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

Insight Investment

Former SEC-registered adviserNew York, New YorkCRD 107200SEC 801-38363IAPD
Legal name Cutwater Investor Services Corp.
Latest filing Mar 31, 2018
First filing on the tape Mar 29, 2012 · 32 filings
RAUM
$15B
reported, Item 5.F
Discretionary
78%
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
53
26 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
4
$1.3B gross assets
History
32 filings and snapshots on the tape
RAUM$15B as of Mar 31, 2018
Mar 29, 2012$25B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2018
Mar 28, 20130 then
Employees (5.A)53 as of Mar 31, 2018
Mar 28, 2013120 then
Private funds4 as of Mar 31, 2018
Mar 29, 20123 then
RAUM -8.1% over the last fiscal year-9.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2018; 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
$104MderivedRAUM over accounts (5.F.2.f)
Discretionary
78%derivedof RAUM
Institutional
88%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-8.1%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 assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Insurance companies$7.3B49%
  • State and municipal entities$5.2B35%
  • Pooled investment vehicles$1.3B8.6%
  • Pension and profit-sharing plans$633M4.2%
  • Investment companies$509M3.4%
  • Charitable organizations$10.0M0.1%
  • Corporations and businesses$7.7M0.1%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
11reported
Charitable clients
1reported
Accounts
144reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Kimberlite Cdo I, Ltdno longer reportedSecuritized Asset Fund$318M0Mar 29, 2012
      Cutwater Investor Services Institutional Investor Trustno longer reportedOther Private Fund$178M3Mar 29, 2012
      Cutwater Investor Services Institutional Investor Trust Core Bond Fundno longer reportedOther Private Fund$96.4M3Apr 28, 2015
      Cutwater Investor Services Institutional Investor Trust High Yield Fundno longer reportedOther Private Fund$48.2M1Apr 28, 2015
      Cutwater Investor Services Institutional Trust Core Plus Fundno longer reportedOther Private Fund$42.6M1Apr 28, 2015
      Cutwater Investor Services Institutional Investor Trust Long Duration Fundno longer reportedOther Private Fund$13.8M3Apr 28, 2015
      Owners and control persons
      Schedule A and B, latest filing
      • Allan Gregory Brisk · Directorcontrol
        since 01/2015 · owns less than 5%
      • Dean Clifford Corso · Chief Executive Officercontrol
        since 11/2017 · owns less than 5%
      • Jonathan Eliot · Directorcontrol
        since 11/2017 · owns less than 5%
      • Seth Gelman · Chief Compliance Officercontrol
        since 12/2017 · owns less than 5%
      • Habib Abdallah Nauphal · Directorcontrol
        since 01/2015 · owns less than 5%
      • Maria Danielle Pagano · Directorcontrol
        since 11/2017 · owns less than 5%
      Entity owners
      • Cutwater Holdings, LLC · Direct Owner
        direct · owns 75% or more
      • The Bank Of New York Mellon · Indirect Owner
        indirect · owns 75% or more of Cutwater Holdings, LLC · public reporting company
      • The Bank Of New York Mellon Corporation · Indirect Owner
        indirect · owns 75% or more of The Bank Of New York Mellon · public reporting company
      Related persons
      Schedule D 7.A
      • Benefit Street Partners Limited
        investment adviserbankpooled vehicle sponsornRAUM $23B
      • Bsp Ny LLC
        investment adviserbankpooled vehicle sponsornRAUM $14B
      • Amherst Capital Management LLC
        investment advisernRAUM $545M
      • Arx Investimentos Ltda
        investment adviserbankn
      • Bny Mellon Investor Solutions, LLC
        investment advisernRAUM $853M
      • Bny Mellon Administacao De Ativos Ltda.
        investment advisern
      • Bny Mellon Alocacao De Patrimonio Ltda
        investment advisern
      • Bny Mellon Asset Management Canada Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Management Japan Limited
        investment advisernRAUM $32B
      • Mellon Investments Corporation
        investment adviserbankpooled vehicle sponsornRAUM $874B
      • Bny Mellon Banco S.A.
        n
      • Bny Mellon Capital Markets Emea Limited
        broker-dealerinvestment adviserbankn
      • Bny Mellon Capital Markets, LLC
        broker-dealern
      • Bny Mellon Fund Managers Limited
        investment adviserpooled vehicle sponsorn
      • Bny Mellon Global Management Limited
        investment adviserpooled vehicle sponsorn
      • Bny Mellon Im Korea Limited
        investment advisern
      • Bny Mellon International Management Limited
        investment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Management Australia Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Management Cayman Ltd
        investment adviserpooled vehicle sponsornRAUM $10B
      • Bny Mellon Investment Management Emea Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Management Hong Kong Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Management Singapore Pte. Limited
        investment advisern
      • Bny Mellon National Association
        investment advisercustodiann
      • Bny Mellon Servicos Financeiros Distribuidora De Titulos E Valores Mobiliarios (Dtvm) S.A.
