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.
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SEC-registered adviser
R•• G••••• A•••• M••••••••• ••••• I•••
Latest filing May 21, 2026
First filing on the tape Jan 30, 2012 · 90 filings
SEC status approved since Dec 27, 1983
RAUM
$104B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.1%
$84.4M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$104B
derived; firm RAUM over IAPD count
Employees
212
37 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
14
reported on Schedule D
History
90 filings and snapshots on the tape
RAUM$104B as of May 21, 2026
Jan 30, 2012$39B then
HNW client RAUM$21.5M as of May 21, 2026
Jan 29, 2018$49.4M then
State-registered IARs (5.B.3)0 as of May 21, 2026
Jan 29, 20130 then
Employees (5.A)212 as of May 21, 2026
Jan 29, 2013119 then
Private funds14 as of May 21, 2026
Jan 30, 20123 then
RAUM +37% over the last fiscal year+40% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 21, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• 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
- 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)
- RAUM per advisor
- $52BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 36derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $7.2MderivedHNW RAUM over HNW clients
- Average account
- $426MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 19%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 106.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +37%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +1.4%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, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $5.7B, 80 clientsreportedItem 9.A
- 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)
- 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)
- 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
- Pooled investment vehicles$42B40%
- Investment companies$29B28%
- State and municipal entities$13B12%
- Corporations and businesses$12B12%
- Pension and profit-sharing plans$4.7B4.5%
- Insurance companies$1.4B1.3%
- Sovereign wealth funds$903M0.9%
- Other investment advisers$593M0.6%
- Charitable organizations$171M0.2%
- Individuals$62.9M0.1%
- High-net-worth individuals$21.5M0.0%
- Individual clients
- 69reported
- HNW clients
- 3reported
- Pension plan clients
- 18reported
- Charitable clients
- 2reported
- Accounts
- 245reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $62.9M managedreported
- Custody of client assets
- $5.7B for 80 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.69 institutional_share=0.19 related_bd=true related_bank=true bd_reps=64.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| L•••• B••• G••••Chartered Financial Analyst | Minneapolis, Mn | Aug 27, 2026 | 30 y | 0 |
| D••••• E••••• S••••Chartered Financial Analyst | Boston, Ma | Sep 16, 2026 | 15 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 headcount0 left over 36 months
Left, latest
- R••• K•••• N••••• to R••••• W• B•••• • C•• I•••••••••Oct 2, 2007 · Other
Joined, latest
- R••• K•••• N••••• from S••••••••• A•••• M••••••••• L••Jun 18, 2007 · Other
Private funds
15 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- C••••••••• Y••••••• B•••••• · Directorcontrolsince 08/2019 · owns less than 5%
- L••• B••••••• D••••• · President, Directorcontrolsince 08/2024 · owns less than 5%
- M••••••••• B•••• N• · Chief Financial Officercontrolsince 11/2020 · owns less than 5%
