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
Db Investment Managers, Inc
Latest filing Nov 15, 2018
First filing on the tape Nov 21, 2011 · 44 filings
RAUM
$5.2M
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
3
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
2
$5.2M gross assets
History
44 filings and snapshots on the tape
RAUM$5.2M as of Mar 29, 2018
Mar 30, 2012$3.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2018
Mar 28, 20130 then
Employees (5.A)3 as of Mar 29, 2018
Mar 28, 20137 then
Private funds2 as of Mar 29, 2018
Mar 30, 201271 then
RAUM -67% over the last fiscal year-69% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 15, 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
- $1.3MderivedRAUM 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
- -67%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, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- a related person has custody of client cash (9.B.1.a)
- 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
- Pooled investment vehicles$5.2M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- 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
79 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Dbx-Global Long Short Equity 6 Fundno longer reported | Hedge Fund | $1.3B | 23 | Mar 30, 2012 |
| Dbx-Cta 5 Fundno longer reported | Hedge Fund | $283M | 18 | Mar 30, 2012 |
| Dbx-Global Macro 8 Fundno longer reported | Hedge Fund | $184M | 27 | Mar 30, 2012 |
| Dbx-Convertible Arbitrage 14 Fundno longer reported | Hedge Fund | $119M | 19 | Mar 30, 2012 |
| Dbx-Risk Arbitrage 13 Fundno longer reported | Hedge Fund | $111M | 13 | Feb 26, 2013 |
| Dbx-US Long/Short Equity 15 Fundno longer reported | Hedge Fund | $102M | 16 | Feb 26, 2013 |
| Dbx-Risk Arbitrage 5 Fundno longer reported | Hedge Fund | $92.7M | 19 | Mar 30, 2012 |
| Dbx-Risk Arbitrage 7 Fundno longer reported | Hedge Fund | $76.8M | 15 | Mar 30, 2012 |
| Dbx-Global Long Short Equity 2 Fundno longer reported | Hedge Fund | $63.3M | 9 | Mar 30, 2012 |
| Dbx-US Long/Short Equity 16 Fundno longer reported | Hedge Fund | $58.5M | 8 | Aug 23, 2013 |
| Dbx-Event Driven 2 Fundno longer reported | Hedge Fund | $55.1M | 7 | Mar 30, 2012 |
| Dbx-European Long/Short Equity 4 Fundno longer reported | Hedge Fund | $52.9M | 11 | Mar 30, 2012 |
| Liquidalts Omega Fundno longer reported | Hedge Fund | $52.6M | 33 | Jul 11, 2014 |
| Dbx-Japan Long/Short Equity 4 Fundno longer reported | Hedge Fund | $51.4M | 12 | Mar 30, 2012 |
| Dbx-European Long Short 6 Fundno longer reported | Hedge Fund | $50.4M | 16 | Mar 30, 2012 |
| Dbx-Cta19 Fundno longer reported | Hedge Fund | $49.4M | 2 | Feb 26, 2013 |
| Dbx-Credit 4 Fundno longer reported | Hedge Fund | $49.4M | 15 | Feb 26, 2013 |
| Dbx-European Long/Short Equity 9 Fundno longer reported | Hedge Fund | $48.8M | 3 | Feb 26, 2013 |
| Dbx-US Long/Short Equity 12 Fundno longer reported | Hedge Fund | $44.6M | 21 | Mar 30, 2012 |
| Dbx-Global Long/Short Equity 7 Fundno longer reported | Hedge Fund | $43.4M | 13 | Mar 30, 2012 |
