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

Institutional Capital LLC

Former SEC-registered adviserChicago, IllinoisCRD 107149SEC 801-40779IAPD
Latest filing Mar 31, 2017
First filing on the tape Mar 30, 2012 · 15 filings
RAUM
$19.6M
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
7
1 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$19.6M as of Mar 31, 2017
Mar 30, 2012$22B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2017
Mar 27, 20130 then
Employees (5.A)7 as of Mar 31, 2017
Mar 27, 201360 then
Private funds: no history
RAUM -100% over the last fiscal year-91% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2017; 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
unknownderivedHNW RAUM over HNW clients
Average account
$19.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
-100%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
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)
  • 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)
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
1reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Owsley Christopher Blunt · Elected Managercontrol
        since 06/2015 · owns less than 5%
      • M Thomas Cole · Senior Executive Vice President And Chief Investment Officercontrol
        since 10/2016 · owns less than 5%
      • Edward Mark Flanagan · Chief Executive Officercontrol
        since 04/2017 · owns less than 5%
      • Edward Brian Franc · Executive Vice President, Cco And Director Of Risk Management And Portfolio Operationscontrol
        since 09/2009 · owns less than 5%
      • Michael Robert Gardner · Elected Managercontrol
        since 02/2014 · owns less than 5%
      • Michael Francis Harte · Elected Managercontrol
        since 06/2014 · owns less than 5%
      • Nmn Yie-Hsin Hung · Elected Managercontrol
        since 01/2012 · owns less than 5%
      • W. Brian Nenninger · Chief Financial Officercontrol
        since 04/2017 · owns less than 5%
      Entity owners
      • New York Life Investment Management Holdings LLC · Member
        direct · owns 75% or more
      • New York Life Insurance Company · Indirect Interest Holder
        indirect · owns 75% or more of New York Life Investment Management Holdings LLC
      Related persons
      Schedule D 7.A
      Advisers that list Institutional Capital LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 77 to 1
        Jan 10, 2017 to Mar 31, 2017
      • Advisory employees · 14 to 1
        Jan 10, 2017 to Mar 31, 2017
      • Advisory activities · 4 to 1
        Jan 10, 2017 to Mar 31, 2017
      • BD registered reps · 1 to 0
        Jan 10, 2017 to Mar 31, 2017
      • Employees · 51 to 7
        Jan 10, 2017 to Mar 31, 2017
      • Discretionary RAUM · $9.6B to $19.6M
        Jan 10, 2017 to Mar 31, 2017
      • Non-discretionary RAUM · $629M to $0
        Jan 10, 2017 to Mar 31, 2017
      • RAUM · $10B to $19.6M
        Jan 10, 2017 to Mar 31, 2017
      • Accounts · 100 to 77
        Mar 23, 2016 to Oct 3, 2016
      • Advisory employees · 18 to 14
        Mar 23, 2016 to Oct 3, 2016
      • Employees · 58 to 51
        Mar 23, 2016 to Oct 3, 2016
      • Discretionary RAUM · $14B to $9.6B
        Mar 23, 2016 to Oct 3, 2016
      • Non-discretionary RAUM · $484M to $629M
        Mar 23, 2016 to Oct 3, 2016
      • RAUM · $15B to $10B
        Mar 23, 2016 to Oct 3, 2016
      • Accounts · 115 to 100
        Oct 5, 2015 to Mar 23, 2016
      • Advisory employees · 17 to 18
        Oct 5, 2015 to Mar 23, 2016
      • Employees · 60 to 58
        Oct 5, 2015 to Mar 23, 2016
      • Discretionary RAUM · $16B to $14B
        Oct 5, 2015 to Mar 23, 2016
      • Non-discretionary RAUM · $138M to $484M
        Oct 5, 2015 to Mar 23, 2016
      • RAUM · $16B to $15B
        Oct 5, 2015 to Mar 23, 2016
      • Accounts · 120 to 115
        Sep 4, 2015 to Oct 5, 2015
      • Discretionary RAUM · $20B to $16B
        Sep 4, 2015 to Oct 5, 2015
      • RAUM · $20B to $16B
        Sep 4, 2015 to Oct 5, 2015
      • Accounts · 465 to 120
        Mar 26, 2015 to Sep 4, 2015
      • Employees · 59 to 60
        Mar 26, 2015 to Sep 4, 2015
      • Discretionary RAUM · $23B to $20B
        Mar 26, 2015 to Sep 4, 2015
      • Non-discretionary RAUM · $137M to $138M
        Mar 26, 2015 to Sep 4, 2015
      • RAUM · $23B to $20B
        Mar 26, 2015 to Sep 4, 2015
      • Accounts · 645 to 465
        Aug 26, 2014 to Mar 26, 2015
      • Advisory employees · 18 to 17
        Aug 26, 2014 to Mar 26, 2015
      • Employees · 60 to 59
        Aug 26, 2014 to Mar 26, 2015
      • Discretionary RAUM · $29B to $23B
        Aug 26, 2014 to Mar 26, 2015
      • Non-discretionary RAUM · $240M to $137M
        Aug 26, 2014 to Mar 26, 2015
      • RAUM · $29B to $23B
        Aug 26, 2014 to Mar 26, 2015
      • Accounts · 747 to 645
        Mar 28, 2014 to Aug 4, 2014
      • Advisory employees · 16 to 18
        Mar 28, 2014 to Aug 4, 2014
      • Employees · 59 to 60
        Mar 28, 2014 to Aug 4, 2014
      • Discretionary RAUM · $29B to $29B
        Mar 28, 2014 to Aug 4, 2014
      • Non-discretionary RAUM · $205M to $240M
        Mar 28, 2014 to Aug 4, 2014
      • RAUM · $29B to $29B
        Mar 28, 2014 to Aug 4, 2014
      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