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
Payden & Rygel
Latest filing Jul 15, 2026
First filing on the tape Mar 30, 2012 · 20 filings
SEC status approved since Sep 8, 1983
RAUM
$158B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.1%
$1.8B individuals and HNW
Advisors
12
registered through the firm on IAPD
RAUM per advisor
$13B
derived; firm RAUM over IAPD count
Employees
194
122 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
3
reported on Schedule D
History
20 filings and snapshots on the tape
RAUM$158B as of Jul 15, 2026
Mar 30, 2012$62B then
HNW client RAUM$1.8B as of Jul 15, 2026
Mar 29, 2018$2.6B then
State-registered IARs (5.B.3)0 as of Jul 15, 2026
Mar 28, 20130 then
Employees (5.A)194 as of Jul 15, 2026
Mar 28, 2013143 then
Private funds3 as of Jul 15, 2026
Mar 29, 20193 then
RAUM +4.8% over the last fiscal year+7.6% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 15, 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)
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- RAUM per advisor
- $13BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $21.8MderivedHNW RAUM over HNW clients
- Average account
- $177MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 68%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 16.2derivedItem 5.A over advisors
- Advisors per office
- 6.0derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- -3.3%derived
- Compensation
- percentage of assets, fixed fees, 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
- 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$39B25%
- Pension and profit-sharing plans$26B17%
- Corporations and businesses$26B16%
- Insurance companies$20B13%
- Charitable organizations$18B12%
- Pooled investment vehicles$12B7.3%
- Investment companies$9.9B6.3%
- Sovereign wealth funds$3.4B2.1%
- Banks and thrifts$2.0B1.3%
- High-net-worth individuals$1.8B1.1%
- Individuals$687,1610.0%
- Individual clients
- 5reported
- HNW clients
- 82reported
- Pension plan clients
- 36reported
- Charitable clients
- 105reported
- Accounts
- 895reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.01 fund_share=0.14 institutional_share=0.68 related_bd=true related_bank=false bd_reps=50.0derived
Advisors registered through the firm
12 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Mary Beth Syal | Los Angeles, Ca | Sep 6, 1994 | 35 y | 0 |
| David Price Ballantine | Los Angeles, Ca | Jul 8, 1997 | 35 y | 0 |
| Gary Samuel Greenberg | Los Angeles, Ca | Oct 8, 2002 | 31 y | 0 |
| Joan Ann Payden | Los Angeles, Ca | Nov 4, 2002 | 43 y | 0 |
| James Patrick Sarni | Los Angeles, Ca | Nov 5, 2002 | 35 y | 0 |
| Eva Mirjam Weber Bogdan | Los Angeles, Ca | Mar 20, 2015 | 11 y | 1 |
| Liling Deng | Los Angeles, Ca | Jul 26, 2019 | 13 y | 1 |
| Brett J Wakasa | Los Angeles, Ca | Jan 24, 2020 | 21 y | 1 |
| Luis Miguel Antonio Tan Sy | Los Angeles, Ca | Sep 27, 2022 | 11 y | 1 |
| Kyle Robert Signor | Los Angeles, Ca | Sep 29, 2022 | 12 y | 2 |
| James Patrick Burke | Boston, Ma | Oct 31, 2024 | 10 y | 2 |
| Brian Webb MatthewsChartered Investment Counselor | Los Angeles, Ca | Dec 18, 2025 | 43 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Left, latest
- Mark David Hollick to Johnson Investment Counsel, Inc.Nov 14, 2024 · Other
- Matthew Terrence Riopelle to BettermentJun 8, 2023 · Other
- Charles John Donovan to Neuberger Berman Bd LLCFeb 16, 2022 · Other
- Maurice P Saluan to John Hancock Investment Management LLCAug 4, 2021 · Other
- Brenda Jeanne Oleary to Bny Mellon Securities CorporationFeb 24, 2015 · Other