| Dbx-Emerging Markets Macro 3 Fundno longer reported | Hedge Fund | $42.0M | 13 | Mar 30, 2012 |
| Dbx-US Long/Short Equity 9 Fundno longer reported | Hedge Fund | $39.2M | 8 | Mar 30, 2012 |
| Dbx-Global Macro 4 Fundno longer reported | Hedge Fund | $37.0M | 9 | Mar 30, 2012 |
| Dbx-Cta 13 Fundno longer reported | Hedge Fund | $36.7M | 14 | Mar 30, 2012 |
| Dbx-Global Long/Short Equity 8 Fundno longer reported | Hedge Fund | $36.0M | 6 | Mar 30, 2012 |
| Dbx-Convertible Arbitrage 13 Fundno longer reported | Hedge Fund | $35.8M | 7 | Mar 30, 2012 |
| Dbx-Risk Arbitrage 11 Fundno longer reported | Hedge Fund | $34.6M | 15 | Mar 30, 2012 |
| Dbx-Risk Arbitrage 9 Fundno longer reported | Hedge Fund | $33.8M | 15 | Mar 30, 2012 |
| Dbx-Convertible Arbitrage 11 Fundno longer reported | Hedge Fund | $29.4M | 6 | Mar 30, 2012 |
| Dbx-Risk Arbitrage 10 Fundno longer reported | Hedge Fund | $28.5M | 5 | Mar 30, 2012 |
| Dbx-High Yield 1 Fundno longer reported | Hedge Fund | $28.4M | 11 | Mar 30, 2012 |
| Dbx-Japan Long/Short Equity 1 Fundno longer reported | Hedge Fund | $27.6M | 11 | Mar 30, 2012 |
| Db Alpha Discovery Trustno longer reported | Hedge Fund | $27.3M | 0 | Mar 30, 2012 |
| Dbx-High Yield 2 Fundno longer reported | Hedge Fund | $25.9M | 11 | Mar 30, 2012 |
| Dbx-Market Neutral 14 Fundno longer reported | Hedge Fund | $24.2M | 7 | Mar 30, 2012 |
| Dbx-Emerging Markets Macro 2 Fundno longer reported | Hedge Fund | $24.0M | 11 | Mar 30, 2012 |
| Dbx-Global Long Short Equity 9 Fundno longer reported | Hedge Fund | $23.7M | 4 | Aug 23, 2013 |
| Dbx-Asian Long/Short 3 Fundno longer reported | Hedge Fund | $23.1M | 5 | Mar 30, 2012 |
| Dbx-Cta 18 Fundno longer reported | Hedge Fund | $21.1M | 11 | Mar 30, 2012 |
| Dbx-European Long/Short Equity 7 Fundno longer reported | Hedge Fund | $19.4M | 7 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- David Paul Blodgett · Chief Operating Officer And Directorcontrolsince 09/2012 · owns less than 5%
- Sharon Michelle Goveia · Chief Compliance Officercontrolsince 10/2014 · owns less than 5%
- Howard Thomas Rice · Chief Legal Officercontrolsince 09/2018 · owns less than 5%
- Lee Nancy Tanzil · Chief Financial Officer And Treasurercontrolsince 06/2014 · owns less than 5%
- Hepsen Uzcan · President, Director And Chairpersoncontrolsince 06/2018 · owns less than 5%
Entity owners
- Deutsche Bank Trust Corporation · Shareholderdirect · owns 75% or more
- Db USA Corporation · Shareholderindirect · owns 75% or more of Deutsche Bank Trust Corporation
- Deutsche Bank Ag · Shareholderindirect · owns 75% or more of Db USA Corporation · public reporting company
Related persons
Schedule D 7.A
- Db Fund Services LLCn
- Deutsche Asset Management (Asia) Limitedinvestment advisern
- Dws Investments Hong Kong Limitedinvestment advisernRAUM $5.1B
- Deutsche Asset Management (Japan) Limitedinvestment advisern
- Deutsche Asset Management (Uk) Limitedinvestment advisernRAUM $17B
- Deutsche Australia Limitedinvestment advisern
- Deutsche Bank (Cayman) Limitedcustodiann
- Deutsche Bank Agbroker-dealerpooled vehicle sponsory
- Deutsche Bank Ag S.A (Suisse)investment advisern
