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
Aristotle Capital Management, LLC
Latest filing Apr 30, 2026
First filing on the tape Jan 3, 2012 · 47 filings
SEC status approved since Feb 8, 2001
RAUM
$44B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
14%
$6.3B individuals and HNW
Advisors
20
registered through the firm on IAPD
RAUM per advisor
$2.2B
derived; firm RAUM over IAPD count
Employees
170
18 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
1
reported on Schedule D
History
47 filings and snapshots on the tape
RAUM$44B as of Apr 30, 2026
Mar 26, 2012$1.8B then
HNW client RAUM$0 as of Apr 30, 2026
Mar 16, 2021$0 then
State-registered IARs (5.B.3)13 as of Apr 30, 2026
Mar 15, 20131 then
Employees (5.A)170 as of Apr 30, 2026
Mar 15, 201331 then
Private funds1 as of Apr 30, 2026
Mar 26, 20121 then
RAUM -0.7% over the last fiscal year+2.5% a year over threeIARs 21 to 13offices 3 to 2
Practice profile
derived from the filing of Apr 30, 2026; every figure names its basis
- RAUM per advisor
- $2.2BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 223derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- unknownderivedHNW RAUM over HNW clients
- Average account
- $8.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 17%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.5derivedItem 5.A over advisors
- Advisors per office
- 6.7derived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- -0.7%derivedbetween the last two annual amendments
- Advisor growth, one year
- -38%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -12%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$19B43%
- Pooled investment vehicles$8.9B20%
- Individuals$6.3B14%
- Pension and profit-sharing plans$3.5B7.9%
- State and municipal entities$2.8B6.5%
- Corporations and businesses$2.3B5.2%
- Charitable organizations$1.2B2.7%
- Sovereign wealth funds$102M0.2%
- Insurance companies$3.8M0.0%
- Individual clients
- 4,452reported
- HNW clients
- 0reported
- Pension plan clients
- 59reported
- Charitable clients
- 158reported
- Accounts
- 5,169reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $2.9B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.14 fund_share=0.63 institutional_share=0.17 related_bd=false related_bank=false bd_reps=34.0derived
Advisors registered through the firm
20 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Robert Reid Womack | Los Angeles, Ca | Dec 16, 2011 | 30 y | 2 |
| Michael Bevan Carroll | Los Angeles, Ca | Jul 7, 2015 | 27 y | 3 |
| Michael Gregg SindiciChartered Financial Analyst | Los Angeles, Ca | Oct 6, 2015 | 26 y | 3 |
| William J. Averill | Los Angeles, Ca | Oct 26, 2015 | 21 y | 1 |
| William Ellison | Austin, Tx | Dec 13, 2016 | 12 y | 0 |
| Geoffrey Scot StewartChartered Financial Analyst | Los Angeles, Ca | Dec 5, 2017 | 26 y | 3 |
| David Craighead Maxwell | Atlanta, Ga | May 18, 2018 | 33 y | 1 |
| John ManleyChartered Financial Analyst | Los Angeles, Ca | Jul 17, 2018 | 12 y | 1 |
| Keri Schaake Hepburn | Boston, Ma | Jul 30, 2018 | 31 y | 1 |
| Raymond Jude Bertrand | Los Angeles, Ca | Nov 7, 2019 | 28 y | 3 |
| Tejas Shrinivas Shirguppi | Los Angeles, Ca | Dec 11, 2020 | 10 y | 1 |
