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
D••• • P••••• I••••••••• M••••••••• C••
Latest filing Apr 17, 2026
First filing on the tape Dec 21, 2011 · 55 filings
SEC status approved since Jul 2, 1979
RAUM
$13B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$6.4B
derived; firm RAUM over IAPD count
Employees
53
26 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
55 filings and snapshots on the tape
RAUM$13B as of Apr 17, 2026
Mar 29, 2012$8.6B then
HNW client RAUM$0 as of Apr 17, 2026
Mar 28, 2018$18.5M then
State-registered IARs (5.B.3)2 as of Apr 17, 2026
Mar 29, 20120 then
Employees (5.A)53 as of Apr 17, 2026
Mar 18, 201339 then
Private funds1 as of Mar 18, 2013
Mar 29, 20121 then
RAUM +4.2% over the last fiscal year+2.0% a year over threeIARs 10 to 2
Practice profile
derived from the filing of Apr 17, 2026; every figure names its basis
- RAUM per advisor
- $6.4BderivedRAUM 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
- $290MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 22%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 26.5derivedItem 5.A over advisors
- Advisors per office
- 0.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +4.2%derivedbetween the last two annual amendments
- Advisor growth, one year
- -80%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$7.5B59%
- Pension and profit-sharing plans$2.1B16%
- Pooled investment vehicles$1.5B12%
- Corporations and businesses$917M7.2%
- State and municipal entities$702M5.5%
- Charitable organizations$47.5M0.4%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 7reported
- Charitable clients
- 3reported
- Accounts
- 44reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.71 institutional_share=0.22 related_bd=true related_bank=true bd_reps=15.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| K••••••• L••••• H•••• | Chicago, Il | Sep 20, 2022 | 34 y | 3 |
| L••••• E•• M••• | Chicago, Il | Jan 19, 2024 | 10 y | 1 |
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
- M•••••• C•••••• S••••• to A••••••• B••••• A•••••••• I•••Jul 9, 2019 · Other
- J••• R•• R••••• to J•••••• C•••• I••••••••• A••••••• L••Jun 3, 2005 · Other
- M••• F•••••••• J••••• to B•• I••••••••• M••••••••• L••Jun 3, 2005 · Other
Joined, latest
- L••••• E•• M••• from W•••••• B•••• • C•••••• L•••••Jan 19, 2024 · Other
- K••••••• L••••• H•••• from W•••••• B•••• • C•••••• L•••••Sep 20, 2022 · Other
- J••• R•• R••••• from C•••••• W••• A•••• M••••••••• L••Mar 26, 2004 · Other
- M••• F•••••••• J••••• from C•••••• W••• A•••• M••••••••• L••Mar 26, 2004 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| D••• • P••••• R••• E••••• S••••••••• T••••no longer reported | Other Private Fund | $47.4M | 17 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••••••• M••••••• A•••• · D•••••Or, Executive Vice President And Treasurercontrolsince 05/2010 · owns less than 5%
- A••••••• G•••••• R••••• · D•••••Or And Chairmancontrolsince 11/2008 · owns less than 5%
- D••••• G•••••••• P•••• · Executive Managing D•••••Orcontrolsince 03/2017 · owns less than 5%
- E•••••• P••••••• E••••• · Executive Managing D•••••Orcontrolsince 05/2024 · owns less than 5%
- G•••••••• D••••• D••• · D•••••Or, President And Chief Investment Officercontrolsince 01/2021 · owns less than 5%
- H••••• K•••••••• L••••• · Chief Compliance Officercontrolsince 08/2022 · owns less than 5%
- P•••••••• D•••••• J••• · Executive Managing D•••••Orcontrolsince 03/2017 · owns less than 5%
- P••••••••• A••••• C•••••• · Chief Legal Officercontrolsince 11/2023 · owns less than 5%