- M••••••• B••••••• · Directorcontrolsince 08/2024 · owns less than 5%
- N•••••• V••••• · Directorcontrolsince 04/2022 · owns less than 5%
- R•••••• J••••••• L••• · Chief Operating Officercontrolsince 08/2024 · owns less than 5%
- S••••• D•••••• E••••• · Chief Executive Officer, Directorcontrolsince 08/2024 · owns less than 5%
- S••••• W••••••••• A•••••• · Directorcontrolsince 11/2021 · owns less than 5%
- W••••• C••••••••• M•••• · Chief Compliance Officercontrolsince 06/2018 · owns less than 5%
- W•••••••• D••••• G•••• · Directorcontrolsince 01/2013 · owns less than 5%
Entity owners
- R•• U•• H••••• C••••••••• · Direct Ownerdirect · owns 75% or more
- R•• U• G•••• H••••••• L•• · Direct Ownerindirect · owns 75% or more of R•• U•• H••••• C•••••••••
- R•••• B••• O• C••••• · Ultimate Ownerindirect · owns 75% or more of R•• U•• H••••• C••••••••• · public reporting company
Related persons
Schedule D 7.A
- B•••••• F•••• M••••••••• C•••••• S•••investment adviserbankn
- RBC R•••••••, LLCinvestment advisernRAUM $73B
- R•• C•••••• M••••••• L••broker-dealerinvestment advisertrust companyLP sponsorreal estatecustodiannRAUM $310B
- R•• G••••• A•••• M••••••••• ••••• L••••••investment advisern
- R•• G••••• A•••• M••••••••• ••• L••••••investment advisernRAUM $178B
- R•• G••••• A•••• M••••••••• I•••investment adviserbankn
- R•• I••••• A•••• M••••••••• I•••investment advisern
- R•••• B••• O• C•••••CPO or CTAy
Advisers that list R•• G••••• A•••• M••••••••• ••••• I••• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Minneapolis, Mn · principal | 2 | 2 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Stamford, CT24 employees
- Boston, MA7 employees
- Chicago, IL4 employees
What changed
consecutive filings, newest first
- Private funds · 13 to 14Jan 30, 2026 to May 21, 2026
- Accounts · 227 to 245Oct 14, 2025 to Jan 30, 2026
- Advisory employees · 48 to 37Oct 14, 2025 to Jan 30, 2026
- BD registered reps · 58 to 64Oct 14, 2025 to Jan 30, 2026
- Charity clients · 5 to 2Oct 14, 2025 to Jan 30, 2026
- Corporate clients · 31 to 29Oct 14, 2025 to Jan 30, 2026
- HNW clients · 4 to 3Oct 14, 2025 to Jan 30, 2026
- Individual clients · 67 to 69Oct 14, 2025 to Jan 30, 2026
- Pension plan clients · 19 to 18Oct 14, 2025 to Jan 30, 2026
- Pooled vehicle clients · 58 to 74Oct 14, 2025 to Jan 30, 2026
- Assets in custody · $3.8B to $5.7BOct 14, 2025 to Jan 30, 2026
- Employees · 193 to 212Oct 14, 2025 to Jan 30, 2026
- Private funds · 11 to 13Oct 14, 2025 to Jan 30, 2026
- Discretionary RAUM · $76B to $104BOct 14, 2025 to Jan 30, 2026
- HNW RAUM · $26.5M to $21.5MOct 14, 2025 to Jan 30, 2026
- Individual RAUM · $55.8M to $62.9MOct 14, 2025 to Jan 30, 2026
- Pension RAUM · $4.2B to $4.7BOct 14, 2025 to Jan 30, 2026
- Pooled vehicle RAUM · $32B to $42BOct 14, 2025 to Jan 30, 2026
- RAUM · $76B to $104BOct 14, 2025 to Jan 30, 2026
- Wrap assets (manager) · $55.8M to $62.9MOct 14, 2025 to Jan 30, 2026
- Financial planning clients · 0 to 0Jul 15, 2025 to Oct 14, 2025
- Accounts · 272 to 227Aug 7, 2024 to Jan 30, 2025
- Advisory employees · 51 to 48Aug 7, 2024 to Jan 30, 2025
- BD registered reps · 55 to 58Aug 7, 2024 to Jan 30, 2025
- Corporate clients · 36 to 31Aug 7, 2024 to Jan 30, 2025
- Individual clients · 59 to 67Aug 7, 2024 to Jan 30, 2025
- Pension plan clients · 28 to 19Aug 7, 2024 to Jan 30, 2025
- Pooled vehicle clients · 63 to 58Aug 7, 2024 to Jan 30, 2025
- Assets in custody · $2.4B to $3.8BAug 7, 2024 to Jan 30, 2025
- Employees · 195 to 193Aug 7, 2024 to Jan 30, 2025
- Private funds · 12 to 11Aug 7, 2024 to Jan 30, 2025