| Ryan George HoranChartered Financial Analyst | Los Angeles, Ca | Mar 4, 2022 | 16 y | 2 |
| Moshe Goldstein | Los Angeles, Ca | Jun 23, 2023 | 18 y | 2 |
| Raji Omar Manasseh | Newport Beach, Ca | Apr 10, 2024 | 26 y | 0 |
| Kristie Lynn Leslie | Los Angeles, Ca | Feb 6, 2025 | 29 y | 2 |
| Yili Xiong | Los Angeles, Ca | Jul 2, 2025 | 11 y | 0 |
| David Michael Martin | Los Angeles, Ca | Oct 1, 2025 | 34 y | 4 |
| Braeden Salazar | Los Angeles, Ca | May 27, 2026 | 13 y | 0 |
| Donald Richard Wise | Los Angeles, Ca | Jun 25, 2026 | 24 y | 3 |
| Katherine Elizabeth PhillipsChartered Financial Analyst | Boston, Ma | Aug 14, 2026 | 15 y | 2 |
Advisor movement
1 left, 3 joined in 12 months
net +2 in 12 months0 left in 90 days2 joined in 90 daysdeparture rate 5.0% of current headcount3 left over 36 months
Left, latest
- Evan Francis Francks to Aristotle Pacific Capital, LLCOct 23, 2025 · Other
- Peter Allan Sykes to Voya Investment Management Co. LLCJun 11, 2025 · Other
- Anthony Cafarchia to Virtus Investment Advisers, LLCNov 4, 2024 · Other
- Tracy Ann Morante Robeniol to Nuveen Asset Management, LLCJul 8, 2021 · Other
- Konstantinos Stathopoulos to Strategic Advisers LLCApr 12, 2021 · Other
- Andrew Michael Citron to Blackrock Investment Management, LLCJun 1, 2017 · Other
Joined, latest
- Katherine Elizabeth Phillips from Loomis, Sayles & Company, L.P.Aug 14, 2026 · Other
- Donald Richard Wise from Morgan StanleyJun 25, 2026 · Other
- David Michael Martin from Amundi Asset Management US, Inc.Oct 1, 2025 · Other
- Evan Francis Francks from Capital Client Group, Inc.Aug 27, 2025 · Other
- Kristie Lynn Leslie from Morgan StanleyFeb 6, 2025 · Other
- Moshe Goldstein from J.P. Morgan Securities LLCJun 23, 2023 · Other
- Ryan George Horan from Rhino Asset ManagementMar 4, 2022 · Other
- Tejas Shrinivas Shirguppi from Raymond James & Associates, Inc.Dec 11, 2020 · Other
- Raymond Jude Bertrand from William Blair & Company L.L.C.Nov 7, 2019 · Other
- Konstantinos Stathopoulos from Advice And Planning ServicesJan 14, 2019 · Other
- Keri Schaake Hepburn from Invesco Advisers, Inc.Jul 30, 2018 · Other
- John Manley from William Blair & Company L.L.C.Jul 17, 2018 · Other
- David Craighead Maxwell from Cornerstone Investment Partners, LLCMay 18, 2018 · Other
- Peter Allan Sykes from Easterly Funds LLCApr 13, 2018 · Other
- Geoffrey Scot Stewart from Oppenheimer Asset ManagementDec 5, 2017 · Other
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Saul Fund, LP | Hedge Fund | $3.8M | 5 | Jan 3, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Sapna Sona Chandwani · Owner, Chief Administrative Officercontrolsince 01/2019 · owns less than 5%
- Roy Howard Gleicher · Owner/Chief Executive Officer/Chief Investment Officercontrolsince 07/2011 · owns less than 5%
- Monsalud Michelle Gosom · Owner, Chief Compliance Officercontrolsince 08/2014 · owns less than 5%
- Victor Hawley · Owner, Director Of Researchcontrolsince 02/2018 · owns less than 5%
- Scott Richard Hollander · Owner, Chairman Of The Boardcontrolsince 09/2012 · owns less than 5%
- Wayne Gary Lisenbee · Owner, Vice Chairmancontrolsince 01/2022 · owns less than 5%
