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

Fiduciary Asset Management LLC

Former SEC-registered adviserClayton, MissouriCRD 107171SEC 801-46751IAPD
Latest filing Mar 6, 2015
First filing on the tape Mar 29, 2012 · 10 filings
RAUM
$2.2B
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
9
6 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$72.8M gross assets
History
10 filings and snapshots on the tape
RAUM$2.2B as of Mar 6, 2015
Mar 29, 2012$3.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Mar 6, 2015
Jan 25, 20134 then
Employees (5.A)9 as of Mar 6, 2015
Jan 25, 201310 then
Private funds1 as of Mar 6, 2015
Mar 29, 20121 then
RAUM -31% over the last fiscal year-16% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 6, 2015; every figure names its basis
RAUM per advisor
$553MderivedRAUM 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
$20.5MderivedRAUM 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
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-31%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
Custody
$72.8M, 1 clientsreportedItem 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)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
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
108reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$72.8M for 1 clientsreported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • D Wiley Angell · Chief Executive Officer, Presidentcontrol
    since 03/2009 · owns less than 5%
  • Louise Patricia Boyd · Chief Financial Officercontrol
    since 03/2011 · owns 5% to 10%
  • Marie Pamela Brown · Chief Compliance Officercontrol
    since 03/2012 · owns 5% to 10%
  • Lee Thomas Engle · Senior Vice President, Senior Porfolio Managercontrol
    since 08/2011 · owns 10% to 25%
  • C Sean Hughes · Vice President, Portfolio Managercontrol
    since 04/2013 · owns 10% to 25%
  • David Charles Walbrandt · Chairmancontrol
    since 03/2009 · owns less than 5%
  • D Wiley Angell · Trusteecontrol
    since 02/2013 · owns 75% or more of Wiley D Angell Acquisition Trust Dtd 02/12/2013
Entity owners
  • Wiley D. Angell Acquisition Trust Dtd 2/12/2013 · Member
    direct · owns 50% to 75%
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 136 to 108
    Mar 25, 2014 to Mar 6, 2015
  • Assets in custody · $74.2M to $72.8M
    Mar 25, 2014 to Mar 6, 2015
  • Employees · 10 to 9
    Mar 25, 2014 to Mar 6, 2015
  • Discretionary RAUM · $3.2B to $2.2B
    Mar 25, 2014 to Mar 6, 2015
  • RAUM · $3.2B to $2.2B
    Mar 25, 2014 to Mar 6, 2015
  • Accounts · 144 to 136
    May 29, 2013 to Mar 25, 2014
  • Assets in custody · $66.3M to $74.2M
    May 29, 2013 to Mar 25, 2014
  • Discretionary RAUM · $3.8B to $3.2B
    May 29, 2013 to Mar 25, 2014
  • RAUM · $3.8B to $3.2B
    May 29, 2013 to Mar 25, 2014
  • Assets in custody · $96.0M to $66.3M
    Jan 25, 2013 to May 29, 2013
  • Discretionary RAUM · $3.7B to $3.8B
    Jan 25, 2013 to May 29, 2013
  • RAUM · $3.7B to $3.8B
    Jan 25, 2013 to May 29, 2013
  • Related adviser · true to false
    Jan 25, 2013 to May 29, 2013
  • Related bank · true to false
    Jan 25, 2013 to May 29, 2013
  • Related broker-dealer · true to false
    Jan 25, 2013 to May 29, 2013
  • Accounts · 302 to 144
    Apr 19, 2012 to Jan 25, 2013
  • Advisory employees · unset to 6.0
    Apr 19, 2012 to Jan 25, 2013
  • Advisory activities · 3 to 4
    Apr 19, 2012 to Jan 25, 2013
  • BD registered reps · unset to 0.0
    Apr 19, 2012 to Jan 25, 2013
  • Business name · FIDUCIARY ASSET MANAGEMENT INC. to FIDUCIARY ASSET MANAGEMENT LLC
    Apr 19, 2012 to Jan 25, 2013
  • Assets in custody · $73.9M to $96.0M
    Apr 19, 2012 to Jan 25, 2013
  • Employees · unset to 10.0
    Apr 19, 2012 to Jan 25, 2013
  • State-registered IARs · unset to 4.0
    Apr 19, 2012 to Jan 25, 2013
  • Organization form · Corporation to Limited Liability Company
    Apr 19, 2012 to Jan 25, 2013
  • Discretionary RAUM · $3.7B to $3.7B
    Apr 19, 2012 to Jan 25, 2013
  • RAUM · $3.7B to $3.7B
    Apr 19, 2012 to Jan 25, 2013
  • Legal name · FIDUCIARY ASSET MANAGEMENT INC. to FIDUCIARY ASSET MANAGEMENT LLC
    Apr 5, 2012 to Apr 19, 2012
  • Succession · false to true
    Mar 29, 2012 to Apr 3, 2012
  • Succession · true to false
    Apr 3, 2012 to Apr 3, 2012
Signals
1 dated events
  • Fiduciary Asset Management Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)
    Apr 3, 2012 · Succession (Item 4) · fact
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