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

Qs Batterymarch Financial Management, Inc.

Former SEC-registered adviserNew York, New YorkCRD 110452SEC 801-48035IAPD
Latest filing Dec 15, 2015
First filing on the tape Mar 29, 2012 · 12 filings
RAUM
$8.1B
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
57
20 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
2
$11.4M gross assets
History
12 filings and snapshots on the tape
RAUM$8.1B as of Jun 29, 2015
Jun 29, 2012$15B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 29, 2015
Jun 14, 20130 then
Employees (5.A)57 as of Jun 29, 2015
Jun 14, 201382 then
Private funds2 as of Jun 29, 2015
Jun 29, 20123 then
RAUM -17% over the last fiscal year-18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Dec 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
$168MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-17%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-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
Custody
$11.3M, 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
  • 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)
  • 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
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
48reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$11.3M for 1 clientsreported
Compensation
% of AUM, performancereported
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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Batterymarch Asia Master Fund, LPno longer reportedHedge Fund$25.7M2Mar 29, 2012
      Batterymarch Market Neutral Fund, LLCHedge Fund$11.3M7Mar 29, 2012
      Batterymarch Global Emerging Markets FundOther Private Fund$50,0801Mar 29, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Carol Janet Campagna · Director And Chief Executive Officercontrol
        since 05/2014 · owns less than 5%
      • Duff John Kenney · Directorcontrol
        since 05/2014 · owns less than 5%
      • Clifton Thomas Merchant · Directorcontrol
        since 06/2015 · owns less than 5%
      • Allen Jeffrey Nattans · Directorcontrol
        since 05/2014 · owns less than 5%
      • Hayden James Norman · Director And Presidentcontrol
        since 05/2014 · owns less than 5%
      • Gordon Thomas Rose · Chief Financial Officer And Treasurercontrol
        since 05/2014 · owns less than 5%
      • Yu Ming Robert Wang · Chief Operating Officer And Head Of Portfolio Management Implementationcontrol
        since 01/2015 · owns less than 5%
      • Ann Vanessa Williams · Chief Compliance Officer And Secretarycontrol
        since 12/2015 · owns less than 5%
      Entity owners
      • Legg Mason, Inc. · Shareholder
        direct · owns 75% or more · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Qs Batterymarch Financial Management, Inc. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Boston, MA
      What changed
      consecutive filings, newest first
      • Accounts · 65 to 48
        Feb 4, 2015 to Jun 29, 2015
      • Advisory employees · 38 to 20
        Feb 4, 2015 to Jun 29, 2015
      • Advisory activities · 5 to 4
        Feb 4, 2015 to Jun 29, 2015
      • Assets in custody · $9.6M to $11.3M
        Feb 4, 2015 to Jun 29, 2015
      • Employees · 117 to 57
        Feb 4, 2015 to Jun 29, 2015
      • Discretionary RAUM · $9.7B to $8.1B
        Feb 4, 2015 to Jun 29, 2015
      • RAUM · $9.7B to $8.1B
        Feb 4, 2015 to Jun 29, 2015
      • Business name · BATTERYMARCH FINANCIAL MANAGEMENT INC to QS BATTERYMARCH FINANCIAL MANAGEMENT, INC.
        Jun 30, 2014 to Jul 1, 2014
      • Legal name · BATTERYMARCH FINANCIAL MANAGEMENT INC to QS BATTERYMARCH FINANCIAL MANAGEMENT, INC.
        Jun 30, 2014 to Jul 1, 2014
      • Accounts · 86 to 65
        Jan 6, 2014 to Jun 6, 2014
      • Advisory employees · 23 to 38
        Jan 6, 2014 to Jun 6, 2014
      • BD registered reps · 2 to 0
        Jan 6, 2014 to Jun 6, 2014
      • Assets in custody · $33.0M to $9.6M
        Jan 6, 2014 to Jun 6, 2014
      • Employees · 82 to 117
        Jan 6, 2014 to Jun 6, 2014
      • HQ city · BOSTON to NEW YORK
        Jan 6, 2014 to Jun 6, 2014
      • HQ state · MA to NY
        Jan 6, 2014 to Jun 6, 2014
      • Private funds · 3 to 2
        Jan 6, 2014 to Jun 6, 2014
      • Discretionary RAUM · $12B to $9.7B
        Jan 6, 2014 to Jun 6, 2014
      • RAUM · $12B to $9.7B
        Jan 6, 2014 to Jun 6, 2014
      • Accounts · 104 to 86
        Jun 29, 2012 to Jun 14, 2013
      • Advisory employees · unset to 23.0
        Jun 29, 2012 to Jun 14, 2013
      • BD registered reps · unset to 2.0
        Jun 29, 2012 to Jun 14, 2013
      • Assets in custody · $29.9M to $33.0M
        Jun 29, 2012 to Jun 14, 2013
      • Employees · unset to 82.0
        Jun 29, 2012 to Jun 14, 2013
      • State-registered IARs · unset to 0.0
        Jun 29, 2012 to Jun 14, 2013
      • Discretionary RAUM · $15B to $12B
        Jun 29, 2012 to Jun 14, 2013
      • RAUM · $15B to $12B
        Jun 29, 2012 to Jun 14, 2013
      • Assets in custody · $25.2M to $29.9M
        Mar 29, 2012 to Jun 29, 2012
      • Discretionary RAUM · $18B to $15B
        Mar 29, 2012 to Jun 29, 2012
      • RAUM · $18B to $15B
        Mar 29, 2012 to Jun 29, 2012
      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