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
Lincoln Financial Investments Corporation
Latest filing Sep 11, 2026
First filing on the tape Mar 29, 2012 · 29 filings
SEC status approved since Feb 1, 1985
RAUM
$102B
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
86
18 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$102B as of Mar 31, 2026
Mar 29, 2012$29B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 29, 20120 then
Employees (5.A)86 as of Mar 31, 2026
Mar 28, 201372 then
Private funds3 as of Mar 31, 2026
Mar 29, 20123 then
RAUM +6.5% over the last fiscal year+7.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 11, 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
- $791MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.3%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
- +6.5%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$101B99%
- Insurance companies$330M0.3%
- Pooled investment vehicles$301M0.3%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 129reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=14.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- Reagan Jayson Bronchetti · Director & Chairmancontrolsince 01/2022 · owns less than 5%
- Maxwell Adam Cohen · Directorcontrolsince 11/2023 · owns less than 5%
- Robert Ralph Ferraro · Directorcontrolsince 02/2022 · owns less than 5%
- Joseph James Hoffmayer · Vice President, Chief Accounting Officer And Treasurercontrolsince 03/2024 · owns less than 5%
- Alan Ronald Holinsky · Director, Senior Vice President, Chief Legal Officer And Secretarycontrolsince 08/2023 · owns less than 5%
- Christopher John Kennedy · Directorcontrolsince 05/2021 · owns less than 5%
- Alan Benjamin Richer · President, Directorcontrolsince 01/2022 · owns less than 5%
- Wayne Darrel Tedrow Jr · Directorcontrolsince 08/2024 · owns less than 5%
- Ryan Stephen Turer · Directorcontrolsince 07/2022 · owns less than 5%
- Arthur John Weston · Chief Compliance Officer & Vice Presidentcontrolsince 05/1992 · owns less than 5%
Entity owners
- The Lincoln National Life Insurance Company · Parentdirect · owns 75% or more
- Lincoln National Corporation · Parentindirect · owns 75% or more of The Lincoln National Life Insurance Company · public reporting company
Related persons
Schedule D 7.A
- California Fringe Benefit And Insurance Marketing Corporationreal estaten
- First Penn-Pacific Life Insurance Companyreal estaten
- Lfa, Limited Liability Companyreal estaten
- Lfd Insurance Agency, Limited Liability Companyreal estaten
- Lincoln Financial Distributors, Inc.broker-dealern
- Lincoln Financial Group Trust Company, LLCn
- Lincoln Financial Insurance Agency Incorporatedreal estaten
- Lincoln Investment Management Companyinvestment advisern
- Lincoln Life & Annuity Company Of New Yorkreal estaten
- The Lincoln National Life Insurance Companybankpooled vehicle sponsorreal estatey
- Westfield Assigned Benefits Companyreal estaten
Offices
Schedule D 1.F, the 25 largest
- Fort Wayne, IN2 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 123.0 to 86.0 (-30.0%) between the annual amendments of 2025-03-25 and 2026-03-31; the peer median change was +3.0% (462 comparable advisers, 2.0th percentile of changes)peers: asset managers, $20B and over (462) · 2.4% percentile
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMar 31, 2026 to Sep 11, 2026
- Private funds · 3 to unsetMar 31, 2026 to Sep 11, 2026
- Succession · false to unsetMar 31, 2026 to Sep 11, 2026
- Accounts · 130 to 129Nov 11, 2025 to Mar 31, 2026
- Advisory employees · 19 to 18Nov 11, 2025 to Mar 31, 2026
- BD registered reps · 20 to 14Nov 11, 2025 to Mar 31, 2026
- Employees · 123 to 86Nov 11, 2025 to Mar 31, 2026
- Discretionary RAUM · $96B to $102BNov 11, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $349M to $301MNov 11, 2025 to Mar 31, 2026
- RAUM · $96B to $102BNov 11, 2025 to Mar 31, 2026
- Accounts · 129 to 130Sep 4, 2024 to Mar 25, 2025
- Advisory employees · 17 to 19Sep 4, 2024 to Mar 25, 2025
- BD registered reps · 22 to 20Sep 4, 2024 to Mar 25, 2025
- Employees · 124 to 123Sep 4, 2024 to Mar 25, 2025
- Insurance-licensed employees · 1 to 0Sep 4, 2024 to Mar 25, 2025
- Financial planning clients · unset to Sep 4, 2024 to Mar 25, 2025
- Discretionary RAUM · $86B to $96BSep 4, 2024 to Mar 25, 2025
- Pooled vehicle RAUM · $289M to $349MSep 4, 2024 to Mar 25, 2025
- RAUM · $86B to $96BSep 4, 2024 to Mar 25, 2025
- Accounts · 124 to 129Dec 7, 2023 to Mar 27, 2024
- Advisory employees · 16 to 17Dec 7, 2023 to Mar 27, 2024
- Employees · 115 to 124Dec 7, 2023 to Mar 27, 2024
- Discretionary RAUM · $83B to $86BDec 7, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $251M to $289MDec 7, 2023 to Mar 27, 2024
- RAUM · $83B to $86BDec 7, 2023 to Mar 27, 2024