- Catalina Maria Llinas Negret · Owner, Co-Chief Investment Officercontrolsince 03/2019 · owns less than 5%
- Albert John Quan · Owner, Managing Director, Chief Technology Officercontrolsince 10/2021 · owns less than 5%
- Jeddeloh Nancy Scarlett · Owner, Managing Director, Chief Of Staffcontrolsince 02/2018 · owns less than 5%
- Harlan Richard Schweitzer · Owner, Chief Financial Officer, Chief Operating Officercontrolsince 07/2011 · owns less than 5%
- Marie Kim St Hilaire · Owner, Managing Director, Operations & Tradingcontrolsince 05/2021 · owns less than 5%
- Reid Robert Womack · Owner, Chief Innovation Officercontrolsince 07/2018 · owns less than 5%
- Roy Howard Gleicher · Owner/Membercontrolsince 07/2011 · owns 75% or more of Gleicher Holdings, LLC
- Jacqueline Hollander · Co-Trusteecontrolsince 10/2009 · owns F of Richard Hollander And Jacqueline Hollander Ttee Of The Hollander Family Trust Dated 12/28/88
- Scott Richard Hollander · Co-Trusteecontrolsince 10/2009 · owns F of Richard Hollander And Jacqueline Hollander Ttee Of The Hollander Family Trust Dated 12/28/88
- Wayne Gary Lisenbee · Co-Trusteecontrolsince 06/2013 · owns F of Lisenbee Family Trust
- Jo Mary Lisenbee · Co-Trusteecontrolsince 06/2013 · owns F of Lisenbee Family Trust
- Lynne Julie Schweitzer · Co-Trusteecontrolsince 07/2011 · owns F of Schweitzer 2005 Trust
- Harlan Richard Schweitzer · Co-Trusteecontrolsince 07/2011 · owns F of Schweitzer 2005 Trust
- Reid Robert Womack · Registered Agentcontrolsince 06/2010 · owns F of Reidman, LP
- Linda Borowski · Co-Trusteesince 06/2024 · owns F of Borowski Family Trust
- Steven Borowski · Co-Trusteesince 06/2024 · owns F of Borowski Family Trust
Entity owners
- Rcb Acquisition Company, LLC · Ownerdirect · owns 10% to 25%
- Metwest Ventures, LLC · Owner/Memberindirect · owns 25% to 50% of Rcb Acquisition Company, LLC
- Richard Hollander And Jacqueline Hollander Ttee Of The Hollander Family Trust Dated 12/28/88 · Owner/Memberindirect · owns 75% or more of Metwest Ventures, LLC
- Borowski Family Trust · Ownerdirect · owns 5% to 10%
- Gleicher Holdings, LLC · Ownerdirect · owns 10% to 25%
- Lisenbee Family Trust · Ownerdirect · owns less than 5%
- Pacific Life Insurance Company · Ownerdirect · owns 10% to 25%
- Reidman, LP · Ownerdirect · owns less than 5%
- Schweitzer 2005 Trust · Ownerdirect · owns 5% to 10%
Related persons
Schedule D 7.A
- Apc Asset Development I, LPinvestment advisernRAUM $2.3B
- Apc Asset Development II, LPinvestment advisernRAUM $2.1B
- Apc Asset Gp I, LLCpooled vehicle sponsorn
- Apc Asset Gp II, LLCpooled vehicle sponsorn
- Apc Hy Bond Gp, LLCpooled vehicle sponsorn
- Apc Short Duration Hy Gp, LLCpooled vehicle sponsorn
- Aristotle Atlantic Partners, LLCinvestment adviserpooled vehicle sponsornRAUM $2.2B
- Aristotle Capital Boston, LLCinvestment adviserpooled vehicle sponsoryRAUM $1.8B
- Aristotle Credit Partners, LLCinvestment adviserpooled vehicle sponsoryRAUM $81.1M
- Aristotle Investment Services, LLCinvestment adviseryRAUM $17B
- Aristotle Pacific Capital, LLCinvestment adviserpooled vehicle sponsoryRAUM $27B
- Metwest Fund Managerpooled vehicle sponsorn
- Metwest Realty Advisors, LLCinvestment advisern