- Deutsche Bank Ag Sae Private Wealth Management Spaininvestment advisern
- Deutsche Bank Ag, Private Wealth Management Germanyinvestment advisern
- Deutsche Bank Alternative Fund Servicescustodiann
- Deutsche Bank Luxembourg S.A.n
- Deutsche Bank Nominees (Jersey) Limitedinvestment advisern
- Deutsche Bank Securities Inc.broker-dealerinvestment adviserbankn
- Deutsche Bank Trust Company, N.A.n
- Deutsche Far Eastern Asset Management Co., Ltd.investment advisern
- Deutsche International Corporate Services Limitedinvestment adviserbankn
- Deutsche Securities Incinvestment advisern
- Dws Distributors, Inc.broker-dealern
- Dws Investment Management Americas, Inc.investment adviserbanknRAUM $200B
- Dws Trust Companybanky
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Pooled vehicle clients · unset to 4.0Feb 12, 2018 to Mar 29, 2018
- Employees · 5 to 3Feb 12, 2018 to Mar 29, 2018
- Private funds · 4 to 2Feb 12, 2018 to Mar 29, 2018
- Discretionary RAUM · $15.9M to $5.2MFeb 12, 2018 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 5196420.0Feb 12, 2018 to Mar 29, 2018
- RAUM · $15.9M to $5.2MFeb 12, 2018 to Mar 29, 2018
- Other offices · unset to 0.0Jul 3, 2017 to Dec 15, 2017
- Accounts · 13 to 4Mar 1, 2017 to Mar 31, 2017
- Advisory employees · 2 to 1Mar 1, 2017 to Mar 31, 2017
- BD registered reps · 2 to 0Mar 1, 2017 to Mar 31, 2017
- Employees · 6 to 5Mar 1, 2017 to Mar 31, 2017
- Private funds · 13 to 4Mar 1, 2017 to Mar 31, 2017
- Discretionary RAUM · $31.7M to $15.9MMar 1, 2017 to Mar 31, 2017
- RAUM · $31.7M to $15.9MMar 1, 2017 to Mar 31, 2017
- Accounts · 14 to 13Mar 30, 2016 to Apr 6, 2016
- Discretionary RAUM · $84.1M to $31.7MMar 30, 2016 to Apr 6, 2016
- RAUM · $84.1M to $31.7MMar 30, 2016 to Apr 6, 2016
- Accounts · 18 to 14Dec 3, 2015 to Mar 30, 2016
- Advisory activities · 2 to 1Dec 3, 2015 to Mar 30, 2016
- Employees · 7 to 6Dec 3, 2015 to Mar 30, 2016
- Non-discretionary RAUM · $88.0M to $0Dec 3, 2015 to Mar 30, 2016
- RAUM · $172M to $84.1MDec 3, 2015 to Mar 30, 2016
- Private funds · 14 to 13Jun 11, 2015 to Jul 1, 2015
- Accounts · 60 to 18Dec 19, 2014 to Mar 31, 2015
- Private funds · 18 to 14Dec 19, 2014 to Mar 31, 2015
- Discretionary RAUM · $98.2M to $84.1MDec 19, 2014 to Mar 31, 2015
- Non-discretionary RAUM · $3.6B to $88.0MDec 19, 2014 to Mar 31, 2015
- RAUM · $3.7B to $172MDec 19, 2014 to Mar 31, 2015
- Private funds · 29 to 18Jul 11, 2014 to Sep 2, 2014
- Private funds · 60 to 29Mar 31, 2014 to Jul 11, 2014
- Accounts · 65 to 60Aug 29, 2013 to Mar 31, 2014
- Private funds · 64 to 60Aug 29, 2013 to Mar 31, 2014
- Discretionary RAUM · $3.2B to $92.1MAug 29, 2013 to Mar 31, 2014
- Non-discretionary RAUM · $0 to $3.6BAug 29, 2013 to Mar 31, 2014
- RAUM · $3.2B to $3.7BAug 29, 2013 to Mar 31, 2014
- Discretionary RAUM · $92.1M to $98.2MMar 31, 2014 to Mar 31, 2014
- RAUM · $3.7B to $3.7BMar 31, 2014 to Mar 31, 2014
- Accounts · 72 to 65Feb 26, 2013 to Mar 28, 2013
- Private funds · 70 to 64Feb 26, 2013 to Mar 28, 2013
- Discretionary RAUM · $3.7B to $3.2BFeb 26, 2013 to Mar 28, 2013
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