• L••• · Executive Vice President, Chief Operating Officercontrolsince 03/2024 · owns less than 5%
- V••••• R••••••• M••••• · Executive Vice President, Chief Financial Officercontrolsince 07/2021 · owns less than 5%
- X•••••• G••••• · Global Chief Compliance Officercontrolsince 01/2021 · owns less than 5%
Entity owners
- T•• T•• G••••• I••• · Sole Memberdirect · owns 75% or more
- C•••••• A••••••••• C•••• · Shareholderindirect · owns 75% or more of T•• T•• G••••• I•••
- C•••••• G•• L••••• · General Partnerindirect · owns F of C•••••• H••••••• L•••
- C•••••• H••••••• L••• · Shareholderindirect · owns 75% or more of C•••••• I••••••••• C••••
- C•••••• I••••••••• C•••• · Shareholderindirect · owns 75% or more of C•••••• A••••••••• C••••
- N••••• L••• A•••••••• I••• · Shareholderindirect · owns 25% to 50% of C•••••• H••••••• L•••
- N••••• L••• I•••••••• C•••••• · Shareholderindirect · owns 75% or more of N••••• L••• A•••••••• I•••
Related persons
Schedule D 7.A
- B• I• A•••••••• L•pooled vehicle sponsorn
- B• V• A•••••••• L••pooled vehicle sponsorn
- B• V• A•••••••• L••pooled vehicle sponsorn
- B••••••• I••••••••• A•••••••• L••pooled vehicle sponsorn
- B••••••• S••••• P•••••••• L•••investment adviserinvestment companypooled vehicle sponsornRAUM $1.6B
- M••••••••• W••• A•••• M••••••••• L••investment adviserbanknRAUM $79B
- N• R••• P•••••••• L•••pooled vehicle sponsorn
- P••• B••••• T•• I••••••••• M•••••••••investment adviserpooled vehicle sponsorn
- S•••••••• G• L••pooled vehicle sponsorn
- S•••••••• M••••••••• L••investment advisernRAUM $355M
- T•• A••• L••••••broker-dealern
- T•• A•••• M••••••••• C•••••• I••••••••• L••••••investment adviserpooled vehicle sponsorn
- T•• A•••• M••••••••• C•••••• L••investment adviserbankpooled vehicle sponsornRAUM $81B
- T•• A•••••••• P•• L••investment advisern
- T•• D•••• G• L••pooled vehicle sponsorn
- T•• E••••• L••••••investment advisery
- T•• F•••• D••••••••• L••broker-dealern
- T•• I•••• S•• S•••••investment advisery
- T•• J••••• L•••investment advisern
- T•• L••• G• L••pooled vehicle sponsorn
- T•• M••••• N•••••• G•• L••pooled vehicle sponsorn
- T•• M•• I•• G•• L••pooled vehicle sponsorn
- T•• P•••••• F•••• M••••••••• L••pooled vehicle sponsorn
- T•• R••••• F•••••••• G• L••pooled vehicle sponsorn
- T•• R••••• F•••••••• I• G• L••pooled vehicle sponsorn
- T•• S•••••••• A•••• M••••••••• P••• L•••investment advisern
Advisers that list T•• I••••••••• M••••••••• C•••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 40 | 6 | 1 | ||
| New Y•••, Ny | 10 | 0 | 0 | ||
| Boston, Ma | 7 | 3 | 0 | ||
| Chicago, Il | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New Y•••, NY18 employees
- Danville, CA1 employees
- Boston, CA1 employees
- London, United Kingdom1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 4,758 to 4,982Jan 9, 2026 to Mar 27, 2026
- Advisory employees · 126 to 114Jan 9, 2026 to Mar 27, 2026
- BD registered reps · 83 to 81Jan 9, 2026 to Mar 27, 2026
- Charity clients · 52 to 48Jan 9, 2026 to Mar 27, 2026
- Corporate clients · 102 to 71Jan 9, 2026 to Mar 27, 2026
- HNW clients · 25 to 15Jan 9, 2026 to Mar 27, 2026
- Individual clients · 4,450 to 4,748Jan 9, 2026 to Mar 27, 2026
- Pension plan clients · 41 to 40Jan 9, 2026 to Mar 27, 2026
- Pooled vehicle clients · 10 to 9Jan 9, 2026 to Mar 27, 2026
- Employees · 419 to 405Jan 9, 2026 to Mar 27, 2026
- State-registered IARs · 19 to 20Jan 9, 2026 to Mar 27, 2026
- Other offices · 5 to 6Jan 9, 2026 to Mar 27, 2026
- Discretionary RAUM · $40B to $39BJan 9, 2026 to Mar 27, 2026
- HNW RAUM · $193M to $107MJan 9, 2026 to Mar 27, 2026
- Individual RAUM · $2.1B to $2.4BJan 9, 2026 to Mar 27, 2026
- Pension RAUM · $414M to $514MJan 9, 2026 to Mar 27, 2026
- Pooled vehicle RAUM · $8.3B to $6.1BJan 9, 2026 to Mar 27, 2026
- RAUM · $40B to $39BJan 9, 2026 to Mar 27, 2026
- Wrap assets (manager) · $2.6B to $2.8BJan 9, 2026 to Mar 27, 2026
- Accounts · 4,569 to 4,758Oct 10, 2024 to Mar 28, 2025
- Advisory employees · 125 to 126Oct 10, 2024 to Mar 28, 2025
- BD registered reps · 75 to 83Oct 10, 2024 to Mar 28, 2025
- Charity clients · 53 to 52Oct 10, 2024 to Mar 28, 2025
- Corporate clients · 95 to 102Oct 10, 2024 to Mar 28, 2025
- HNW clients · 11 to 25Oct 10, 2024 to Mar 28, 2025
- Individual clients · 4,302 to 4,450Oct 10, 2024 to Mar 28, 2025
- Pension plan clients · 43 to 41Oct 10, 2024 to Mar 28, 2025
- Pooled vehicle clients · 12 to 10Oct 10, 2024 to Mar 28, 2025