- Pam Bank Loan Fund Gp LLCpooled vehicle sponsorn
- Pam Clo Opportunities Fund Gp LLCpooled vehicle sponsorn
- Saul Fund Gp, LLCpooled vehicle sponsorn
Advisers that list Aristotle Capital Management, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Los Angeles, Ca · principal | 19 | 4 | 1 | ||
| Boston, Ma | 3 | 1 | 0 |
Offices
Schedule D 1.F, the 25 largest
- Newport Beach, CA5 employees
- Boston, MA4 employees
- Sarasota, FL2 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- advisors down RAUM stableCombination · filing Apr 30, 2026the advisor count fell 25 percent or more while RAUM stayed within 5 percent: people left without assets leaving (assets retained, or advisors were support staff). RAUM $43,833,669,241 to $43,543,321,650, advisors 21 to 13, private clients 5057 to 4452, offices 3 to 2 (2025-03-12 to 2026-04-30)peers: other advisers, $20B and over (120)
- advisor count dropChange between filings · filing Apr 30, 2026advisory representatives (Item 5.B.3) moved from 21.0 to 13.0 (-38.0%) between the annual amendments of 2025-03-12 and 2026-04-30; the peer median change was -4.0% (31 comparable advisers, 10.0th percentile of changes)peers: other advisers, $20B and over (31) · 10% percentile
What changed
consecutive filings, newest first
- RAUM · $44B to $44BMar 12, 2025 to Mar 19, 2026
- Wrap assets (manager) · $2.9B to $2.9BMar 12, 2025 to Mar 19, 2026
- Accounts · 5,904 to 5,169Mar 12, 2025 to Mar 19, 2026
- BD registered reps · 33 to 34Mar 12, 2025 to Mar 19, 2026
- Charity clients · 171 to 158Mar 12, 2025 to Mar 19, 2026
- Corporate clients · 521 to 420Mar 12, 2025 to Mar 19, 2026
- Individual clients · 5,057 to 4,452Mar 12, 2025 to Mar 19, 2026
- Pension plan clients · 76 to 59Mar 12, 2025 to Mar 19, 2026
- Employees · 156 to 170Mar 12, 2025 to Mar 19, 2026
- State-registered IARs · 21 to 13Mar 12, 2025 to Mar 19, 2026
- Other offices · 3 to 2Mar 12, 2025 to Mar 19, 2026
- Discretionary RAUM · $44B to $44BMar 12, 2025 to Mar 19, 2026
- Individual RAUM · $6.2B to $6.3BMar 12, 2025 to Mar 19, 2026
- Pension RAUM · $4.5B to $3.5BMar 12, 2025 to Mar 19, 2026
- Pooled vehicle RAUM · $9.5B to $8.9BMar 12, 2025 to Mar 19, 2026
- Accounts · 5,998 to 5,904Sep 9, 2024 to Mar 12, 2025
- Advisory employees · 17 to 18Sep 9, 2024 to Mar 12, 2025
- BD registered reps · 32 to 33Sep 9, 2024 to Mar 12, 2025
- Charity clients · 167 to 171Sep 9, 2024 to Mar 12, 2025
- Corporate clients · 557 to 521Sep 9, 2024 to Mar 12, 2025
- Individual clients · 5,125 to 5,057Sep 9, 2024 to Mar 12, 2025
- Pension plan clients · 75 to 76Sep 9, 2024 to Mar 12, 2025
- Employees · 164 to 156Sep 9, 2024 to Mar 12, 2025
- Financial planning clients · unset to Sep 9, 2024 to Mar 12, 2025
- State-registered IARs · 28 to 21Sep 9, 2024 to Mar 12, 2025
- Discretionary RAUM · $44B to $44BSep 9, 2024 to Mar 12, 2025
- Individual RAUM · $5.4B to $6.2BSep 9, 2024 to Mar 12, 2025
- Pension RAUM · $5.0B to $4.5BSep 9, 2024 to Mar 12, 2025
- Pooled vehicle RAUM · $9.4B to $9.5BSep 9, 2024 to Mar 12, 2025
- RAUM · $44B to $44BSep 9, 2024 to Mar 12, 2025
- Wrap assets (manager) · $3.0B to $2.9BSep 9, 2024 to Mar 12, 2025
