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

Janus Henderson Investors

Former SEC-registered adviserDenver, ColoradoCRD 107300SEC 801-47202IAPD
Legal name Henderson Global Investors (North America) Inc.
Latest filing Mar 29, 2018
First filing on the tape Mar 30, 2012 · 28 filings
RAUM
$444M
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
984
100 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$444M as of Mar 29, 2018
Mar 30, 2012$8.2B then
HNW client RAUM: $0
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 28, 201336 then
Employees (5.A)984 as of Mar 29, 2018
Mar 28, 201396 then
Private funds2 as of Mar 28, 2014
Mar 30, 20129 then
RAUM -97% over the last fiscal year-68% a year over threeIARs 14 to 0
Practice profile
derived from the filing of Mar 29, 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
$444MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-97%derivedbetween the last two annual amendments
Advisor growth, one year
-100%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
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
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$444M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
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
Every departureEvery arrival
Private funds
9 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Casa Partners IV, LPno longer reportedReal Estate Fund$488M18Mar 30, 2012
Casa Partners III L.Pno longer reportedReal Estate Fund$480M15Mar 30, 2012
Casa Partners II, L.P.no longer reportedReal Estate Fund$378M4Mar 30, 2012
Casa Group, LLCno longer reportedReal Estate Fund$283M2Mar 30, 2012
Casa Partners V, LPno longer reportedReal Estate Fund$163M11Mar 30, 2012
Henderson North America Property Fund, LPno longer reportedReal Estate Fund$146M2Mar 30, 2012
Special Account - U, LPno longer reportedReal Estate Fund$122M1Mar 30, 2012
Henderson Asia Pacific Absolute Return Fund I Incno longer reportedHedge Fund$42.7M5Mar 30, 2012
Henderson International Acwi Ex-US, LPno longer reportedOther Private Fund$9.9M2Mar 30, 2012
Owners and control persons
Schedule A and B, latest filing
  • Drew Michael Elder · Senior Vice President, Head Of North American Distributioncontrol
    since 05/2017 · owns less than 5%
  • Allen Brennan Hughes · Senior Vice President, Treasurercontrol
    since 05/2017 · owns less than 5%
  • Lewis Bruce Koepfgen · Presidentcontrol
    since 05/2017 · owns less than 5%
  • Rose Michelle Rosenberg · Secretarycontrol
    since 05/2017 · owns less than 5%
  • Jo Amy Stefonick · Assistant Secretarycontrol
    since 05/2017 · owns less than 5%
  • Kelly Susan Wold · Chief Compliance Officercontrol
    since 12/2017 · owns less than 5%
Entity owners
  • Henderson International Inc. · 100% Shareholder
    direct · owns 75% or more
  • Henderson Global Group Limited · Shareholder
    indirect · owns 75% or more of Henderson Holdings Group Limited
  • Henderson Global Investors (Holdings) Ltd. · Shareholder
    indirect · owns 75% or more of Henderson Holdings Limited
  • Henderson Global Investors (International Holdings) Bv · Shareholder
    indirect · owns 75% or more of Henderson International Inc.
  • Henderson Group Holdings Asset Management Limited · Shareholder
    indirect · owns 75% or more of Hgi Asset Management Group Limited
  • Henderson Holdings Group Limited · Shareholder
    indirect · owns 75% or more of Hgi Group Limited
  • Henderson Holdings Limited · Shareholder
    indirect · owns 75% or more of Henderson Global Investors (International Holdings) Bv
