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.

Former SEC-registered adviser

Manning & Napier Advisory Advantage Company, LLC

Former SEC-registered adviserFairport, New YorkCRD 106652SEC 801-37236IAPD
Latest filing Jun 28, 2013
First filing on the tape Mar 29, 2012 · 5 filings
RAUM
$2.5B
reported, Item 5.F
Discretionary
100%
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
14
14 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$2.5B as of Mar 28, 2013
Mar 29, 2012$2.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3): 6
Employees (5.A): 14
Private funds: no history
RAUM +2.2% over the last fiscal year
Practice profile
derived from the filing of Jun 28, 2013; every figure names its basis
RAUM per advisor
$413MderivedRAUM 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
$635,251derivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.3derivedItem 5.A over advisors
Advisors per office
2.0derived3 offices incl. principal (1.F.5)
RAUM growth, one year
+2.2%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, hourlyreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, publications, otherreportedItem 5.G
Custody
yesreportedItem 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)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3,899reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
Compensation
% of AUM, hourlyreported
Class basis
absent from the latest SEC rosterderived
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Reuben B Auspitz · Chief Compliance Officercontrol
    since 10/2011 · owns less than 5%
  • Patrick Cunningham · Chief Executive Officercontrol
    since 10/2011 · owns less than 5%
  • Hendershot Beth Galusha · Treasurercontrol
    since 10/2011 · owns less than 5%
  • Edward James Mikolaichik · Chief Financial Officercontrol
    since 10/2011 · owns less than 5%
  • Howard Charles Stamey · Managing Director, Client Relationscontrol
    since 10/2011 · owns less than 5%
  • Butler Richard Yates · Corporate Secretarycontrol
    since 10/2011 · owns less than 5%
  • William Manning · Managing Membercontrol
    since 06/2011 · owns 75% or more of M&N Group Holdings, LLC
Entity owners
  • Manning & Napier Group, LLC · Managing Member
    direct · owns 75% or more
  • M&N Group Holdings, LLC · Member
    indirect · owns 75% or more of Manning & Napier Group, LLC
  • Manning & Napier, Inc · Sole Managing Member
    indirect · owns F of Manning & Napier Group, LLC · public reporting company
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
  • Dublin, OH
  • St. Petersburg, FL
What changed
consecutive filings, newest first
  • Related bank · false to true
    Mar 28, 2013 to Jun 28, 2013
  • Accounts · 4,192 to 3,899
    Sep 27, 2012 to Mar 28, 2013
  • Advisory employees · unset to 14.0
    Sep 27, 2012 to Mar 28, 2013
  • BD registered reps · unset to 13.0
    Sep 27, 2012 to Mar 28, 2013
  • Employees · unset to 14.0
    Sep 27, 2012 to Mar 28, 2013
  • Insurance-licensed employees · 11 to 8
    Sep 27, 2012 to Mar 28, 2013
  • State-registered IARs · unset to 6.0
    Sep 27, 2012 to Mar 28, 2013
  • Discretionary RAUM · $2.4B to $2.5B
    Sep 27, 2012 to Mar 28, 2013
  • RAUM · $2.4B to $2.5B
    Sep 27, 2012 to Mar 28, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
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
Former SEC-registered 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