- Janet Sweeney to J.P. Morgan Private Wealth Advisors LLCApr 11, 2014 · Other
- Joyce Averna Horn to J.P. Morgan Securities LLCNov 7, 2012 · Other
- Frederick Anthony Petrino to Windsor Capital Management, LLCJul 17, 2008 · Other
- Octavio Fonseca to Equitable Advisors, LLCAug 17, 2007 · Other
- Laura Kathleen Zimmerman to One Capital Management, LLCNov 3, 2005 · Other
- Thea Rae Lewis to Bridge Advisory LLCNov 3, 2005 · Other
Joined, latest
- James Patrick Burke from Amundi Asset Management US, Inc.Oct 31, 2024 · Other
- Mark David Hollick from Natixis Advisors, LLCMay 10, 2023 · Other
- Kyle Robert Signor from Columbia Management Investment Advisers, LLCSep 29, 2022 · Other
- Luis Miguel Antonio Tan Sy from Morgan StanleySep 27, 2022 · Other
- Matthew Terrence Riopelle from John Hancock Investment Management LLCFeb 17, 2022 · Other
- Brett J Wakasa from Cincinnati Analysts, IncJan 24, 2020 · Other
- Liling Deng from Wedbush Securities Inc.Jul 26, 2019 · Other
- Maurice P Saluan from Pnc Capital Advisors LLCOct 9, 2018 · Other
- Eva Mirjam Weber Bogdan from Western International SecuritiesMar 20, 2015 · Other
- Frederick Anthony Petrino from Charles Schwab & Co., Inc.Feb 2, 2007 · Other
- Brenda Jeanne Oleary from First American TrustApr 11, 2006 · Other
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Base Camp Fund II, A Series Of Payden Active Cash Management, LLC | Liquidity Fund | $160M | 4 | Mar 29, 2019 |
| The Base Camp Fund, A Series Of Payden Active Cash Management, LLC | Liquidity Fund | $146M | 3 | Mar 29, 2019 |
| Ocil Securitised Fund, A Series Of Payden Active Cash Management, LLC | Securitized Asset Fund | $118M | 1 | Mar 31, 2023 |
| The Orange Fund, A Series Of Payden Active Cash Management, LLCno longer reported | Liquidity Fund | $0 | 6 | Mar 29, 2019 |
Owners and control persons
Schedule A and B, latest filing
- Webb Brian Matthews · Managing Director, Cfo, Director And Shareholdercontrolsince 03/1994 · owns 5% to 10%
- Ann Joan Payden · President And Ceo, Director & Shareholdercontrolsince 08/1983 · owns 50% to 75%
- Nmn Reza Pishva · Director, Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
Related persons
Schedule D 7.A
- Metzler-Payden, LLCinvestment adviseryRAUM $1.3B
- Payden & Rygel Distributorsbroker-dealery
Advisers that list Payden & Rygel 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 | 12 | 1 | 0 | ||
| Boston, Ma | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Boston, MA11 employees
What changed
consecutive filings, newest first
- Accounts · 866 to 895Mar 28, 2025 to Mar 31, 2026
- Advisory employees · 116 to 122Mar 28, 2025 to Mar 31, 2026
- BD registered reps · 51 to 50Mar 28, 2025 to Mar 31, 2026
- Charity clients · 106 to 105Mar 28, 2025 to Mar 31, 2026
- Corporate clients · 90 to 85Mar 28, 2025 to Mar 31, 2026
- HNW clients · 80 to 82Mar 28, 2025 to Mar 31, 2026
- Individual clients · 10 to 5Mar 28, 2025 to Mar 31, 2026
- Pension plan clients · 33 to 36Mar 28, 2025 to Mar 31, 2026
- Pooled vehicle clients · 22 to 27Mar 28, 2025 to Mar 31, 2026
- Employees · 190 to 194Mar 28, 2025 to Mar 31, 2026
- Discretionary RAUM · $151B to $158BMar 28, 2025 to Mar 31, 2026
- HNW RAUM · $2.0B to $1.8BMar 28, 2025 to Mar 31, 2026
- Individual RAUM · $3.4M to $687,161Mar 28, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $64.7M to $7.8MMar 28, 2025 to Mar 31, 2026
- Pension RAUM · $14B to $26BMar 28, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $8.5B to $12BMar 28, 2025 to Mar 31, 2026
- RAUM · $151B to $158BMar 28, 2025 to Mar 31, 2026
- Accounts · 869 to 866Mar 28, 2024 to Mar 28, 2025
