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

Fmr Co., Inc.

Former SEC-registered adviserBoston, MassachusettsCRD 108617SEC 801-3447IAPD
Latest filing Nov 22, 2019
First filing on the tape Mar 28, 2012 · 44 filings
RAUM
$919B
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
1,120
332 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
7
$72.2M gross assets
History
44 filings and snapshots on the tape
RAUM$919B as of Mar 29, 2019
Mar 28, 2012$607B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 29, 2019
Mar 28, 20120 then
Employees (5.A)1,120 as of Mar 29, 2019
Mar 27, 20131,806 then
Private funds7 as of Mar 29, 2019
Mar 28, 20121 then
RAUM -18% over the last fiscal year-6.0% a year over threeIARs 0 to 0offices 3 to 2
Practice profile
derived from the filing of Nov 22, 2019; 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
$1.7BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
2.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-18%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-based, otherreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
Custody
yesreportedItem 9.A
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)
  • 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
  • Investment companies$791B86%
  • Pooled investment vehicles$102B11%
  • State and municipal entities$23B2.6%
  • Other investment advisers$2.8B0.3%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
552reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$0 for 0 clientsreported
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
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Contcp LP Holdings LLCno longer reportedOther Private Fund$11.0M1Mar 27, 2015
      Grthcocp Cc Holdings LLCOther Private Fund$6.4M1Mar 28, 2017
      Fidelity Dynamic Strategies Cayman Ltd.Hedge Fund$3.6M1Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Michael Timothy Cohen · Co-Head Equitycontrol
        since 03/2018 · owns less than 5%
      • Ruddick Pam Holding · Co-Head Equitycontrol
        since 03/2018 · owns less than 5%
      • Pierrepont Abigail Johnson · Chairman Of The Board, Directorcontrol
        since 02/2011 · owns less than 5%
      • Jay Harley Lank · Head Of High Incomecontrol
        since 08/2019 · owns less than 5%
      • Matthew Kevin Meagher · Chief Compliance Officercontrol
        since 07/2018 · owns less than 5%
      • Charles Stephen Neff · President, Head Of Asset Managementcontrol
        since 12/2018 · owns less than 5%
      • John Christopher Rimmer · Head Of Asset Management Finance, Treasurercontrol
        since 09/2018 · owns less than 5%
      • Nmn Vadim Zlotnikov · President Global Asset Allocationcontrol
        since 12/2018 · owns less than 5%
      • Charles James Curvey · Elected Managercontrol
        since 02/1990 · owns F of Fmr LLC
      • Crosby Edward Johnson IV · Elected Managercontrol
        since 04/2006 · owns F of Fmr LLC
      • Pierrepont Abigail Johnson · Elected Managercontrol
        since 05/1994 · owns F of Fmr LLC
      • John Gerard Mcgraw · Elected Managercontrol
        since 10/2014 · owns F of Fmr LLC
      • Joseph John Remondi · Elected Managercontrol
        since 04/2006 · owns F of Fmr LLC
      • Engber Michael Wilens · Elected Managercontrol
        since 10/2014 · owns F of Fmr LLC
      • Cynthia Lo Bessette · Senior Vice President, Secretary, Chief Legal Officer
        since 10/2019 · owns less than 5%
      • Simon Peter Lynch · Vice Chairman, Director
        since 06/1999 · owns less than 5%
      • Joseph John Remondi · Director
        since 06/2007 · owns less than 5%
