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

Wilmington Trust Investment Advisors, Inc.

Other adviserWilmington, DelawareCRD 106909SEC 801-50883websiteIAPD
Latest filing Aug 27, 2026
First filing on the tape Feb 9, 2012 · 84 filings
SEC status approved since Dec 27, 1995
RAUM
$18B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.2%
$36.5M individuals and HNW
Advisors
18
registered through the firm on IAPD
RAUM per advisor
$991M
derived; firm RAUM over IAPD count
Employees
104
74 advisory (5.B.1)
Offices
15
beyond the principal office
Private funds
0
reported on Schedule D
History
84 filings and snapshots on the tape
RAUM$18B as of Aug 27, 2026
Mar 30, 2012$14B then
HNW client RAUM$36.5M as of Aug 27, 2026
Mar 30, 2018$43.9M then
State-registered IARs (5.B.3)17 as of Aug 27, 2026
Mar 30, 20120 then
Employees (5.A)104 as of Aug 27, 2026
Apr 1, 2013142 then
Private funds: no history
RAUM +2.3% over the last fiscal year+2.6% a year over threeIARs 22 to 17offices 16 to 15
Practice profile
derived from the filing of Aug 27, 2026; every figure names its basis
Archetypes, each a printed rule
  • Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
RAUM per advisor
$991MderivedRAUM over IAPD advisors; not a book size
Clients per advisor
0derivedindividual and HNW clients (5.D) over advisors
Average HNW client
$6.1MderivedHNW RAUM over HNW clients
Average account
$5.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
46%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.8derivedItem 5.A over advisors
Advisors per office
1.1derived16 offices incl. principal (1.F.5)
RAUM growth, one year
+2.3%derivedbetween the last two annual amendments
Advisor growth, one year
-23%derivedItem 5.B.3 between annual amendments
Client growth, one year
+0.0%derived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, pension consulting, selection of other advisers, publications, otherreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.2)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$3.6B33%
  • State and municipal entities$2.6B24%
  • Investment companies$1.6B15%
  • Charitable organizations$1.5B14%
  • Corporations and businesses$1.3B12%
  • Insurance companies$328M3.0%
  • High-net-worth individuals$36.5M0.3%
Individual clients
0reported
HNW clients
6reported
Pension plan clients
21reported
Charitable clients
49reported
Accounts
3,540reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.0 fund_share=0.09 institutional_share=0.46 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
18 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Van Nha NaglieriBaltimore, MdJun 20, 200627 y0
Anthony Michael RothWilmington, DeNov 20, 201425 y2
Sarah M MclaughlinWilmington, DeJan 10, 202317 y2
Morgan Clay MohrmanBoston, MaSep 2, 202339 y1
Louis PortaChartered Financial AnalystWilmington, DeAug 8, 202424 y3
Michelle Marie BuswellBridgeport, CtSep 11, 202410 y2
Kelly KimballBridgeport, CtSep 11, 202433 y2
Heather Rae CaryBridgeport, CtSep 11, 202419 y2
Gregory Scott WoodardRochester, Ny Jan 16, 202528 y1
Michelle Lee SearsPenn Run, Pa Mar 4, 202518 y3
Christopher A SporcicWilmington, DeMay 1, 202516 y0
Stephen Anthony SeivoldBaltimore, MdMay 7, 202525 y3
Nicolas StefanoWilmington, De Jul 22, 202515 y0
Eric I SmooklerWilmington, DeJan 1, 202624 y0
Sherry Ann WhiddenBaltimore, MdJan 5, 202629 y1
Charles Edward BaranichWilmington, De May 8, 202625 y1
Breann Lisa RootStafford, Va May 8, 202623 y1
Stephen A BrennerIselin, Nj Aug 6, 202627 y5
Advisor movement
2 left, 4 joined in 12 months
