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

Allianz Global Investors Managed Accounts LLC

Former SEC-registered adviserNew York, New YorkCRD 108057SEC 801-54740IAPD
Latest filing Mar 30, 2012
First filing on the tape Dec 23, 2011 · 2 filings
RAUM
$14B
reported, Item 5.F
Discretionary
31%
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
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$14B as of Mar 30, 2012
Dec 23, 2011$14B then
HNW client RAUM: no history
State-registered IARs (5.B.3): no history
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Mar 30, 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
$1.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
31%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
unknownderivedbetween 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, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, selection of other advisers, otherreportedItem 5.G
Ownership
controlled by a public reporting companyderived
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 non-employees for client referrals (8.G.2)
  • controlled by a public reporting company (10.A)
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
13,174reported
Financial planning clients
0reported
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
Left, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Charles John Carroll · Managing Director, Chief Executive Officercontrol
    since 12/2011 · owns less than 5%
  • Boyd David Jobson · Managing Directorcontrol
    since 01/2011 · owns less than 5%
  • Charles John Maney · Sole Member Of The Management Boardcontrol
    since 12/2011 · owns less than 5%
  • James Michael Puntoriero · Chief Financial Officercontrol
    since 12/2007 · owns less than 5%
  • Joseph Robert Rokose · Managing Directorcontrol
    since 01/2011 · owns less than 5%
  • James John Stergiou · Head Of Managed Accountscontrol
    since 12/2011 · owns less than 5%
  • Martin James Barling · Chief Compliance Officer
    since 10/2009 · owns less than 5%
  • Vincent William Healey · Chief Legal Officer
    since 02/2007 · owns less than 5%
Entity owners
  • Allianz Global Investors U.S. LLC · Member
    direct · owns 75% or more
  • Allianz Asset Management Of America LLC · Partner
    indirect · owns 75% or more of Allianz Asset Management Of America L.P.
  • Allianz Asset Management Of America L.P. · Member
    indirect · owns 75% or more of Allianz Global Investors U.S. LLC
  • Allianz Of America, Inc. · Member
    indirect · owns 75% or more of Allianz Asset Management Of America LLC
  • Allianz Se · Sole Stockholder
    indirect · owns 75% or more of Allianz Of America, Inc.
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 · 13,579 to 13,174
    Dec 23, 2011 to Mar 30, 2012
  • Insurance-licensed employees · unset to 0.0
    Dec 23, 2011 to Mar 30, 2012
  • Discretionary RAUM · $4.3B to $4.3B
    Dec 23, 2011 to Mar 30, 2012
  • Non-discretionary RAUM · $9.7B to $9.4B
    Dec 23, 2011 to Mar 30, 2012
  • RAUM · $14B to $14B
    Dec 23, 2011 to Mar 30, 2012
  • Related bank · false to true
    Dec 23, 2011 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