      • Bruce Kenneth Robins · Compliance Officer
        since 07/2016 · owns less than 5%
      Entity owners
      • Fidelity Management & Research Company · Shareholder
        direct · owns 75% or more
      • Fmr LLC · Shareholder
        indirect · owns 75% or more of Fidelity Management & Research Company
      Related persons
      Schedule D 7.A
      • 42 North Resource Partners Advisors LP
        pooled vehicle sponsorn
      • Agilus Ventures Advisors IV Limited Partnership
        pooled vehicle sponsorn
      • Agilus Ventures Advisors IV-E Limited Partnership
        pooled vehicle sponsorn
      • Alimont Ventures Advisors V Limited Partnership
        pooled vehicle sponsorn
      • Ballyrock Investment Advisors LLC
        investment advisernRAUM $11B
      • Empire Fidelity Investments Life Insurance Company
        real estaten
      • F-Prime Capital Partners Health It And Services Advisors LP
        pooled vehicle sponsorn
      • F-Prime Capital Partners Healthcare Advisors Fund II LP
        pooled vehicle sponsorn
      • F-Prime Capital Partners Healthcare Advisors Fund III LP
        pooled vehicle sponsorn
      • F-Prime Capital Partners Healthcare Advisors Fund IV LP
        pooled vehicle sponsorn
      • F-Prime Capital Partners Healthcare Advisors Fund IV-A LP
        pooled vehicle sponsorn
      • F-Prime Capital Partners Healthcare Advisors Fund LP
        pooled vehicle sponsorn
      • F-Prime Capital Partners Healthcare Advisors Fund V LP
        pooled vehicle sponsorn
      • F-Prime Capital Partners Life Sciences Advisors Fund Vi LP
        pooled vehicle sponsorn
      • F-Prime Capital Partners Tech Advisors Fund II LP
        pooled vehicle sponsorn
      • F-Prime Capital Partners Tech Advisors Fund LP
        pooled vehicle sponsorn
      • Fiam Index Fund Gp, LLC
        bankpooled vehicle sponsorn
      • Fiam Institutional Funds Manager, LLC
        bankpooled vehicle sponsorn
      • Fiam LLC
        investment adviserbankLP sponsornRAUM $348B
      • Fidelity (Canada) Asset Management Ulc
        investment advisern
      • Fidelity Brokerage Services LLC
        broker-dealern
      • Fidelity Business Services India Private Limited
        investment advisern
      • Fidelity Clearing Canada Ulc
        broker-dealern
      • Fidelity Distributors Corporation
        broker-dealern
      • Fidelity Institutional Asset Management Trust Company
        investment adviserbankLP sponsorn
      • Fidelity Insurance Agency, Inc.
        real estaten
      • Fidelity Investments Canada Ulc
        investment advisern
      • Fidelity Investments Institutional Services Company, Inc.
        broker-dealern
      • Fidelity Investments Life Insurance Company
        real estaten
      • Fidelity Investments Money Management, Inc.
        investment adviserbanknRAUM $869B
      Advisers that list Fmr Co., Inc. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Greenwood Village, CO6 employees
      • Smithfield, RI2 employees
      What changed
      consecutive filings, newest first
      • Accounts · 562 to 552
        Jan 4, 2019 to Mar 29, 2019
      • Advisory employees · 362 to 332
        Jan 4, 2019 to Mar 29, 2019
      • Pooled vehicle clients · 17 to 19
        Jan 4, 2019 to Mar 29, 2019
      • Employees · 1,316 to 1,120
        Jan 4, 2019 to Mar 29, 2019
      • Other offices · 3 to 2
        Jan 4, 2019 to Mar 29, 2019
      • Discretionary RAUM · $1115B to $919B
        Jan 4, 2019 to Mar 29, 2019
      • Pooled vehicle RAUM · $169B to $102B
        Jan 4, 2019 to Mar 29, 2019
      • RAUM · $1115B to $919B
        Jan 4, 2019 to Mar 29, 2019