  • Hgi Asset Management Group Limited · Shareholder
    indirect · owns 75% or more of Henderson Global Group Limited
  • Hgi Group Limited · Shareholder
    indirect · owns 75% or more of Henderson Global Investors (Holdings) Ltd
  • Janus Henderson Group Plc · Shareholder
    indirect · owns 75% or more of Henderson Group Holdings Asset Management Limited · public reporting company
Related persons
Schedule D 7.A
Advisers that list Janus Henderson Investors as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 11 to 1
    Sep 15, 2017 to Mar 29, 2018
  • Advisory employees · 2 to 100
    Sep 15, 2017 to Mar 29, 2018
  • Advisory activities · 5 to 1
    Sep 15, 2017 to Mar 29, 2018
  • BD registered reps · 3 to 360
    Sep 15, 2017 to Mar 29, 2018
  • Charity clients · unset to 0.0
    Sep 15, 2017 to Mar 29, 2018
  • Corporate clients · unset to 0.0
    Sep 15, 2017 to Mar 29, 2018
  • HNW clients · unset to 0.0
    Sep 15, 2017 to Mar 29, 2018
  • Individual clients · unset to 0.0
    Sep 15, 2017 to Mar 29, 2018
  • Pension plan clients · unset to 0.0
    Sep 15, 2017 to Mar 29, 2018
  • Pooled vehicle clients · unset to 0.0
    Sep 15, 2017 to Mar 29, 2018
  • Assets in custody · 332825826.0 to unset
    Sep 15, 2017 to Mar 29, 2018
  • Custody of client assets · true to false
    Sep 15, 2017 to Mar 29, 2018
  • Employees · 25 to 984
    Sep 15, 2017 to Mar 29, 2018
  • Financial planning clients · 0 to unset
    Sep 15, 2017 to Mar 29, 2018
  • HQ city · CHICAGO to DENVER
    Sep 15, 2017 to Mar 29, 2018
  • HQ state · IL to CO
    Sep 15, 2017 to Mar 29, 2018
  • Other offices · unset to 0.0
    Sep 15, 2017 to Mar 29, 2018
  • Discretionary RAUM · $1.2B to $444M
    Sep 15, 2017 to Mar 29, 2018
  • HNW RAUM · unset to 0.0
    Sep 15, 2017 to Mar 29, 2018
  • Individual RAUM · unset to 0.0
    Sep 15, 2017 to Mar 29, 2018
  • Pension RAUM · unset to 0.0
    Sep 15, 2017 to Mar 29, 2018
  • Pooled vehicle RAUM · unset to 0.0
    Sep 15, 2017 to Mar 29, 2018
  • RAUM · $1.2B to $444M
    Sep 15, 2017 to Mar 29, 2018
  • Business name · HENDERSON GLOBAL INVESTORS to JANUS HENDERSON INVESTORS
    Jun 19, 2017 to Sep 15, 2017
  • Accounts · 28 to 11
    Mar 17, 2017 to Jun 19, 2017
  • Advisory employees · 14 to 2
    Mar 17, 2017 to Jun 19, 2017
  • BD registered reps · 43 to 3
    Mar 17, 2017 to Jun 19, 2017
  • Employees · 81 to 25
    Mar 17, 2017 to Jun 19, 2017
  • Insurance-licensed employees · 3 to 0
    Mar 17, 2017 to Jun 19, 2017
  • State-registered IARs · 14 to 0
    Mar 17, 2017 to Jun 19, 2017
  • Discretionary RAUM · $14B to $1.2B
    Mar 17, 2017 to Jun 19, 2017
  • RAUM · $14B to $1.2B
    Mar 17, 2017 to Jun 19, 2017
  • Accounts · 34 to 28
    Mar 28, 2016 to Mar 17, 2017
  • BD registered reps · 44 to 43
    Mar 28, 2016 to Mar 17, 2017
  • Assets in custody · $436M to $333M
    Mar 28, 2016 to Mar 17, 2017
  • Employees · 80 to 81
    Mar 28, 2016 to Mar 17, 2017
  • State-registered IARs · 15 to 14
    Mar 28, 2016 to Mar 17, 2017
  • Discretionary RAUM · $16B to $14B
    Mar 28, 2016 to Mar 17, 2017
  • RAUM · $16B to $14B
    Mar 28, 2016 to Mar 17, 2017
  • Accounts · 31 to 34
    Jan 29, 2016 to Mar 28, 2016
Signals
1 dated events
  • Janus Henderson Investors reported RAUM $443.8M, down 62% from $1.2B (2017-09-15 to 2018-03-29)
    Mar 29, 2018 · RAUM change · derived
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
Across the graphs

Janus Henderson Investors 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.

Checking your plan…