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

Capital International Research, Inc.

Former SEC-registered adviserLos Angeles, CaliforniaCRD 110688SEC 801-54943IAPD
Latest filing Sep 26, 2013
First filing on the tape Dec 19, 2011 · 4 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
69
58 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 26, 2013
Sep 28, 20120 then
Employees (5.A): 69
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 26, 2013; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 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
  • 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)
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • L. Jennifer Hinman · Directorcontrol
        since 08/2004 · owns less than 5%
      • Parker Emsie Kozloff · Director & Senior Vice President - Cii Divisioncontrol
        since 06/2009 · owns less than 5%
      • Soonil David Lee · Director & Senior Vice President - Cfii Divisioncontrol
        since 03/2011 · owns less than 5%
      • Noble Fergus Macdonald · Directorcontrol
        since 12/2009 · owns less than 5%
      • Ernest George Nutter · Director & Senior Vice President - Cii Divisioncontrol
        since 03/2011 · owns less than 5%
      • Lebus William Robbins · Director, Chairman & Global Research Coordinatorcontrol
        since 09/2012 · owns less than 5%
      • Marie Jane Scofield · Chief Compliance Officercontrol
        since 01/2012 · owns less than 5%
      • Chapman Fred Taylor · Director & Senior Vice President - Cii Divisioncontrol
        since 03/2005 · owns less than 5%
      • Lynn Tara Torrens · Director
        since 12/2011 · owns less than 5%
      Entity owners
      • Capital Group International, Inc. · Shareholder
        direct · owns 75% or more
      • The Capital Group Companies, Inc. · Shareholder
        indirect · owns 75% or more of Capital Group International, Inc.
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom
      What changed
      consecutive filings, newest first
      • Advisory employees · unset to 58.0
        Sep 28, 2012 to Sep 26, 2013
      • Employees · unset to 69.0
        Sep 28, 2012 to Sep 26, 2013
      • Related bank · false to true
        Sep 28, 2012 to Sep 26, 2013
      • Insurance-licensed employees · unset to 0.0
        Dec 19, 2011 to Mar 29, 2012
      • Financial planning clients · 0 to unset
        Dec 19, 2011 to Mar 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