net +2 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 11% of current headcount5 left over 36 months
Left, latest
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • E. Gerald Baker · Director/Executive Vice Presidentcontrol
      since 06/2024 · owns less than 5%
    • James John Kelley · Senior Vice President & Chief Administrative Officercontrol
      since 02/2012 · owns less than 5%
    • Riley Abigail Mrozinski · Directorcontrol
      since 06/2024 · owns less than 5%
    • Michael Anthony Roth · President & Chief Investment Officer, Directorcontrol
      since 02/2015 · owns less than 5%
    • Jennifer Edna Warren · Chair Of The Board And Chief Executive Officercontrol
      since 06/2022 · owns less than 5%
    • John Andrew Baldauf · Cco
      since 08/2022 · owns less than 5%
    • Douglas Matthew Glaser · Executive Vice President & Head Of Equity And Non-Traditional Investments
      since 02/2016 · owns less than 5%
    • Alan Luke Tilley · Executive Vice President & Chief Economist
      since 02/2015 · owns less than 5%
    • Howard Randy Vogel · Executive Vice President And Head Of Fixed Income
      since 05/2021 · owns less than 5%
    Entity owners
    • Manufacturers And Traders Trust Company · Sole Stockholder
      direct · owns 75% or more
    • M & T Bank Corporation · Sole Stockholder
      indirect · owns 75% or more of Manufacturers And Traders Trust Company · public reporting company
    Related persons
    Schedule D 7.A
    Advisers that list Wilmington Trust Investment Advisors, Inc. as a related person
    Office movement
    IAPD branch city; joins and departures in 12 months
    OfficeAdvisorsJoinedLeftTeams outForming
    Wilmington, De · principal1141
    Baltimore, Md310
    Bridgeport, Ct301
    Offices
    Schedule D 1.F, the 25 largest
    • Baltimore, MD28 employees
    • Buffalo, NY7 employees
    • New York, NY4 employees
    • Harrisburg, PA3 employees
    • Rochester, NY2 employees
    • Paoli, PA1 employees
    • Radnor, PA1 employees
    • State College, PA1 employees
    • Washington, DC1 employees
    • Wilkes Barre, PA1 employees
    • Baltimore, MD1 employees
    • Williamsport, PA1 employees
    • Buffalo, NY1 employees
    • Fishkill, NY1 employees
    • Ithaca, NY1 employees
    • Melville, NY1 employees
    What changed
    consecutive filings, newest first
    • Advisory employees · 126 to 74
      Oct 1, 2025 to Mar 30, 2026
    • Charity clients · 41 to 49
      Oct 1, 2025 to Mar 30, 2026
    • Corporate clients · 54 to 49
      Oct 1, 2025 to Mar 30, 2026
    • Pension plan clients · 22 to 21
      Oct 1, 2025 to Mar 30, 2026
    • Employees · 126 to 104
      Oct 1, 2025 to Mar 30, 2026
    • Insurance-licensed employees · 22 to 17
      Oct 1, 2025 to Mar 30, 2026
    • State-registered IARs · 22 to 17
      Oct 1, 2025 to Mar 30, 2026
    • Other offices · 16 to 15
      Oct 1, 2025 to Mar 30, 2026
    • Discretionary RAUM · $17B to $18B
      Oct 1, 2025 to Mar 30, 2026
    • HNW RAUM · $36.8M to $36.5M
      Oct 1, 2025 to Mar 30, 2026
    • Non-discretionary RAUM · $63.6M to $67.7M
      Oct 1, 2025 to Mar 30, 2026
    • Pension RAUM · $3.8B to $3.6B
      Oct 1, 2025 to Mar 30, 2026
    • RAUM · $17B to $18B
      Oct 1, 2025 to Mar 30, 2026
    • Financial planning clients · 0 to 0
      May 20, 2025 to Oct 1, 2025
    • Accounts · 3,487 to 3,540
      Feb 13, 2025 to Apr 17, 2025
    • Advisory employees · 95 to 126
      Feb 13, 2025 to Apr 17, 2025
    • Charity clients · 47 to 41
      Feb 13, 2025 to Apr 17, 2025
    • Corporate clients · 57 to 54
      Feb 13, 2025 to Apr 17, 2025