- W••••••• S•••••• G•••• · Executive Managing D•••••Orcontrolsince 03/2022 · owns less than 5%
Entity owners
- V••••• P•••••••• I••• •••••• O•••• • D••••• O••••••••• S••••• · Shareholderdirect · owns 75% or more
- V••••• I••••••••• P•••••••• I••• · Ind••••• Shareholderindirect · owns 75% or more of V••••• Partners, Inc. · public reporting company
Related persons
Schedule D 7.A
- A••••••••• G••••• L••investment adviserbanknRAUM $3.1B
- C•••••• V•••• A••••••• L••investment advisernRAUM $3.4B
- K•••• A••••••• R•••••• I••••••••• M••••••••• L••investment advisernRAUM $39B
- N•• I••••••••• G••••• L••investment advisernRAUM $3.0B
- S••• C•• M••••••••• G• L••pooled vehicle sponsorn
- S••• C•• M••••••••• L••investment adviseryRAUM $336M
- S•••••• C•••••• M••••••••• L••investment advisernRAUM $3.0B
- S••••••••• G••••• A•••••••• L•investment advisernRAUM $17B
- V••••• A••••••••• Investment Advisers, LLCinvestment adviserbanknRAUM $1.1B
- V••••• Advisers, LLCinvestment adviserbanknRAUM $1.4B
- V••••• F•••• I••••• A•••••••• L••investment adviserbanknRAUM $35B
- V••••• Capital Advisers, LLCinvestment adviserbanknRAUM $1.5B
- V••••• G••••• P••••••• P••• L•••investment advisern
- V••••• I••••••••• F••• M••••••••• L••••••investment advisern
- V••••• I••••••••• F••• M••••••••• L••••••investment adviserpooled vehicle sponsorn
- V••••• Investment Advisers, LLCinvestment adviserbankpooled vehicle sponsornRAUM $52B
- V• D••••••••• L••broker-dealern
- W••••••••• C•••••• M••••••••• L••investment adviserbanknRAUM $2.9B
- W••••••••• C•••••• P•••••••• L••investment adviserbankpooled vehicle sponsornRAUM $34.2M
Advisers that list D••• • P••••• I••••••••• M••••••••• C•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Chicago, Il · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Orlando, FL3 employees
- Leawood, KS2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- advisors down RAUM stableCombination · filing Apr 17, 2026the advisor count fell 25 percent or more while RAUM stayed within 5 percent: people left without assets leaving (assets retained, or advisors were support staff). RAUM $12,227,914,131 to $12,746,937,964, advisors 10 to 2, private clients 0 to 0, offices 2 to 2 (2025-03-28 to 2026-04-17)peers: asset managers, $5B to $20B (684)
- advisor count dropChange between filings · filing Apr 17, 2026advisory representatives (Item 5.B.3) moved from 10.0 to 2.0 (-80.0%) between the annual amendments of 2025-03-28 and 2026-04-17; the peer median change was 0.0% (33 comparable advisers, 3.0th percentile of changes)peers: asset managers, $5B to $20B (33) · 3.1% percentile
What changed
consecutive filings, newest first
- Accounts · 52 to 44Nov 6, 2025 to Mar 27, 2026
- Charity clients · 2 to 3Nov 6, 2025 to Mar 27, 2026
- Corporate clients · 20 to 9Nov 6, 2025 to Mar 27, 2026
- Pension plan clients · 5 to 7Nov 6, 2025 to Mar 27, 2026
- Employees · 55 to 53Nov 6, 2025 to Mar 27, 2026
- State-registered IARs · 10 to 2Nov 6, 2025 to Mar 27, 2026
- Discretionary RAUM · $12B to $13BNov 6, 2025 to Mar 27, 2026
- Pension RAUM · $1.5B to $2.1BNov 6, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $1.2B to $1.5BNov 6, 2025 to Mar 27, 2026
- RAUM · $12B to $13BNov 6, 2025 to Mar 27, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Nov 6, 2025
- Accounts · 61 to 52Nov 22, 2024 to Mar 28, 2025
- Advisory employees · 28 to 26Nov 22, 2024 to Mar 28, 2025
- BD registered reps · 13 to 15Nov 22, 2024 to Mar 28, 2025
- Corporate clients · 26 to 20Nov 22, 2024 to Mar 28, 2025
- Employees · 54 to 55Nov 22, 2024 to Mar 28, 2025
- State-registered IARs · 8 to 10Nov 22, 2024 to Mar 28, 2025
