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.
SEC-registered adviser
Post Advisory Group, LLC
Latest filing May 5, 2026
First filing on the tape Mar 29, 2012 · 48 filings
SEC status approved since Sep 18, 2000
RAUM
$13B
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
49
24 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
12
reported on Schedule D
History
48 filings and snapshots on the tape
RAUM$13B as of May 5, 2026
Mar 29, 2012$9.3B then
HNW client RAUM$0 as of May 5, 2026
Mar 22, 2018$0 then
State-registered IARs (5.B.3)0 as of May 5, 2026
Mar 28, 20130 then
Employees (5.A)49 as of May 5, 2026
Mar 28, 201333 then
Private funds12 as of May 5, 2026
Mar 29, 20124 then
RAUM -18% over the last fiscal year-7.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 5, 2026; 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
- $326MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 34%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
- -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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $1.2B, 5 clientsreportedItem 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$4.4B34%
- Corporations and businesses$3.5B27%
- State and municipal entities$2.8B21%
- Insurance companies$1.1B8.1%
- Investment companies$668M5.1%
- Pension and profit-sharing plans$535M4.1%
- Charitable organizations$135M1.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 5reported
- Charitable clients
- 1reported
- Accounts
- 40reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.2B for 5 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.39 institutional_share=0.34 related_bd=false related_bank=false bd_reps=0.0derived
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
- Juan Angel Cardenas to Advice And Planning ServicesMay 9, 2012 · Other
Joined, latest
- Juan Angel Cardenas from Advice And Planning ServicesMay 27, 2011 · Other
Private funds
15 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Post Intermediate Term High Yield Fund, LP | Other Private Fund | $453M | 24 | Mar 29, 2012 |
| Post Traditional High Yield Fund, LPno longer reported | Other Private Fund | $407M | 35 | Mar 29, 2012 |
| Post Clo 2023-1 Ltd | Securitized Asset Fund | $400M | 1 | Mar 30, 2023 |
| Post Clo 2022-1 Ltd. | Securitized Asset Fund | $400M | 1 | Mar 30, 2022 |
| Post Clo 2021-1 Ltd. | Securitized Asset Fund | $399M | 1 | Mar 30, 2022 |
| Post Clo 2018-1 Ltd | Securitized Asset Fund | $395M | 2 | Mar 22, 2018 |
| Post Traditional High Yield Master Fund, LP | Other Private Fund | $313M | 19 | Mar 22, 2018 |
| Post Senior Loan Master Fund, LP | Other Private Fund | $236M | 8 | Mar 28, 2013 |
| Post Clo 2024-1 Ltd. | Securitized Asset Fund | $131M | 3 | Mar 28, 2024 |
| Post Limited Term High Yield Master Fund, LP | Other Private Fund | $39.5M | 14 | Mar 29, 2012 |
| Post Intermediate Term High Yield Fund II, LPno longer reported | Other Private Fund | $37.0M | 31 | Mar 28, 2013 |
| Post Structured Credit Opportunities Master Fund, LP | Hedge Fund | $34.0M | 3 | Mar 28, 2024 |
| Post Clo Equity Master Fund, LP | Private Equity Fund | $27.3M | 34 | Mar 30, 2022 |
| Post Credit Opportunities Master Fund LPno longer reported | Hedge Fund | $26.8M | 4 | Feb 29, 2016 |
| Post High Yield Plus Master Fund, LPno longer reported | Other Private Fund | $851,074 | 2 | Mar 29, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Kamal Bhatia · Directorcontrolsince 12/2020 · owns less than 5%
- Ann Deborah Flickinger · Chief Operations Officer And Directorcontrolsince 03/2022 · owns less than 5%
- Gregory Patrick Halter · Directorcontrolsince 09/2017 · owns less than 5%
- Marie Jill Hittner · Directorcontrolsince 03/2014 · owns less than 5%
- Marie Kara Hoogensen · Directorcontrolsince 06/2020 · owns less than 5%
- Doyon David Kim · Deputy Chief Investment Officer & Directorcontrolsince 01/2020 · owns less than 5%
- Yuki Kunimura · Directorcontrolsince 03/2023 · owns less than 5%
- Elaine Maureen Ocampo · Chief Compliance Officercontrolsince 05/2023 · owns less than 5%
- James Christopher Reddy · Directorcontrolsince 04/2020 · owns less than 5%
- Martin Scott Sailer · Directorcontrolsince 07/2018 · owns less than 5%
- Mark Jeffrey Stroll · Directorcontrolsince 03/2018 · owns less than 5%
- Yvonne Young · Chief Financial Officercontrolsince 10/2011 · owns less than 5%
- Joel Kristopher Farm · Chief Technology Officersince 03/2016 · owns less than 5%
Entity owners
- Principal Global Investors Holding Company US LLC · Memberdirect · owns 50% to 75%
- Nippon Life Insurance Company · 100% Ownerindirect · owns 75% or more of Nli US Investments, Inc.