    • Pension plan clients · 26 to 22
      Feb 13, 2025 to Apr 17, 2025
    • Employees · 137 to 126
      Feb 13, 2025 to Apr 17, 2025
    • Insurance-licensed employees · 0 to 22
      Feb 13, 2025 to Apr 17, 2025
    • State-registered IARs · 15 to 22
      Feb 13, 2025 to Apr 17, 2025
    • Discretionary RAUM · $16B to $17B
      Feb 13, 2025 to Apr 17, 2025
    • HNW RAUM · $39.5M to $36.8M
      Feb 13, 2025 to Apr 17, 2025
    • Non-discretionary RAUM · $61.8M to $63.6M
      Feb 13, 2025 to Apr 17, 2025
    • Pension RAUM · $3.7B to $3.8B
      Feb 13, 2025 to Apr 17, 2025
    • RAUM · $16B to $17B
      Feb 13, 2025 to Apr 17, 2025
    • Accounts · 3,376 to 3,487
      Feb 28, 2024 to Mar 28, 2024
    • Advisory employees · 114 to 95
      Feb 28, 2024 to Mar 28, 2024
    • BD registered reps · 17 to 0
      Feb 28, 2024 to Mar 28, 2024
    • Charity clients · 46 to 47
      Feb 28, 2024 to Mar 28, 2024
    • Corporate clients · 59 to 57
      Feb 28, 2024 to Mar 28, 2024
    • Employees · 127 to 137
      Feb 28, 2024 to Mar 28, 2024
    • Insurance-licensed employees · 1 to 0
      Feb 28, 2024 to Mar 28, 2024
    • State-registered IARs · 17 to 15
      Feb 28, 2024 to Mar 28, 2024
    • Discretionary RAUM · $16B to $16B
      Feb 28, 2024 to Mar 28, 2024
    • HNW RAUM · $41.4M to $39.5M
      Feb 28, 2024 to Mar 28, 2024
    • Non-discretionary RAUM · $59.3M to $61.8M
      Feb 28, 2024 to Mar 28, 2024
    • Pension RAUM · $3.5B to $3.7B
      Feb 28, 2024 to Mar 28, 2024
    • RAUM · $16B to $16B
      Feb 28, 2024 to Mar 28, 2024
    Signals
    25 dated events
    • Camilla B Merrick left Wilmington Trust Investment Advisors, Inc. for Key Investment Services Llc (registered 2026-05-28)
      May 7, 2026 · Advisor changed firm · fact
    • Amy Jo Mayhew left Wilmington Trust Investment Advisors, Inc. for Lpl Financial Llc (registered 2026-08-25)
      Jan 22, 2026 · Advisor changed firm · fact
    • Joel C Dimartino left Wilmington Trust Investment Advisors, Inc. for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2025-11-14)
      Jul 31, 2025 · Advisor changed firm · fact
    • Terri Fogarty Rumans left Wilmington Trust Investment Advisors, Inc. for Lpl Financial Llc (registered 2026-04-23)
      Jun 17, 2025 · Advisor changed firm · fact
    • People'S United Advisors, Inc.'s advisors moved to Wilmington Trust Investment Advisors, Inc. (Wilmington, DE): 4 of 4 registered, on the same day
      Sep 10, 2024 · Firm absorbed (people side) · derived
    • Wesley Eric Taylor (Director) no longer on Schedule A of Wilmington Trust Investment Advisors, Inc. (listed 2024-06-24, absent 2024-08-01)
      Aug 1, 2024 · Control person left · inference
    • E. Gerald Baker (Executive Vice President) appeared on Schedule A of Wilmington Trust Investment Advisors, Inc.
      Jun 24, 2024 · Control person joined · fact
    • Riley Abigail Mrozinski (Senior Executive Vice President) appeared on Schedule A of Wilmington Trust Investment Advisors, Inc.
      Jun 24, 2024 · Control person joined · fact
    • Powers Doris Meister (Chair Of The Board And Chief Executive Officer) no longer on Schedule A of Wilmington Trust Investment Advisors, Inc. (listed 2024-03-28, absent 2024-06-24)
      Jun 24, 2024 · Control person left · inference
    • J Kevin Pearson (Director) no longer on Schedule A of Wilmington Trust Investment Advisors, Inc. (listed 2024-03-28, absent 2024-06-24)
      Jun 24, 2024 · Control person left · inference
    • Jennifer Edna Warren (Elected Manager) appeared on Schedule A of Wilmington Trust Investment Advisors, Inc.