- Discretionary RAUM · $80B to $76BAug 7, 2024 to Jan 30, 2025
- HNW RAUM · $25.4M to $26.5MAug 7, 2024 to Jan 30, 2025
- Individual RAUM · $43.7M to $55.8MAug 7, 2024 to Jan 30, 2025
- Pension RAUM · $4.6B to $4.2BAug 7, 2024 to Jan 30, 2025
- Pooled vehicle RAUM · $36B to $32BAug 7, 2024 to Jan 30, 2025
- RAUM · $80B to $76BAug 7, 2024 to Jan 30, 2025
- Wrap assets (manager) · $43.7M to $55.8MAug 7, 2024 to Jan 30, 2025
- Private funds · 13 to 12Apr 10, 2024 to Aug 6, 2024
- Private funds · 10 to 13Jan 30, 2024 to Feb 22, 2024
Signals
16 dated events
- D••••• E••••• S•••• registered as an investment adviser representative at R•• G••••• A•••• M••••••••• ••••• I•••Sep 16, 2026 · Advisor registered · fact
- R•• G••••• A•••• M••••••••• ••••• I••• reported RAUM $104.5B, up 37% from $76.5B (2025-10-14 to 2026-01-30)Jan 30, 2026 · RAUM change · derived
- Daniel Brandon Lew (President, Director) appeared on Schedule A of R•• G••••• A•••• M••••••••• ••••• I•••Aug 6, 2024 · Control person joined · fact
- Elijah Donald Sanya (Chief Executive Officer, Director) appeared on Schedule A of R•• G••••• A•••• M••••••••• ••••• I•••Aug 6, 2024 · Control person joined · fact
- Lynn Jessica Rausch (Chief Operating Officer) appeared on Schedule A of R•• G••••• A•••• M••••••••• ••••• I•••Aug 6, 2024 · Control person joined · fact
- B••••••• M•••••• (Director) appeared on Schedule A of R•• G••••• A•••• M••••••••• ••••• I•••Aug 6, 2024 · Control person joined · fact
- Thomas Michael Lee (Director, Ceo And President) no longer on Schedule A of R•• G••••• A•••• M••••••••• ••••• I••• (listed 2024-04-10, absent 2024-08-06)Aug 6, 2024 · Control person left · inference
- Ann Carol Timmer (Chief Operating Officer) no longer on Schedule A of R•• G••••• A•••• M••••••••• ••••• I••• (listed 2024-04-10, absent 2024-08-06)Aug 6, 2024 · Control person left · inference
- R•• G••••• A•••• M••••••••• ••••• I••• reported RAUM $79.9B, up 110% from $38.0B (2023-11-08 to 2024-01-29)Jan 29, 2024 · RAUM change · derived
- R•• G••••• A•••• M••••••••• ••••• I••• reported RAUM $38.0B, down 34% from $57.5B (2022-04-26 to 2023-01-20)Jan 20, 2023 · RAUM change · derived
- Vikesh Nemani (Director) appeared on Schedule A of R•• G••••• A•••• M••••••••• ••••• I•••Apr 25, 2022 · Control person joined · fact
- Marie Ann Senne (Director) no longer on Schedule A of R•• G••••• A•••• M••••••••• ••••• I••• (listed 2022-01-28, absent 2022-04-25)Apr 25, 2022 · Control person left · inference
- Elaine Elizabeth Tracy Stevenson (Director) no longer on Schedule A of R•• G••••• A•••• M••••••••• ••••• I••• (listed 2021-07-19, absent 2021-11-30)Nov 30, 2021 · Control person left · inference
- R•• G••••• A•••• M••••••••• ••••• I••• reported RAUM $56.5B, up 41% from $40.0B (2020-11-23 to 2021-01-28)Jan 28, 2021 · RAUM change · derived
- Annette Renee Degagne (Director) no longer on Schedule A of R•• G••••• A•••• M••••••••• ••••• I••• (listed 2019-04-11, absent 2019-10-09)Oct 9, 2019 · Control person left · inference
- Beverly Yonette Chung-Mclean (Director) appeared on Schedule A of R•• G••••• A•••• M••••••••• ••••• I•••Oct 9, 2019 · Control person joined · 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
- Website
- H••••://WWW.RBCGAM.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 612-376-7000reportedpublic record, Form ADV, May 21, 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
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- $104Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026