      • Accounts · 543 to 562
        Feb 13, 2018 to Mar 28, 2018
      • Advisory employees · 342 to 362
        Feb 13, 2018 to Mar 28, 2018
      • BD registered reps · 8 to 2
        Feb 13, 2018 to Mar 28, 2018
      • Pooled vehicle clients · 12 to 17
        Feb 13, 2018 to Mar 28, 2018
      • Employees · 1,371 to 1,316
        Feb 13, 2018 to Mar 28, 2018
      • Other offices · 2 to 3
        Feb 13, 2018 to Mar 28, 2018
      • Private funds · 6 to 7
        Feb 13, 2018 to Mar 28, 2018
      • Discretionary RAUM · $920B to $1115B
        Feb 13, 2018 to Mar 28, 2018
      • Pooled vehicle RAUM · $100B to $169B
        Feb 13, 2018 to Mar 28, 2018
      • RAUM · $920B to $1115B
        Feb 13, 2018 to Mar 28, 2018
      • Pooled vehicle clients · unset to 12.0
        Sep 25, 2017 to Feb 13, 2018
      • Other offices · unset to 2.0
        Sep 25, 2017 to Feb 13, 2018
      • Pooled vehicle RAUM · unset to 100399063980.0
        Sep 25, 2017 to Feb 13, 2018
      • Accounts · 439 to 543
        Dec 16, 2016 to Mar 28, 2017
      • Advisory employees · 315 to 342
        Dec 16, 2016 to Mar 28, 2017
      • BD registered reps · 9 to 8
        Dec 16, 2016 to Mar 28, 2017
      • Employees · 1,423 to 1,371
        Dec 16, 2016 to Mar 28, 2017
      • Private funds · 5 to 6
        Dec 16, 2016 to Mar 28, 2017
      • Discretionary RAUM · $1105B to $920B
        Dec 16, 2016 to Mar 28, 2017
      • RAUM · $1105B to $920B
        Dec 16, 2016 to Mar 28, 2017
      • Accounts · 280 to 439
        Feb 2, 2016 to Mar 29, 2016
      • Advisory employees · 339 to 315
        Feb 2, 2016 to Mar 29, 2016
      • BD registered reps · 0 to 9
        Feb 2, 2016 to Mar 29, 2016
      • Employees · 1,503 to 1,423
        Feb 2, 2016 to Mar 29, 2016
      • Private funds · 1 to 5
        Feb 2, 2016 to Mar 29, 2016
      • Discretionary RAUM · $919B to $1105B
        Feb 2, 2016 to Mar 29, 2016
      • RAUM · $919B to $1105B
        Feb 2, 2016 to Mar 29, 2016
      • Accounts · 293 to 280
        Feb 11, 2015 to Mar 27, 2015
      • Advisory employees · 361 to 339
        Feb 11, 2015 to Mar 27, 2015
      • BD registered reps · 10 to 0
        Feb 11, 2015 to Mar 27, 2015
      • Assets in custody · unset to 0.0
        Feb 11, 2015 to Mar 27, 2015
      • Custody of client assets · false to true
        Feb 11, 2015 to Mar 27, 2015
      Signals
      7 dated events
      • Thomas Paul Hession (Chief Operating Officer) no longer on Schedule A of Fmr Co., Inc. (listed 2019-09-30, absent 2019-11-11)
        Nov 11, 2019 · Control person left · inference
      • Delia Nancy Prior (Head Of High Income And Emerging Market Debt) no longer on Schedule A of Fmr Co., Inc. (listed 2019-07-12, absent 2019-09-30)
        Sep 30, 2019 · Control person left · inference
      • Jay Harley Lank (Head Of High Income) appeared on Schedule A of Fmr Co., Inc.
        Sep 30, 2019 · Control person joined · fact
      • Brazell Brian Hogan (President) no longer on Schedule A of Fmr Co., Inc. (listed 2019-01-04, absent 2019-03-29)
        Mar 29, 2019 · Control person left · inference
      • Sumner Charles Morrison (President Of Asset Management) no longer on Schedule A of Fmr Co., Inc. (listed 2018-10-29, absent 2019-01-04)
        Jan 4, 2019 · Control person left · inference
      • Nmn Vadim Zlotnikov (President Global Asset Allocation) appeared on Schedule A of Fmr Co., Inc.
        Jan 4, 2019 · Control person joined · fact
      • Charles Stephen Neff (Head Of Asset Management) appeared on Schedule A of Fmr Co., Inc.
        Jan 4, 2019 · Control person joined · fact
      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