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.
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Former SEC-registered adviser
A•• R•••••••• I••••••••• M••••••••• L••
Latest filing Mar 30, 2021
First filing on the tape Jan 31, 2012 · 33 filings
RAUM
$22B
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
83
31 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
$15.6M gross assets
History
33 filings and snapshots on the tape
RAUM$22B as of Mar 30, 2021
Jan 31, 2012$283M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2021
Mar 28, 20130 then
Employees (5.A)83 as of Mar 30, 2021
Mar 28, 2013134 then
Private funds1 as of Mar 30, 2021
Jan 31, 20121 then
RAUM +7.9% over the last fiscal year-0.4% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2021; 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
- $252MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%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
- +7.9%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Custody
- $15.6M, 1 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$22B97%
- Investment companies$413M1.9%
- Pension and profit-sharing plans$127M0.6%
- Pooled investment vehicles$31.3M0.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 2reported
- Charitable clients
- n/areported
- Accounts
- 88reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $15.6M 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 |
|---|---|---|---|---|
| A•• I• G••••• E••••••• M•••••• S•••• C•• F•••• L•• | Other Private Fund | $15.6M | 11 | Mar 30, 2016 |
| A•• I• I••••••••• S•••• C•• F•••• L••no longer reported | Other Private Fund | $12.3M | 1 | Jun 21, 2013 |
| A•• R•••••••• S•••••••• C•• I••••••••• F••• L••no longer reported | Other Private Fund | $3.5M | 1 | Jan 31, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A••••• M•••••••• •• M••••• N•••• · Directorcontrolsince 03/2020 · owns less than 5%
- D•••••• M•••••• H•••• · Head Of Risk Managementcontrolsince 01/2014 · owns less than 5%
- F••••••• P•••• N•• · Head Of R•••••••• Equities & Chief Executive Officer, Directorcontrolsince 03/2020 · owns less than 5%
- G••••• A••••••• · Head Of Investment, Apac (No M••••• N•••)controlsince 03/2020 · owns less than 5%
- K••• S•••••• S••• H•• · Chief Legal Officercontrolsince 04/2012 · owns less than 5%
- P•••••• B•••• · Chief Technology Officercontrolsince 03/2011 · owns less than 5%
- Q•••••••• K••••• A••••• · Interim Chief Financial Officercontrolsince 03/2021 · owns less than 5%
- S•••• C••••• J••• · Chief Compliance Officercontrolsince 04/2012 · owns less than 5%
- S••••• D••••• L••••••• · Head Of Trading & Administrative Officercontrolsince 03/2014 · owns less than 5%
- S••••• G•••••• Z•• · Chief Investment Officercontrolsince 01/2019 · owns less than 5%
- S•••••• H•••• •• M••••• N•••• · Director And Chairman, Axa Im Global Head Of Axa Im Corecontrolsince 03/2020 · owns less than 5%
- W••••• J•••••••• •• M••••• N•••• · Head Of Investment Strategy & Researchcontrolsince 03/2020 · owns less than 5%
Entity owners
- A•• R•••••••• G•••• L•• · Memberdirect · owns 75% or more
- A•• I• U• G•••• H•••••• I••• · Memberindirect · owns 75% or more of A•• R•••••••• G•••• L••
- A•• I••••••••• M••••••• S••• · Shareholderindirect · owns 75% or more of A•• I• U• G•••• H•••••• I•••
- A•• S• · Shareholderindirect · owns 75% or more of Axa Investment Managers Sa
Related persons
Schedule D 7.A
- A•• F•••• M••••••••• S•••investment advisern
- A•• I••••••••• M••••••• A••• ••••••••• L•••investment advisern
- Axa Investment Managers US Incinvestment adviserbankpooled vehicle sponsornRAUM $79B
- A•• I••••••••• M••••••• J•••• L•••investment advisern
- A•• I••••••••• M••••••• P••••• S•••investment adviserpooled vehicle sponsorn
- A•• I••••••••• M••••••• U• L••••••investment adviserpooled vehicle sponsorn
- A•• R•••••••• I••••••••• M••••••••• A••• P•••••• L••••••investment adviserpooled vehicle sponsorn
- A•• R•••••••• M••••••••• I•••••• L•••pooled vehicle sponsorn
- A••• S•••real estatey
Advisers that list A•• R•••••••• I••••••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 90 to 88Mar 27, 2020 to Mar 30, 2021
- Advisory employees · 35 to 31Mar 27, 2020 to Mar 30, 2021
- Assets in custody · $94.8M to $15.6MMar 27, 2020 to Mar 30, 2021
- Employees · 96 to 83Mar 27, 2020 to Mar 30, 2021
- Discretionary RAUM · $21B to $22BMar 27, 2020 to Mar 30, 2021
- Non-discretionary RAUM · $21.5M to $0Mar 27, 2020 to Mar 30, 2021
- Pension RAUM · $133M to $127MMar 27, 2020 to Mar 30, 2021
- Pooled vehicle RAUM · $110M to $31.3MMar 27, 2020 to Mar 30, 2021