- Employees · 403 to 419Oct 10, 2024 to Mar 28, 2025
- Financial planning clients · unset to Oct 10, 2024 to Mar 28, 2025
- State-registered IARs · 17 to 19Oct 10, 2024 to Mar 28, 2025
- Other offices · 7 to 5Oct 10, 2024 to Mar 28, 2025
- Discretionary RAUM · $40B to $40BOct 10, 2024 to Mar 28, 2025
- HNW RAUM · $93.6M to $193MOct 10, 2024 to Mar 28, 2025
- Individual RAUM · $1.8B to $2.1BOct 10, 2024 to Mar 28, 2025
- Pension RAUM · $380M to $414MOct 10, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $10B to $8.3BOct 10, 2024 to Mar 28, 2025
- RAUM · $40B to $40BOct 10, 2024 to Mar 28, 2025
- Wrap assets (manager) · $2.2B to $2.6BOct 10, 2024 to Mar 28, 2025
- Accounts · 4,899 to 4,569Dec 1, 2023 to Mar 28, 2024
Signals
18 dated events
- E•••• H••••••••• left T•• I••••••••• M••••••••• C•••••• L•• for Seia (registered 2025-12-10)Dec 15, 2025 · Advisor changed firm · fact
- T••• E•••••••• K•••••••• (Executive Vice President, Chief Operating Officer) no longer on Schedule A of T•• I••••••••• M••••••••• C•••••• L•• (listed 2023-12-01, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- L Melissa Stolfi (Executive Vice President, Chief Operating Officer) appeared on Schedule A of T•• I••••••••• M••••••••• C•••••• L••Mar 28, 2024 · Control person joined · fact
- E•••• P••• C••• left T•• I••••••••• M••••••••• C•••••• L•• for F••• P••••• A•••••••• L•• (registered 2026-01-26)Dec 12, 2023 · Advisor changed firm · fact
- John Andrew Bowden (Executive Vice President, General Counsel, Secretary) appeared on Schedule A of T•• I••••••••• M••••••••• C•••••• L••Oct 2, 2023 · Control person joined · fact
- Meredith Jackson (Executive Vice President, General Counsel, Secretary) no longer on Schedule A of T•• I••••••••• M••••••••• C•••••• L•• (listed 2023-06-26, absent 2023-10-02)Oct 2, 2023 · Control person left · inference
- T•• I••••••••• M••••••••• C•••••• L•• reported RAUM $37.9B, down 28% from $52.5B (2022-03-29 to 2023-03-29)Mar 29, 2023 · RAUM change · derived
- Brian David Lippman (Board Member, President, Chief Executive Officer) no longer on Schedule A of T•• I••••••••• M••••••••• C•••••• L•• (listed 2022-03-29, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Ridings Laird Landmann (Manager) no longer on Schedule A of T•• I••••••••• M••••••••• C•••••• L•• (listed 2022-03-29, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Agnes Kathryn Koch (Board Member, President, Chief Executive Officer) appeared on Schedule A of T•• I••••••••• M••••••••• C•••••• L••Mar 29, 2023 · Control person joined · fact
- R•• H••••• L••••••••• left T•• I••••••••• M••••••••• C•••••• L•• for J••• M••••• S••••••••• L•• (registered 2023-02-17)Jan 31, 2023 · Advisor changed firm · fact
- C••••••••• L•••• C••••••• left T•• I••••••••• M••••••••• C•••••• L•• for A••••• A•••• M••••••••• U•• I••• (registered 2024-08-28)Jan 9, 2023 · Advisor changed firm · fact
- Ridings Laird Landmann (Manager) appeared on Schedule A of T•• I••••••••• M••••••••• C•••••• L••Feb 26, 2021 · Control person joined · fact
- T••• E•••••••• K•••••••• (Chief Operating Officer) appeared on Schedule A of T•• I••••••••• M••••••••• C•••••• L••Feb 26, 2021 · Control person joined · fact
- Gladys Xiques (Global Chief Compliance Officer) appeared on Schedule A of T•• I••••••••• M••••••••• C•••••• L••Jan 8, 2021 · Control person joined · fact
- Stephen David Devito (Board Member, Executive Vice President, Chief Operating Officer) no longer on Schedule A of T•• I••••••••• M••••••••• C•••••• L•• (listed 2020-05-26, absent 2021-01-08)Jan 8, 2021 · Control person left · inference
- A••• Jeffrey Engelsman (Global Chief Compliance Officer) no longer on Schedule A of T•• I••••••••• M••••••••• C•••••• L•• (listed 2020-05-26, absent 2021-01-08)Jan 8, 2021 · Control person left · inference
- T•• I••••••••• M••••••••• C• reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 5, 2016 · Succession (Item 4) · fact
Across DFX
shared identifiers only, never a name match
- T•• I••••••••• M••••••••• C•••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/tcw-etfsreportedpublic record, Form ADV, Sep 18, 2026
- Firm profile
- LINKEDIN.COM/COMPANY/THETCWGROUPreportedpublic record, Form ADV, Sep 18, 2026
- Website
- TCW.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 213-244-0000reportedpublic record, Form ADV, May 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
- $970Mderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026