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

Metropolitan West Capital Management, LLC

Former SEC-registered adviserNewport Beach, CaliforniaCRD 107469SEC 801-57001IAPD
Latest filing Mar 29, 2016
First filing on the tape Jan 31, 2012 · 28 filings
RAUM
$8.4B
reported, Item 5.F
Discretionary
96%
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
41
20 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
28 filings and snapshots on the tape
RAUM$8.4B as of Mar 29, 2016
Mar 30, 2012$8.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2016
Apr 1, 20130 then
Employees (5.A)41 as of Mar 29, 2016
Apr 1, 201345 then
Private funds: no history
RAUM -15% over the last fiscal year-3.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 29, 2016; 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
$34.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
96%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
-15%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, 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, publicationsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
  • 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
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
245reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      International Value Fund, L.P.no longer reportedOther Private Fund$1.3M3Jan 31, 2012
      Metwest Capital Small Cap Intrinsic Value Fund, L.P.no longer reportedOther Private Fund$846,1394Jan 31, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Jon Francis Baranko · Director Of Equitycontrol
        since 06/2013 · owns less than 5%
      • C Siobhan Foy · Chief Compliance Officercontrol
        since 12/2014 · owns less than 5%
      • Douglas Kirk Hartman · President, Chief Investment Officercontrol
        since 06/2013 · owns less than 5%
      • Karen Norton · Chief Operations Officercontrol
        since 10/2014 · owns less than 5%
      • Clements Sallie Squire · Director, Chief Administrative Officercontrol
        since 06/2013 · owns less than 5%
      Entity owners
      • Wells Fargo Bank, N.A. · Direct Parent Company, Managing Member
        direct · owns 75% or more
      • Wells Fargo & Company · Shareholder
        indirect · owns 75% or more of Wfc Holdings Corporation · public reporting company
      • Wfc Holdings Corporation · Shareholder
        indirect · owns 50% to 75% of Wells Fargo Bank, N.A. · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 259 to 245
        Oct 13, 2015 to Mar 29, 2016
      • Employees · 42 to 41
        Oct 13, 2015 to Mar 29, 2016
      • Discretionary RAUM · $9.6B to $8.1B
        Oct 13, 2015 to Mar 29, 2016
      • Non-discretionary RAUM · $278M to $345M
        Oct 13, 2015 to Mar 29, 2016
      • RAUM · $9.9B to $8.4B
        Oct 13, 2015 to Mar 29, 2016
      • Accounts · 285 to 259
        Dec 16, 2014 to Mar 25, 2015
      • Advisory employees · 18 to 20
        Dec 16, 2014 to Mar 25, 2015
      • Employees · 47 to 42
        Dec 16, 2014 to Mar 25, 2015
      • Discretionary RAUM · $11B to $9.6B
        Dec 16, 2014 to Mar 25, 2015
      • Non-discretionary RAUM · $288M to $278M
        Dec 16, 2014 to Mar 25, 2015
      • RAUM · $12B to $9.9B
        Dec 16, 2014 to Mar 25, 2015
      • Accounts · 347 to 285
        Oct 30, 2013 to Mar 31, 2014
      • Advisory employees · 19 to 18
        Oct 30, 2013 to Mar 31, 2014
      • Employees · 45 to 47
        Oct 30, 2013 to Mar 31, 2014
      • Financial planning clients · unset to 0
        Oct 30, 2013 to Mar 31, 2014
      • Discretionary RAUM · $9.1B to $11B
        Oct 30, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $219M to $288M
        Oct 30, 2013 to Mar 31, 2014
      • RAUM · $9.3B to $12B
        Oct 30, 2013 to Mar 31, 2014
      • Accounts · 364 to 347
        Feb 11, 2013 to Apr 1, 2013
      • Advisory employees · 22 to 19
        Feb 11, 2013 to Apr 1, 2013
      • Employees · 50 to 45
        Feb 11, 2013 to Apr 1, 2013
      • Discretionary RAUM · $8.3B to $9.1B
        Feb 11, 2013 to Apr 1, 2013
      • Non-discretionary RAUM · $226M to $219M
        Feb 11, 2013 to Apr 1, 2013
      • RAUM · $8.5B to $9.3B
        Feb 11, 2013 to Apr 1, 2013
      • Advisory employees · unset to 22.0
        Oct 19, 2012 to Nov 5, 2012
      • Employees · unset to 50.0
        Oct 19, 2012 to Nov 5, 2012
      • State-registered IARs · unset to 0.0
        Oct 19, 2012 to Nov 5, 2012
      • Accounts · 519 to 364
        Jan 31, 2012 to Mar 30, 2012
      • Assets in custody · 2112207.0 to unset
        Jan 31, 2012 to Mar 30, 2012
      • Custody of client assets · true to false
        Jan 31, 2012 to Mar 30, 2012
      • Private funds · 2 to unset
        Jan 31, 2012 to Mar 30, 2012
      • Discretionary RAUM · $14B to $8.3B
        Jan 31, 2012 to Mar 30, 2012
      • Non-discretionary RAUM · $838M to $226M
        Jan 31, 2012 to Mar 30, 2012
      • RAUM · $14B to $8.5B
        Jan 31, 2012 to Mar 30, 2012
      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