- Advisory employees · 109 to 116Mar 28, 2024 to Mar 28, 2025
- BD registered reps · 53 to 51Mar 28, 2024 to Mar 28, 2025
- Charity clients · 99 to 106Mar 28, 2024 to Mar 28, 2025
- HNW clients · 79 to 80Mar 28, 2024 to Mar 28, 2025
- Pension plan clients · 37 to 33Mar 28, 2024 to Mar 28, 2025
- Pooled vehicle clients · 21 to 22Mar 28, 2024 to Mar 28, 2025
- Employees · 183 to 190Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $142B to $151BMar 28, 2024 to Mar 28, 2025
- HNW RAUM · $2.1B to $2.0BMar 28, 2024 to Mar 28, 2025
- Individual RAUM · $2.4M to $3.4MMar 28, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $86.3M to $64.7MMar 28, 2024 to Mar 28, 2025
- Pension RAUM · $14B to $14BMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $8.6B to $8.5BMar 28, 2024 to Mar 28, 2025
- RAUM · $142B to $151BMar 28, 2024 to Mar 28, 2025
- Accounts · 888 to 869Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 130 to 109Mar 31, 2023 to Mar 28, 2024
- BD registered reps · 60 to 53Mar 31, 2023 to Mar 28, 2024
- Charity clients · 102 to 99Mar 31, 2023 to Mar 28, 2024
- Corporate clients · 92 to 90Mar 31, 2023 to Mar 28, 2024
- Pension plan clients · 36 to 37Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 22 to 21Mar 31, 2023 to Mar 28, 2024
Signals
12 dated events
- Mark David Hollick left Payden & Rygel for Johnson Investment Counsel, Inc. (registered 2025-08-01)Nov 14, 2024 · Advisor changed firm · fact
- Sanfern Edward Garlock (Managing Director, Chief Compliance Officer And Shareholder) no longer on Schedule A of Payden & Rygel (listed 2023-03-31, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- Nmn Reza Pishva (Director, Chief Compliance Officer) appeared on Schedule A of Payden & RygelMar 28, 2024 · Control person joined · fact
- Matthew Terrence Riopelle left Payden & Rygel for Betterment (registered 2025-05-24)Jun 8, 2023 · Advisor changed firm · fact
- Andrew Hawes no longer registered at Payden & Rygel; no later IA registration on IAPDJun 7, 2023 · Advisor departure · fact
- Patrick James Sarni (Managing Director, Director And Shareholder) no longer on Schedule A of Payden & Rygel (listed 2022-03-31, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Beth Mary Syal (Managing Director, Director And Shareholder) no longer on Schedule A of Payden & Rygel (listed 2022-03-31, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Bhatt Asha Joshi (Managing Director, Director And Shareholder) no longer on Schedule A of Payden & Rygel (listed 2022-03-31, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Bruce Robin Creswell (Managing Director, Director And Shareholder) no longer on Schedule A of Payden & Rygel (listed 2022-03-31, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Tyler Gregory Morrison (Managing Director, Director And Shareholder) no longer on Schedule A of Payden & Rygel (listed 2022-03-31, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Jay Scott Weiner (Managing Principal, Director And Shareholder) no longer on Schedule A of Payden & Rygel (listed 2021-03-31, absent 2022-03-28)Mar 28, 2022 · Control person left · inference
- Charles John Donovan left Payden & Rygel for Neuberger Berman Bd Llc (registered 2022-03-09)Feb 16, 2022 · Advisor changed firm · fact
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/PAYDEN-&-RYGELreportedpublic record, Form ADV, Sep 17, 2026
- Website
- PAYDEN.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 213-625-1900reportedpublic record, Form ADV, Jul 15, 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
- $13Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026