- Principal Financial Group, Inc. · 100% Ownerindirect · owns 75% or more of Principal Financial Services, Inc. · public reporting company
- Principal Financial Services, Inc. · 100% Ownerindirect · owns 75% or more of Principal Global Investors Holding Company US LLC
- Nli US Investments, Inc. · Memberdirect · owns 10% to 25%
Related persons
Schedule D 7.A
- Brasilprev Seguros E Previdencia S.A.real estaten
- Claritas Investments Ltd.investment adviserpooled vehicle sponsorn
- Delaware Charter Guarantee & Trust Companyn
- Diversified Dental Services, Inc. A Nevada Close Corporationreal estaten
- Employers Dental Services, Inc.real estaten
- Equity Fc, Ltdbroker-dealern
- First Dental Healthreal estaten
- Principal Origininvestment adviserpooled vehicle sponsornRAUM $4.6B
- Petula Associates LLCn
- Principal Administradora General De Fondos S.A.pooled vehicle sponsorn
- Principal Advised Servicesinvestment advisernRAUM $1.4B
- Principal Afore, S.A. De C.V., Principal Grupo Financieroreal estaten
- Principal Ahorro E Inversiones S.A.investment advisern
- Principal Asset Management (S) Pte. Ltdpooled vehicle sponsorn
- Principal Asset Management Berhadpooled vehicle sponsorn
- Principal Asset Management (Asia)investment advisernRAUM $14B
- Principal Asset Management Company Ltd (Thailand)pooled vehicle sponsorn
- Principal Bankcustodiann
- Principal Dental Services, Inc.real estaten
- Principal Enterprise Capital, LLCinvestment advisern
- Principal Financial Group, Inc.real estaten
- Principal Financial Services, Inc.real estaten
- Principal Funds Distributor, Inc.broker-dealern
- Principal Global Investors (Australia) Ltdinvestment advisern
- Principal Global Investors (Europe) Ltdinvestment advisern
- Principal Global Investors (Hong Kong) Limitedinvestment advisernRAUM $3.4B
- Principal Global Investors (Ireland) Ltdinvestment adviserpooled vehicle sponsorn
- Principal Global Investors (Japan) Ltdinvestment adviserpooled vehicle sponsorn
- Principal Global Investors (Singapore) Ltdinvestment advisern
- Principal Global Investors (Switzerland) Gmbhinvestment advisern
Advisers that list Post Advisory Group, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Assets in custody · $1.3B to $1.2BMar 30, 2026 to May 5, 2026
- Discretionary RAUM · $13B to $13BMar 30, 2026 to May 5, 2026
- Pooled vehicle RAUM · $4.4B to $4.4BMar 30, 2026 to May 5, 2026
- RAUM · $13B to $13BMar 30, 2026 to May 5, 2026
- Accounts · 42 to 40Feb 12, 2026 to Mar 30, 2026
- Pooled vehicle clients · 17 to 16Feb 12, 2026 to Mar 30, 2026
- Assets in custody · $1.4B to $1.3BFeb 12, 2026 to Mar 30, 2026
- Employees · 53 to 49Feb 12, 2026 to Mar 30, 2026
- Private funds · 14 to 12Feb 12, 2026 to Mar 30, 2026
- Discretionary RAUM · $14B to $13BFeb 12, 2026 to Mar 30, 2026
- Pension RAUM · $734M to $535MFeb 12, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $4.5B to $4.4BFeb 12, 2026 to Mar 30, 2026
- RAUM · $14B to $13BFeb 12, 2026 to Mar 30, 2026
- Private funds · 13 to 14Dec 2, 2025 to Feb 12, 2026
- Accounts · 44 to 42May 2, 2025 to Dec 2, 2025
