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
Fixed Income Discount Advisory Company
Latest filing May 15, 2015
First filing on the tape Mar 30, 2012 · 13 filings
RAUM
$17B
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
31
12 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$19B as of Mar 25, 2015
Mar 30, 2012$112B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 25, 2015
Mar 28, 20130 then
Employees (5.A)30 as of Mar 25, 2015
Mar 28, 201342 then
Private funds2 as of Mar 28, 2013
Mar 30, 20122 then
RAUM +141% over the last fiscal year-46% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 15, 2015; 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
- $17BderivedRAUM 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
- +166%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 vehiclesreportedItem 5.G
- Custody
- $17B, 1 clientsreportedItem 9.A
- Ownership
- controlled by a public reporting companyderived
- 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)
- 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)
- 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
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- $17B for 1 clientsreported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Citation High Grade Abs Cdo I, Ltdno longer reported | Securitized Asset Fund | $432M | 8 | Mar 30, 2012 |
| Charlesfort Capital Management LLCno longer reported | Other Private Fund | $64.9M | 1 | Mar 28, 2013 |
| Mckinley Funding III, Ltd.no longer reported | Securitized Asset Fund | $53.1M | 7 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Jamie Wellington Denahan · Chairman & Chief Executive Officercontrolsince 11/2012 · owns less than 5%
- Thomas Michael Dorsey · Chief Compliance Officercontrolsince 07/2013 · owns less than 5%
- Gerard Kevin Keyes · Presidentcontrolsince 10/2012 · owns less than 5%
- Nicholas Ranjit Singh · Chief Legal Officercontrolsince 02/2005 · owns less than 5%
- A Glenn Votek · Chief Financial Officercontrolsince 08/2013 · owns less than 5%
Entity owners
- Annaly Capital Management, Inc. · Ownerdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- Annaly Management Companyinvestment advisernRAUM $130B
- Rcap Securities, Inc.broker-dealern
Advisers that list Fixed Income Discount Advisory Company as a related person
- 148380 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- BD registered reps · 3 to 2Mar 25, 2015 to May 15, 2015
- Assets in custody · $19B to $17BMar 25, 2015 to May 15, 2015
- Employees · 30 to 31Mar 25, 2015 to May 15, 2015
- Discretionary RAUM · $19B to $17BMar 25, 2015 to May 15, 2015
- RAUM · $19B to $17BMar 25, 2015 to May 15, 2015
- Advisory employees · 10 to 12Nov 19, 2014 to Mar 25, 2015
- Assets in custody · $17B to $19BNov 19, 2014 to Mar 25, 2015
- Discretionary RAUM · $17B to $19BNov 19, 2014 to Mar 25, 2015
- RAUM · $17B to $19BNov 19, 2014 to Mar 25, 2015
- Advisory employees · 9 to 10Aug 18, 2014 to Nov 19, 2014
- BD registered reps · 2 to 3Aug 18, 2014 to Nov 19, 2014
- Assets in custody · $13B to $17BAug 18, 2014 to Nov 19, 2014
- Employees · 31 to 30Aug 18, 2014 to Nov 19, 2014
- Discretionary RAUM · $13B to $17BAug 18, 2014 to Nov 19, 2014
- RAUM · $13B to $17BAug 18, 2014 to Nov 19, 2014
- Advisory employees · 11 to 9Mar 27, 2014 to Aug 18, 2014
- BD registered reps · 3 to 2Mar 27, 2014 to Aug 18, 2014
- Assets in custody · $7.2B to $13BMar 27, 2014 to Aug 18, 2014
- Employees · 36 to 31Mar 27, 2014 to Aug 18, 2014
- Discretionary RAUM · $7.2B to $13BMar 27, 2014 to Aug 18, 2014
- RAUM · $7.2B to $13BMar 27, 2014 to Aug 18, 2014
- Advisory employees · 8 to 11Jan 17, 2014 to Mar 27, 2014
- Assets in custody · $7.1B to $7.2BJan 17, 2014 to Mar 27, 2014
- Discretionary RAUM · $7.1B to $7.2BJan 17, 2014 to Mar 27, 2014
- RAUM · $7.1B to $7.2BJan 17, 2014 to Mar 27, 2014
- Accounts · 3 to 1Aug 19, 2013 to Dec 10, 2013
- Advisory employees · 13 to 8Aug 19, 2013 to Dec 10, 2013
- Assets in custody · $8.2B to $7.1BAug 19, 2013 to Dec 10, 2013
- Employees · 35 to 36Aug 19, 2013 to Dec 10, 2013
- Private funds · 1 to unsetAug 19, 2013 to Dec 10, 2013
- Discretionary RAUM · $8.4B to $7.1BAug 19, 2013 to Dec 10, 2013
- RAUM · $8.4B to $7.1BAug 19, 2013 to Dec 10, 2013
- Accounts · 6 to 3Mar 28, 2013 to Jul 25, 2013
- BD registered reps · 4 to 3Mar 28, 2013 to Jul 25, 2013
- Assets in custody · $13B to $8.2BMar 28, 2013 to Jul 25, 2013
- Employees · 42 to 35Mar 28, 2013 to Jul 25, 2013
- Private funds · 2 to 1Mar 28, 2013 to Jul 25, 2013
- Discretionary RAUM · $12B to $8.4BMar 28, 2013 to Jul 25, 2013
- Non-discretionary RAUM · $117B to $0Mar 28, 2013 to Jul 25, 2013
- RAUM · $129B to $8.4BMar 28, 2013 to Jul 25, 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