- Business name · LINCOLN INVESTMENT ADVISORS CORPORATION to LINCOLN FINANCIAL INVESTMENTS CORPORATIONMar 30, 2023 to Apr 10, 2023
- Legal name · LINCOLN INVESTMENT ADVISORS CORPORATION to LINCOLN FINANCIAL INVESTMENTS CORPORATIONMar 30, 2023 to Apr 10, 2023
- Accounts · 126 to 124Mar 25, 2022 to Mar 30, 2023
- Advisory employees · 14 to 16Mar 25, 2022 to Mar 30, 2023
- Employees · 109 to 115Mar 25, 2022 to Mar 30, 2023
- Discretionary RAUM · $93B to $83BMar 25, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $194M to $251MMar 25, 2022 to Mar 30, 2023
- RAUM · $93B to $83BMar 25, 2022 to Mar 30, 2023
- Accounts · 109 to 126Feb 9, 2022 to Mar 25, 2022
- Advisory employees · 16 to 14Feb 9, 2022 to Mar 25, 2022
- Advisory activities · 4 to 3Feb 9, 2022 to Mar 25, 2022
- BD registered reps · 23 to 22Feb 9, 2022 to Mar 25, 2022
- Employees · 117 to 109Feb 9, 2022 to Mar 25, 2022
- Discretionary RAUM · $83B to $93BFeb 9, 2022 to Mar 25, 2022
- Pooled vehicle RAUM · $203M to $194MFeb 9, 2022 to Mar 25, 2022
Signals
20 dated events
- Phillip Paul Spurr (Director) no longer on Schedule A of Lincoln Financial Investments Corporation (listed 2024-06-03, absent 2024-09-04)Sep 4, 2024 · Control person left · inference
- Wayne Darrel Tedrow Jr (Director) appeared on Schedule A of Lincoln Financial Investments CorporationSep 4, 2024 · Control person joined · fact
- Paul William Flory (Vice President & Treasurer) no longer on Schedule A of Lincoln Financial Investments Corporation (listed 2023-12-07, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Joseph James Hoffmayer (Vice President, Chief Accounting Officer And Treasurer) appeared on Schedule A of Lincoln Financial Investments CorporationMar 27, 2024 · Control person joined · fact
- M Christopher Reed (Director) no longer on Schedule A of Lincoln Financial Investments Corporation (listed 2023-08-30, absent 2023-12-07)Dec 7, 2023 · Control person left · inference
- Maxwell Adam Cohen (Director) appeared on Schedule A of Lincoln Financial Investments CorporationDec 7, 2023 · Control person joined · fact
- Paul Spurr (Director) appeared on Schedule A of Lincoln Financial Investments CorporationMar 30, 2023 · Control person joined · fact
- Joseph Michael Burns (Director) no longer on Schedule A of Lincoln Financial Investments Corporation (listed 2022-03-25, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Ryan Stephen Turer (Director) appeared on Schedule A of Lincoln Financial Investments CorporationMar 30, 2023 · Control person joined · fact
- Anthony Brian Kroll (Director) no longer on Schedule A of Lincoln Financial Investments Corporation (listed 2022-03-25, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Burgener Jamie Ohl (Director) no longer on Schedule A of Lincoln Financial Investments Corporation (listed 2022-02-09, absent 2022-03-25)Mar 25, 2022 · Control person left · inference
- Christopher John Kennedy (Director) appeared on Schedule A of Lincoln Financial Investments CorporationFeb 9, 2022 · Control person joined · fact
- Alan Benjamin Richer (President, Director) appeared on Schedule A of Lincoln Financial Investments CorporationFeb 9, 2022 · Control person joined · fact
- Gail Ellen Cooper (Director & Chairman) no longer on Schedule A of Lincoln Financial Investments Corporation (listed 2021-11-09, absent 2022-02-09)Feb 9, 2022 · Control person left · inference
- Robert Ralph Ferraro (Director) appeared on Schedule A of Lincoln Financial Investments CorporationFeb 9, 2022 · Control person joined · fact
- M Christopher Reed (Director) appeared on Schedule A of Lincoln Financial Investments CorporationFeb 9, 2022 · Control person joined · fact
- A Christopher Giovanni (Director) no longer on Schedule A of Lincoln Financial Investments Corporation (listed 2021-03-26, absent 2021-11-09)Nov 9, 2021 · Control person left · inference
- Herndon Wilford Fuller (Director) no longer on Schedule A of Lincoln Financial Investments Corporation (listed 2020-03-27, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- A Christopher Giovanni (Director) appeared on Schedule A of Lincoln Financial Investments CorporationMar 27, 2020 · Control person joined · fact
- Douglas Jeffrey Coutts (Director) no longer on Schedule A of Lincoln Financial Investments Corporation (listed 2019-03-28, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Lincoln Financial Investments Corporation · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Website
- lincolnfinancial.com/public/professionals/partnerwithus/lincreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 484-583-1404reportedpublic record, Form ADV, Sep 11, 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
- Asset manager (funds and pooled vehicles)deriveda 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