- Advisory employees · 22 to 24May 2, 2025 to Dec 2, 2025
- BD registered reps · 2 to 0May 2, 2025 to Dec 2, 2025
- Charity clients · unset to 1.0May 2, 2025 to Dec 2, 2025
- Pension plan clients · 6 to 5May 2, 2025 to Dec 2, 2025
- Employees · 47 to 53May 2, 2025 to Dec 2, 2025
- Discretionary RAUM · $16B to $14BMay 2, 2025 to Dec 2, 2025
- Pension RAUM · $825M to $734MMay 2, 2025 to Dec 2, 2025
- Pooled vehicle RAUM · $4.4B to $4.5BMay 2, 2025 to Dec 2, 2025
- RAUM · $16B to $14BMay 2, 2025 to Dec 2, 2025
- Related adviser · true to falseMay 2, 2025 to Dec 2, 2025
- Related bank · true to falseMay 2, 2025 to Dec 2, 2025
- Related broker-dealer · true to falseMay 2, 2025 to Dec 2, 2025
- Assets in custody · $1.4B to $1.4BMar 28, 2025 to May 2, 2025
- Financial planning clients · unset to Mar 28, 2025 to May 2, 2025
- Discretionary RAUM · $16B to $16BMar 28, 2025 to May 2, 2025
- Pooled vehicle RAUM · $4.4B to $4.4BMar 28, 2025 to May 2, 2025
- RAUM · $16B to $16BMar 28, 2025 to May 2, 2025
- Accounts · 45 to 44Mar 28, 2024 to Mar 28, 2025
- BD registered reps · 3 to 2Mar 28, 2024 to Mar 28, 2025
- Pension plan clients · 10 to 6Mar 28, 2024 to Mar 28, 2025
- Assets in custody · $1.1B to $1.4BMar 28, 2024 to Mar 28, 2025
- Employees · 50 to 47Mar 28, 2024 to Mar 28, 2025
- Private funds · 11 to 13Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $17B to $16BMar 28, 2024 to Mar 28, 2025
- Pension RAUM · $3.2B to $825MMar 28, 2024 to Mar 28, 2025
Signals
27 dated events
- Thomas Justin Lange (Chief Compliance Officer) no longer on Schedule A of Post Advisory Group, Llc (listed 2023-03-30, absent 2023-06-23)Jun 23, 2023 · Control person left · inference
- Yasuyuki Suzuki (Director (President & Ceo Nippon Life Americas Inc.)) no longer on Schedule A of Post Advisory Group, Llc (listed 2023-03-30, absent 2023-06-23)Jun 23, 2023 · Control person left · inference
- Yuki Kunimura (Director) appeared on Schedule A of Post Advisory Group, LlcJun 23, 2023 · Control person joined · fact
- Elaine Maureen Ocampo (Chief Compliance Officer) appeared on Schedule A of Post Advisory Group, LlcJun 23, 2023 · Control person joined · fact
- Thomas Justin Lange (Chief Compliance Officer) appeared on Schedule A of Post Advisory Group, LlcSep 22, 2022 · Control person joined · fact
- Yasuyuki Suzuki (Director (President & Ceo Nippon Life Americas Inc.)) appeared on Schedule A of Post Advisory Group, LlcSep 22, 2022 · Control person joined · fact
- John Andrew Donohue (Chief Compliance Officer) no longer on Schedule A of Post Advisory Group, Llc (listed 2022-03-30, absent 2022-09-22)Sep 22, 2022 · Control person left · inference
- Jun Sato (Director) no longer on Schedule A of Post Advisory Group, Llc (listed 2022-03-30, absent 2022-09-22)Sep 22, 2022 · Control person left · inference
- Ann Deborah Flickinger (Chief Operations Officer And Director) appeared on Schedule A of Post Advisory Group, LlcMar 30, 2022 · Control person joined · fact
- John Andrew Donohue (Chief Compliance Officer) appeared on Schedule A of Post Advisory Group, LlcJul 23, 2021 · Control person joined · fact
