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
Ivy Asset Management LLC
Latest filing May 16, 2012
First filing on the tape Dec 16, 2011 · 6 filings
RAUM
$206M
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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
53
$292M gross assets
History
6 filings and snapshots on the tape
RAUM$206M as of May 16, 2012
Dec 16, 2011$517M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 16, 2012
Dec 16, 20110 then
Employees (5.A): no history
Private funds53 as of May 16, 2012
Mar 26, 201253 then
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of May 16, 2012; 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
- $3.9MderivedRAUM 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
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- otherreportedItem 5.G
- Custody
- $136M, 44 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)
- an independent public accountant performs a surprise examination (9.C.1)
- 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
- 53reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $136M for 44 clientsreported
- Compensation
- n/areported
- 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
Private funds
53 reported on Schedule D 7.B.(1)
All funds of Ivy Asset Management LLC
Owners and control persons
Schedule A and B, latest filing
- J. Charles Billerbeck · Managercontrolsince 03/2012 · owns less than 5%
- Carl Thomas Graf · Managercontrolsince 05/2011 · owns less than 5%
- Elizabeth Christine Schlicht · Chief Compliance Officercontrolsince 10/2010 · owns less than 5%
- Wade Douglas Squasoni · Chief Investment Officer/Chief Restructuring Officercontrolsince 04/2010 · owns less than 5%
Entity owners
- Alternative Holdings I, LLC · 100% Owner Of Ivy Asset Management LLCdirect · owns 75% or more
- Alternative Holdings II, LLC · 100% Owner Of Alternative Holdings I, LLCindirect · owns 75% or more of Alternative Holdings I, LLC
- The Bank Of New York Mellon Corporation · 100% Owner Of Alternative Holdings II, LLCindirect · owns 75% or more of Alternative Holdings II, LLC · public reporting company
Related persons
Schedule D 7.A
- 13 Advisors Incbroker-dealerinvestment adviserbankpooled vehicle sponsorn
- Acn 003 231 829 Limitedbroker-dealern
- Benefit Street Partners Limitedinvestment adviserpooled vehicle sponsornRAUM $23B
- Alcentra Management (Ireland) Limitedinvestment advisern
- Bsp Ny LLCinvestment adviserpooled vehicle sponsornRAUM $14B
- Ativos Ltdainvestment advisern
- Bank Of New York Mellonn
- Birchwood Associates Management, LLCinvestment adviserpooled vehicle sponsory
- Bny Mellon Administracao De Ativos Ltdainvestment advisern
- Bny Mellon Alocacao De Patrimonio Ltdainvestment advisern
- Bny Mellon Am Koreainvestment advisern
- Arx Investimentos Ltdainvestment adviserbanknRAUM $1.9B
- Bny Mellon Asset Management (Uk) Limitedinvestment advisern
- Bny Mellon Asset Management Australia Limitedbroker-dealerinvestment adviserpooled vehicle sponsorn
- Bny Mellon Asset Management Canada Limitedbroker-dealerinvestment adviserpooled vehicle sponsorn
- Bny Mellon Asset Management Hong Kong Limitedbroker-dealerinvestment advisern
- Bny Mellon Asset Management Japan Limitedinvestment advisern
- Bny Mellon Capital Markets Emea Limitedbroker-dealerinvestment advisern
- Bny Mellon Capital Markets, LLCbroker-dealern
- Bny Mellon Fund Managers Limitedinvestment adviserpooled vehicle sponsorn
- Bny Mellon Global Management Limitedinvestment adviserpooled vehicle sponsorn
- Bny Mellon International Asset Management Group Limitedbroker-dealerinvestment adviserpooled vehicle sponsorn
- Bny Mellon International Management Limitedinvestment adviserpooled vehicle sponsorn
- Bny Mellon Korea Limitedinvestment advisern
- Bny Mellon National Associationinvestment advisern
- Bny Mellon Servicos Financeiros Distribuidora De Titulos E Valores Mobiliarios (Dtvm) S.A.broker-dealerinvestment advisern
- Bny Mellon Trust Company Of Illinoisn
- Bny Mellon Trust Of Delawareinvestment advisern
- Bny Mellon Western Fund Management Co., Ltdinvestment advisern
- Cibc Mellon Global Securities Services Companyn
Advisers that list Ivy Asset Management LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY
What changed
consecutive filings, newest first
- Accounts · 84 to 53Dec 21, 2011 to Mar 26, 2012
- Assets in custody · $392M to $136MDec 21, 2011 to Mar 26, 2012
- Insurance-licensed employees · unset to 0.0Dec 21, 2011 to Mar 26, 2012
- Private funds · unset to 53Dec 21, 2011 to Mar 26, 2012
- Discretionary RAUM · $517M to $206MDec 21, 2011 to Mar 26, 2012
- RAUM · $517M to $206MDec 21, 2011 to Mar 26, 2012
- Related bank · false to trueDec 21, 2011 to Mar 26, 2012
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- IVY Asset Management LLC · Private Equityshared crd · organization
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