        broker-dealerinvestment advisern
      • Bny Mellon Trust Company (Ireland) Limited
        n
      • Bny Mellon Trust Company Of Illinois
        n
      • Bny Mellon Trust Of Delaware
        investment advisern
      • Bny Mellon Wealth Management, Advisory Services, Inc.
        broker-dealerinvestment adviserbankpooled vehicle sponsorn
      • Cibc Mellon Global Securities Services Company
        n
      • Cibc Mellon Trust Company
        n
      Advisers that list Insight Investment as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Denver, CO1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 164 to 144
        Dec 22, 2017 to Mar 31, 2018
      • Advisory employees · 30 to 26
        Dec 22, 2017 to Mar 31, 2018
      • BD registered reps · 19 to 9
        Dec 22, 2017 to Mar 31, 2018
      • Charity clients · unset to 1.0
        Dec 22, 2017 to Mar 31, 2018
      • Corporate clients · unset to 2.0
        Dec 22, 2017 to Mar 31, 2018
      • Pension plan clients · unset to 11.0
        Dec 22, 2017 to Mar 31, 2018
      • Pooled vehicle clients · unset to 4.0
        Dec 22, 2017 to Mar 31, 2018
      • Employees · 75 to 53
        Dec 22, 2017 to Mar 31, 2018
      • Financial planning clients · unset to 0
        Dec 22, 2017 to Mar 31, 2018
      • Discretionary RAUM · $13B to $12B
        Dec 22, 2017 to Mar 31, 2018
      • Non-discretionary RAUM · $3.4B to $3.3B
        Dec 22, 2017 to Mar 31, 2018
      • Pension RAUM · unset to 633363893.0
        Dec 22, 2017 to Mar 31, 2018
      • Pooled vehicle RAUM · unset to 1289975340.0
        Dec 22, 2017 to Mar 31, 2018
      • RAUM · $16B to $15B
        Dec 22, 2017 to Mar 31, 2018
      • Other offices · unset to 1.0
        Jul 6, 2017 to Dec 22, 2017
      • Accounts · 167 to 164
        Jan 23, 2017 to Mar 31, 2017
      • Assets in custody · unset to 2947396922.0
        Jan 23, 2017 to Mar 31, 2017
      • Discretionary RAUM · $12B to $13B
        Jan 23, 2017 to Mar 31, 2017
      • Non-discretionary RAUM · $4.3B to $3.4B
        Jan 23, 2017 to Mar 31, 2017
      • RAUM · $16B to $16B
        Jan 23, 2017 to Mar 31, 2017
      • BD registered reps · 15 to 19
        Mar 30, 2016 to Jul 11, 2016
      • Business name · CUTWATER ASSET MANAGEMENT to INSIGHT INVESTMENT
        Mar 30, 2016 to Jul 11, 2016
      • Employees · 68 to 75
        Mar 30, 2016 to Jul 11, 2016
      • Private funds · 7 to 4
        Mar 30, 2016 to Jul 11, 2016
      • Accounts · 199 to 167
        Nov 25, 2015 to Mar 30, 2016
      • Advisory employees · 27 to 30
        Nov 25, 2015 to Mar 30, 2016
      • Advisory activities · 5 to 3
        Nov 25, 2015 to Mar 30, 2016
      • BD registered reps · 16 to 15
        Nov 25, 2015 to Mar 30, 2016
      • Employees · 72 to 68
        Nov 25, 2015 to Mar 30, 2016
      • Discretionary RAUM · $16B to $12B
        Nov 25, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · $4.0B to $4.3B
        Nov 25, 2015 to Mar 30, 2016
      • RAUM · $20B to $16B
        Nov 25, 2015 to Mar 30, 2016
      • Related insurance company · true to false
        Nov 25, 2015 to Mar 30, 2016
      • HQ city · ARMONK to NEW YORK
        Jun 1, 2015 to Jun 11, 2015
      • Private funds · 4 to 7
        Mar 31, 2015 to Apr 28, 2015
      • Accounts · 237 to 199
        Feb 4, 2015 to Mar 31, 2015
      • Advisory employees · 30 to 27
        Feb 4, 2015 to Mar 31, 2015
      • BD registered reps · 18 to 16
        Feb 4, 2015 to Mar 31, 2015
      • Assets in custody · 1110298529.0 to unset
        Feb 4, 2015 to Mar 31, 2015
      • Custody of client assets · true to false
        Feb 4, 2015 to Mar 31, 2015
      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