      Feb 28, 2024 · Control person joined · fact
    • Gregory William Timeranko left Wilmington Trust Investment Advisors, Inc. for Snowden Capital Advisors Llc (registered 2024-05-08)
      Jan 17, 2024 · Advisor changed firm · fact
    • Marie Denise Cramer (Director) no longer on Schedule A of Wilmington Trust Investment Advisors, Inc. (listed 2023-04-13, absent 2023-06-23)
      Jun 23, 2023 · Control person left · inference
    • James William Farrell (Director) no longer on Schedule A of Wilmington Trust Investment Advisors, Inc. (listed 2023-03-30, absent 2023-04-13)
      Apr 13, 2023 · Control person left · inference
    • Douglas Christopher Randall (Senior Vice President) no longer on Schedule A of Wilmington Trust Investment Advisors, Inc. (listed 2022-04-18, absent 2022-06-23)
      Jun 23, 2022 · Control person left · inference
    • Tyler Valerio Calder left Wilmington Trust Investment Advisors, Inc. for Lpl Financial Llc (registered 2022-06-01)
      May 16, 2022 · Advisor changed firm · fact
    • Maas Jeffrey Seling (Administrative Vice President And Chief Operations Officer) no longer on Schedule A of Wilmington Trust Investment Advisors, Inc. (listed 2022-03-30, absent 2022-04-05)
      Apr 5, 2022 · Control person left · inference
    • Raymond David Breck (Chief Compliance Officer) no longer on Schedule A of Wilmington Trust Investment Advisors, Inc. (listed 2022-03-30, absent 2022-04-05)
      Apr 5, 2022 · Control person left · inference
    • Ellen Mary Reilly (Director) no longer on Schedule A of Wilmington Trust Investment Advisors, Inc. (listed 2022-01-26, absent 2022-03-30)
      Mar 30, 2022 · Control person left · inference
    • Shubhro Banerjee (Group Vice President & Director Of Asset Allocation) no longer on Schedule A of Wilmington Trust Investment Advisors, Inc. (listed 2020-06-24, absent 2020-08-26)
      Aug 26, 2020 · Control person left · inference
    • Wilmington Trust Investment Advisors, Inc. reported RAUM $12.2B, down 39% from $19.9B (2019-09-25 to 2019-10-24)
      Oct 24, 2019 · RAUM change · derived
    • Adam Richard Shatzkin (Director) no longer on Schedule A of Wilmington Trust Investment Advisors, Inc. (listed 2018-06-27, absent 2019-03-29)
      Mar 29, 2019 · Control person left · inference
    • Francis Rene Jones (Director) no longer on Schedule A of Wilmington Trust Investment Advisors, Inc. (listed 2018-06-27, absent 2019-03-29)
      Mar 29, 2019 · Control person left · inference
    • J Kevin Pearson (Director) appeared on Schedule A of Wilmington Trust Investment Advisors, Inc.
      Mar 29, 2019 · Control person joined · fact
    • Wilmington Trust Investment Advisors, Inc. reported 17 offices beyond its principal office, up from 5 (2018-02-26 to 2018-03-30)
      Mar 30, 2018 · Office count change · derived
    Across DFX
    shared identifiers only, never a name match
    No identifier-backed link to the venture, private equity, family office or sponsor graphs.
    How to reach
    public business contact points only, each with its source
    Firm profile
    linkedin.com/company/wilmington-trustreportedpublic record, Form ADV, Sep 17, 2026
    Website
    wilmingtontrust.comreportedpublic record, Form ADV, Sep 17, 2026
    Principal office phone
    646-531-7248reportedpublic record, Form ADV, Aug 27, 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
    $991Mderivedfirm RAUM over the IAPD count; not a book size
    Loaded
    Sep 14, 2026