- Accounts · 6,139 to 5,998May 5, 2023 to Mar 4, 2024
- Advisory employees · 18 to 17May 5, 2023 to Mar 4, 2024
- BD registered reps · 28 to 32May 5, 2023 to Mar 4, 2024
- Charity clients · 165 to 167May 5, 2023 to Mar 4, 2024
- Corporate clients · 625 to 557May 5, 2023 to Mar 4, 2024
- Individual clients · 5,176 to 5,125May 5, 2023 to Mar 4, 2024
- Pension plan clients · 100 to 75May 5, 2023 to Mar 4, 2024
- Pooled vehicle clients · 14 to 17May 5, 2023 to Mar 4, 2024
- Employees · 154 to 164May 5, 2023 to Mar 4, 2024
Signals
15 dated events
- Evan Francis Francks left Aristotle Capital Management, Llc for Aristotle Pacific Capital, Llc (registered 2025-11-25)Oct 23, 2025 · Advisor changed firm · fact
- Peter Allan Sykes left Aristotle Capital Management, Llc for Voya Investment Management Co. Llc (registered 2026-02-03)Jun 11, 2025 · Advisor changed firm · fact
- Anthony Cafarchia left Aristotle Capital Management, Llc for Virtus Investment Advisers, Llc (registered 2024-11-20)Nov 4, 2024 · Advisor changed firm · fact
- Reid Robert Womack (Owner, Chief Innovation Officer) appeared on Schedule A of Aristotle Capital Management, LlcMar 4, 2024 · Control person joined · fact
- Sapna Sona Chandwani (Owner, Chief Administrative Officer) appeared on Schedule A of Aristotle Capital Management, LlcMar 4, 2024 · Control person joined · fact
- Albert John Quan (Owner, Managing Director, Chief Technology Officer) appeared on Schedule A of Aristotle Capital Management, LlcMar 4, 2024 · Control person joined · fact
- Marie Kim St Hilaire (Owner, Managing Director, Operations & Trading) appeared on Schedule A of Aristotle Capital Management, LlcMar 4, 2024 · Control person joined · fact
- Victor Hawley (Owner, Director Of Research) appeared on Schedule A of Aristotle Capital Management, LlcMar 4, 2024 · Control person joined · fact
- Aristotle Capital Management, Llc reported RAUM $49.7B, up 39% from $35.6B (2021-04-09 to 2022-02-07)Feb 7, 2022 · RAUM change · derived
- Linda Borowski (Owner) appeared on Schedule A of Aristotle Capital Management, LlcApr 9, 2021 · Control person joined · fact
- Lynne Julie Schweitzer (Owner) appeared on Schedule A of Aristotle Capital Management, LlcApr 9, 2021 · Control person joined · fact
- Jo Mary Lisenbee (Owner) appeared on Schedule A of Aristotle Capital Management, LlcApr 9, 2021 · Control person joined · fact
- Aristotle Capital Management, Llc reported RAUM $35.6B, up 31% from $27.2B (2020-06-12 to 2021-03-16)Mar 16, 2021 · RAUM change · derived
- Aristotle Capital Management, Llc reported RAUM $27.3B, up 103% from $13.5B (2019-09-30 to 2019-12-26)Dec 26, 2019 · RAUM change · derived
- Catalina Maria Llinas Negret (Owner, Co-Chief Investment Officer) appeared on Schedule A of Aristotle Capital Management, LlcMar 28, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/aristotlecapreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ARISTOTLECAP.COM/AFFILIATES/ARISTOTLE-CAPITAL-MANAGEMENTreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 310-478-4005reportedpublic record, Form ADV, Apr 30, 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
- $2.2Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026