- RAUM · $21B to $22BMar 27, 2020 to Mar 30, 2021
- Employees · 119 to 96Mar 22, 2019 to Mar 27, 2020
- Accounts · 91 to 90Mar 22, 2019 to Mar 27, 2020
- Advisory employees · 56 to 35Mar 22, 2019 to Mar 27, 2020
- Pension plan clients · 3 to 2Mar 22, 2019 to Mar 27, 2020
- Discretionary RAUM · $18B to $21BMar 22, 2019 to Mar 27, 2020
- Non-discretionary RAUM · $978M to $21.5MMar 22, 2019 to Mar 27, 2020
- Pension RAUM · $1.1B to $133MMar 22, 2019 to Mar 27, 2020
- Pooled vehicle RAUM · $91.2M to $110MMar 22, 2019 to Mar 27, 2020
- RAUM · $19B to $21BMar 22, 2019 to Mar 27, 2020
- Related broker-dealer · true to falseMar 22, 2019 to Mar 27, 2020
- Assets in custody · $78.3M to $94.8MMar 27, 2020 to Mar 27, 2020
- Accounts · 92 to 91Jan 29, 2019 to Mar 22, 2019
- Advisory employees · 50 to 56Jan 29, 2019 to Mar 22, 2019
- Pension plan clients · 2 to 3Jan 29, 2019 to Mar 22, 2019
- Assets in custody · $31.8M to $78.3MJan 29, 2019 to Mar 22, 2019
- Employees · 118 to 119Jan 29, 2019 to Mar 22, 2019
- Discretionary RAUM · $22B to $18BJan 29, 2019 to Mar 22, 2019
- Non-discretionary RAUM · $0 to $978MJan 29, 2019 to Mar 22, 2019
- Pension RAUM · $174M to $1.1BJan 29, 2019 to Mar 22, 2019
- Pooled vehicle RAUM · $46.3M to $91.2MJan 29, 2019 to Mar 22, 2019
- RAUM · $22B to $19BJan 29, 2019 to Mar 22, 2019
- Accounts · 93 to 92Sep 28, 2017 to Mar 29, 2018
- Advisory employees · 54 to 50Sep 28, 2017 to Mar 29, 2018
- Pension plan clients · unset to 2.0Sep 28, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 2.0Sep 28, 2017 to Mar 29, 2018
- Employees · 132 to 118Sep 28, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Sep 28, 2017 to Mar 29, 2018
- Private funds · 2 to 1Sep 28, 2017 to Mar 29, 2018
- Discretionary RAUM · $20B to $22BSep 28, 2017 to Mar 29, 2018
- Pension RAUM · unset to 173985046.0Sep 28, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 46281922.0Sep 28, 2017 to Mar 29, 2018
Signals
14 dated events
- A••••• K•••• Q••••••• (Interim Chief Financial Officer) appeared on Schedule A of A•• R•••••••• I••••••••• M••••••••• L••Mar 30, 2021 · Control person joined · fact
- Marie Kathleen Houssels (Global Chief Investment Officer & Head Of Research/Models, Director) no longer on Schedule A of A•• R•••••••• I••••••••• M••••••••• L•• (listed 2019-03-22, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- Khashabi Heidi Ridley (Global Chief Executive Officer, Director) no longer on Schedule A of A•• R•••••••• I••••••••• M••••••••• L•• (listed 2019-03-22, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- Paolo Andrea Rossi (Chairman, Director) no longer on Schedule A of A•• R•••••••• I••••••••• M••••••••• L•• (listed 2019-03-22, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- Gilou Joseph Pinto (Director) no longer on Schedule A of A•• R•••••••• I••••••••• M••••••••• L•• (listed 2019-03-22, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- Howland Mary Demler (Chief Administrative Officer) no longer on Schedule A of A•• R•••••••• I••••••••• M••••••••• L•• (listed 2019-03-22, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- Denise Ntonta (Chief Operating Officer) no longer on Schedule A of A•• R•••••••• I••••••••• M••••••••• L•• (listed 2019-03-22, absent 2020-03-27)Mar 27, 2020 · Control person left · inference
- N/A Paul Flavier (Head Of Rosenberg Equities & Chief Executive Officer, Director) appeared on Schedule A of A•• R•••••••• I••••••••• M••••••••• L••Mar 27, 2020 · Control person joined · fact
- (No Middle Name) J••••••• White (Head Of Investment Strategy & Research) appeared on Schedule A of A•• R•••••••• I••••••••• M••••••••• L••Mar 27, 2020 · Control person joined · fact
- A••••••• G•••• (Head Of Investment, Apac (No Middle Name)) appeared on Schedule A of A•• R•••••••• I••••••••• M••••••••• L••Mar 27, 2020 · Control person joined · fact
- (No Middle Name) H••• S••••• (Director And Chairman, Axa Im Global Head Of Axa Im Core) appeared on Schedule A of A•• R•••••••• I••••••••• M••••••••• L••Mar 27, 2020 · Control person joined · fact
- B•••• P••••• (Chief Technology Officer) appeared on Schedule A of A•• R•••••••• I••••••••• M••••••••• L••Jan 29, 2019 · Control person joined · fact
- Zev G••••• S•••• (Global Head Of Portfolio Management And Cio) appeared on Schedule A of A•• R•••••••• I••••••••• M••••••••• L••Jan 29, 2019 · Control person joined · fact
- William Francis Jump (Cio Americas) no longer on Schedule A of A•• R•••••••• I••••••••• M••••••••• L•• (listed 2018-07-12, absent 2019-01-29)Jan 29, 2019 · Control person left · inference
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