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
Xponance LLC
Latest filing Sep 3, 2026
First filing on the tape Mar 29, 2012 · 36 filings
SEC status approved since Mar 4, 1996
RAUM
$24B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.2%
$43.7M individuals and HNW
Advisors
1
registered through the firm on IAPD
RAUM per advisor
$24B
derived; firm RAUM over IAPD count
Employees
46
15 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$24B as of Apr 14, 2026
Mar 29, 2012$2.6B then
HNW client RAUM$40.6M as of Apr 14, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Apr 14, 2026
Mar 21, 20130 then
Employees (5.A)46 as of Apr 14, 2026
Mar 21, 201320 then
Private funds1 as of Mar 1, 2019
Mar 30, 20153 then
RAUM +18% over the last fiscal year+22% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 3, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- Solo or small team · one advisor, or a wealth manager with up to three advisors and one office
- RAUM per advisor
- $24BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 7derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $20.3MderivedHNW RAUM over HNW clients
- Average account
- $185MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 92%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 46.0derivedItem 5.A over advisors
- Advisors per office
- 0.5derived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +18%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisersreportedItem 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$19B77%
- Charitable organizations$2.4B9.9%
- Pension and profit-sharing plans$1.2B5.1%
- Pooled investment vehicles$1.2B4.8%
- Corporations and businesses$667M2.7%
- Insurance companies$47.1M0.2%
- High-net-worth individuals$40.6M0.2%
- Individuals$3.1M0.0%
- Individual clients
- 5reported
- HNW clients
- 2reported
- Pension plan clients
- 19reported
- Charitable clients
- 52reported
- Accounts
- 131reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $38.8M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.05 institutional_share=0.92 related_bd=false related_bank=false bd_reps=0.0derived
Advisors registered through the firm
1 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Sumali SanyalChartered Financial Analyst | Durham, Nc | Dec 1, 2020 | 26 y | 0 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Fis Calbear Fund, LLCno longer reported | Other Private Fund | $595M | 2 | Sep 1, 2015 |
| Fis Group Family Of Funds, L.P. - Emerging Markets Fundno longer reported | Other Private Fund | $0 | 0 | Mar 30, 2015 |
| Fis Group Family Of Funds, L.P. - Frontier Markets Fundno longer reported | Other Private Fund | $0 | 0 | Mar 30, 2015 |
| Fis Group Family Of Funds, L.P. - Global Equities Fundno longer reported | Other Private Fund | $0 | 0 | Mar 30, 2015 |
Owners and control persons
Schedule A and B, latest filing
- Tina Byles Williams · Ceo & Cio/Directorcontrolsince 02/1996 · owns less than 5%
- Glover Fred Choate · Directorcontrolsince 04/2008 · owns less than 5%
- Anita Donna James · Directorcontrolsince 04/2014 · owns less than 5%
- Guthrie Eugenie Logue · Chief Financial Officercontrolsince 09/2018 · owns less than 5%
- Charles James Rhee · Directorcontrolsince 02/2023 · owns less than 5%
- Shelley Simms · Chief Compliance Officer & General Counselcontrolsince 08/2004 · owns less than 5%
- Fryer Cynthia Steer · Directorcontrolsince 01/2022 · owns less than 5%
- Alphonso Mccullough Williams · President & Coo/Directorcontrolsince 02/2010 · owns less than 5%
- Tina Byles Williams · Trusteecontrolsince 12/2009 · owns F of Tina Byles Williams Revocable Trust
- James Urbach · Trusteecontrolsince 12/2012 · owns F of Xponance Employee Stock Ownership Plan Trust
Entity owners
- Tina Byles Williams Revocable Trust · Shareholderdirect · owns 50% to 75%
- Xponance Employee Stock Ownership Plan Trust · Shareholderdirect · owns 25% to 50%
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- Durham, NC8 employees
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Apr 14, 2026 to Sep 3, 2026