- Jun Sato (Director) appeared on Schedule A of Post Advisory Group, LlcJul 23, 2021 · Control person joined · fact
- Nmn Masamichi Kishimoto (Director) no longer on Schedule A of Post Advisory Group, Llc (listed 2021-04-01, absent 2021-07-23)Jul 23, 2021 · Control person left · inference
- Lynn Kathryn Jones (Chief Compliance Officer) no longer on Schedule A of Post Advisory Group, Llc (listed 2021-04-01, absent 2021-07-23)Jul 23, 2021 · Control person left · inference
- Marie Kara Hoogensen (Director) appeared on Schedule A of Post Advisory Group, LlcMar 22, 2021 · Control person joined · fact
- Kamal Bhatia (Director) appeared on Schedule A of Post Advisory Group, LlcMar 22, 2021 · Control person joined · fact
- Earl Ronald Falls (Chief Operating Officer) no longer on Schedule A of Post Advisory Group, Llc (listed 2020-12-18, absent 2021-03-22)Mar 22, 2021 · Control person left · inference
- Elizabeth Karen Shaff (Director) no longer on Schedule A of Post Advisory Group, Llc (listed 2020-12-18, absent 2021-03-22)Mar 22, 2021 · Control person left · inference
- Mark Timothy Dunbar (Director) no longer on Schedule A of Post Advisory Group, Llc (listed 2020-12-18, absent 2021-03-22)Mar 22, 2021 · Control person left · inference
- Joo Henry Chyung (Chief Investment Officer) no longer on Schedule A of Post Advisory Group, Llc (listed 2019-03-29, absent 2020-03-10)Mar 10, 2020 · Control person left · inference
- Michael George Jamgochian (Director) no longer on Schedule A of Post Advisory Group, Llc (listed 2019-03-29, absent 2020-03-10)Mar 10, 2020 · Control person left · inference
- Doyon David Kim (Deputy Chief Investment Officer & Director) appeared on Schedule A of Post Advisory Group, LlcMar 10, 2020 · Control person joined · fact
- Gregory Patrick Halter (Director) appeared on Schedule A of Post Advisory Group, LlcMar 29, 2019 · Control person joined · fact
- Mark Timothy Dunbar (Director) appeared on Schedule A of Post Advisory Group, LlcMar 29, 2019 · Control person joined · fact
- M Scott Sailer (Director) appeared on Schedule A of Post Advisory Group, LlcMar 29, 2019 · Control person joined · fact
- Kris Farm (Chief Technology Officer) appeared on Schedule A of Post Advisory Group, LlcMar 29, 2019 · Control person joined · fact
- Patrick James Mccaughan (Chairman) no longer on Schedule A of Post Advisory Group, Llc (listed 2019-01-23, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Kate Jones (Chief Compliance Officer) appeared on Schedule A of Post Advisory Group, LlcJan 23, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Post Advisory Group, LLC · Independent Sponsorsshared crd · capital_provider
- Post Advisory Group, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/64821/adminreportedpublic record, Form ADV, Sep 17, 2026
- Website
- POSTADVISORY.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 310-996-9600reportedpublic record, Form ADV, May 5, 2026
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
- Other 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