- Discretionary RAUM · $12B to $12BNov 22, 2024 to Mar 28, 2025
- Pension RAUM · $1.4B to $1.5BNov 22, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $1.2B to $1.2BNov 22, 2024 to Mar 28, 2025
- RAUM · $12B to $12BNov 22, 2024 to Mar 28, 2025
- Accounts · 58 to 61Dec 11, 2023 to Mar 28, 2024
- Advisory employees · 23 to 28Dec 11, 2023 to Mar 28, 2024
- BD registered reps · 15 to 13Dec 11, 2023 to Mar 28, 2024
- Pooled vehicle clients · 5 to 6Dec 11, 2023 to Mar 28, 2024
- Employees · 50 to 54Dec 11, 2023 to Mar 28, 2024
- State-registered IARs · 9 to 8Dec 11, 2023 to Mar 28, 2024
- Discretionary RAUM · $12B to $12BDec 11, 2023 to Mar 28, 2024
- Pension RAUM · $1.3B to $1.4BDec 11, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $1.1B to $1.2BDec 11, 2023 to Mar 28, 2024
- RAUM · $12B to $12BDec 11, 2023 to Mar 28, 2024
- Other offices · 1 to 2Apr 3, 2023 to Apr 18, 2023
- HQ city · ORLANDO to CHICAGOMar 30, 2023 to Apr 3, 2023
- HQ state · FL to ILMar 30, 2023 to Apr 3, 2023
- Accounts · 57 to 58Sep 22, 2022 to Mar 30, 2023
- Advisory employees · 21 to 23Sep 22, 2022 to Mar 30, 2023
- BD registered reps · 21 to 15Sep 22, 2022 to Mar 30, 2023
- Pension plan clients · 4 to 5Sep 22, 2022 to Mar 30, 2023
- Employees · 48 to 50Sep 22, 2022 to Mar 30, 2023
- HQ city · CHICAGO to ORLANDOSep 22, 2022 to Mar 30, 2023
Signals
8 dated events
- Edward Phillip Enochs (Executive Managing Director) appeared on Schedule A of D••• • P••••• I••••••••• M••••••••• C••Nov 22, 2024 · Control person joined · fact
- Luther John Creswell (Executive Managing Director) no longer on Schedule A of D••• • P••••• I••••••••• M••••••••• C•• (listed 2023-10-12, absent 2023-12-11)Dec 11, 2023 · Control person left · inference
- Cynthia Andra Purkalitis (Chief Legal Officer) appeared on Schedule A of D••• • P••••• I••••••••• M••••••••• C••Dec 11, 2023 · Control person joined · fact
- Jacqueline Wendy Hills (Executive Vice President, General Counsel And Assistant Secretary) no longer on Schedule A of D••• • P••••• I••••••••• M••••••••• C•• (listed 2023-04-18, absent 2023-06-06)Jun 6, 2023 · Control person left · inference
- Joseph William Renahan (Senior Managing Director, Secretary & Chief Compliance Officer) no longer on Schedule A of D••• • P••••• I••••••••• M••••••••• C•• (listed 2022-03-29, absent 2022-05-10)May 10, 2022 · Control person left · inference
- Ivey Nathan Partain (Director, President And Co-Chief Investment Officer) no longer on Schedule A of D••• • P••••• I••••••••• M••••••••• C•• (listed 2020-03-30, absent 2021-01-08)Jan 8, 2021 · Control person left · inference
- Jacqueline Wendy Hills (Executive Vice President, General Counsel And Assistant Secretary) appeared on Schedule A of D••• • P••••• I••••••••• M••••••••• C••Oct 16, 2019 · Control person joined · fact
- Stephen Mark Flynn (Executive Vice President And General Counsel) no longer on Schedule A of D••• • P••••• I••••••••• M••••••••• C•• (listed 2019-03-27, absent 2019-07-03)Jul 3, 2019 · Control person left · inference
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/duff-&-phelps-investment-management-co.reportedpublic record, Form ADV, Sep 18, 2026
- Website
- DPIMC.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 312-263-2610reportedpublic record, Form ADV, Apr 17, 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
- $6.4Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026
Across the graphs
D••• • P••••• I••••••••• M••••••••• C•• is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
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