- Succession · false to unsetApr 14, 2026 to Sep 3, 2026
- Accounts · 148 to 131Jan 9, 2026 to Mar 31, 2026
- Charity clients · 33 to 52Jan 9, 2026 to Mar 31, 2026
- Corporate clients · 18 to 6Jan 9, 2026 to Mar 31, 2026
- HNW clients · 0 to 2Jan 9, 2026 to Mar 31, 2026
- Individual clients · 0 to 5Jan 9, 2026 to Mar 31, 2026
- Pension plan clients · 23 to 19Jan 9, 2026 to Mar 31, 2026
- Employees · 42 to 46Jan 9, 2026 to Mar 31, 2026
- Discretionary RAUM · $20B to $24BJan 9, 2026 to Mar 31, 2026
- HNW RAUM · $2.3M to $40.6MJan 9, 2026 to Mar 31, 2026
- Individual RAUM · $415,935 to $3.1MJan 9, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $271M to $335MJan 9, 2026 to Mar 31, 2026
- Pension RAUM · $1.6B to $1.2BJan 9, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $626M to $1.2BJan 9, 2026 to Mar 31, 2026
- RAUM · $20B to $24BJan 9, 2026 to Mar 31, 2026
- Succession · true to falseJan 9, 2026 to Mar 31, 2026
- Business name · XPONANCE, INC. to XPONANCE LLCAug 25, 2025 to Jan 9, 2026
- Legal name · XPONANCE, INC. to XPONANCE LLCAug 25, 2025 to Jan 9, 2026
- Organization form · Corporation to Limited Liability CompanyAug 25, 2025 to Jan 9, 2026
- Succession · false to trueAug 25, 2025 to Jan 9, 2026
- Financial planning clients · 0 to 0Apr 8, 2025 to Aug 25, 2025
- Accounts · 127 to 148Mar 28, 2024 to Apr 8, 2025
- Charity clients · 28 to 33Mar 28, 2024 to Apr 8, 2025
- Corporate clients · 15 to 18Mar 28, 2024 to Apr 8, 2025
- Individual clients · unset to 0.0Mar 28, 2024 to Apr 8, 2025
- Pension plan clients · 21 to 23Mar 28, 2024 to Apr 8, 2025
- Pooled vehicle clients · 3 to 2Mar 28, 2024 to Apr 8, 2025
- Employees · 39 to 42Mar 28, 2024 to Apr 8, 2025
- Discretionary RAUM · $16B to $20BMar 28, 2024 to Apr 8, 2025
- HNW RAUM · $1.5M to $2.3MMar 28, 2024 to Apr 8, 2025
- Individual RAUM · $375,596 to $415,935Mar 28, 2024 to Apr 8, 2025
- Non-discretionary RAUM · $235M to $271MMar 28, 2024 to Apr 8, 2025
- Pension RAUM · $1.2B to $1.6BMar 28, 2024 to Apr 8, 2025
- Pooled vehicle RAUM · $499M to $626MMar 28, 2024 to Apr 8, 2025
- RAUM · $17B to $20BMar 28, 2024 to Apr 8, 2025
- Wrap assets (manager) · $26.4M to $38.8MMar 28, 2024 to Apr 8, 2025
- Accounts · 118 to 127Mar 24, 2023 to Mar 27, 2024
- Advisory employees · 13 to 15Mar 24, 2023 to Mar 27, 2024
- Charity clients · 21 to 28Mar 24, 2023 to Mar 27, 2024
Signals
10 dated events
- Xponance Llc reported succeeding to the business of Xponance, Inc. (Form ADV Item 4)Jan 9, 2026 · Succession (Item 4) · fact
- Hughes Isaac Green (Director) no longer on Schedule A of Xponance Llc (listed 2022-03-30, absent 2023-03-22)Mar 22, 2023 · Control person left · inference
- Lee Obie Mckenzie (Director) no longer on Schedule A of Xponance Llc (listed 2022-03-30, absent 2023-03-22)Mar 22, 2023 · Control person left · inference
- Charles James Rhee (Director) appeared on Schedule A of Xponance LlcMar 22, 2023 · Control person joined · fact
- Fryer Cynthia Steer (Director) appeared on Schedule A of Xponance LlcMar 28, 2022 · Control person joined · fact
- Xponance Llc reported RAUM $12.2B, up 42% from $8.6B (2020-12-17 to 2021-03-30)Mar 30, 2021 · RAUM change · derived
- Fis Group, Inc. reported succeeding to the business of Another Adviser (Form ADV Item 4)Apr 30, 2020 · Succession (Item 4) · fact
- Xponance Llc reported RAUM $8.6B, up 85% from $4.6B (2020-01-28 to 2020-04-30)Apr 30, 2020 · RAUM change · derived
- John Thomas Quinn (Senior Vice President & Deputy Cio) no longer on Schedule A of Xponance Llc (listed 2020-01-28, absent 2020-04-30)Apr 30, 2020 · Control person left · inference
- Lee Obie Mckenzie (Director) appeared on Schedule A of Xponance LlcJan 28, 2020 · 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/XPONANCEreportedpublic record, Form ADV, Sep 17, 2026
- Website
- XPONANCE.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 215-567-1100reportedpublic record, Form ADV, Sep 3, 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
- Institutional managerderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $24Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026