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

Columbia Wanger Asset Management, LLC

Former SEC-registered adviserChicago, IllinoisCRD 111168SEC 801-41391websiteIAPD
Latest filing Jun 3, 2025
First filing on the tape Mar 23, 2012 · 37 filings
SEC status approved since May 11, 1992
RAUM
$5.8B
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
13
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$5.8B as of Jun 3, 2025
Mar 23, 2012$30B then
HNW client RAUM$0 as of Jun 3, 2025
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 3, 2025
Mar 23, 20120 then
Employees (5.A)13 as of Jun 3, 2025
Mar 28, 201376 then
Private funds1 as of Mar 30, 2022
Mar 29, 20181 then
RAUM -9.5% over the last fiscal year-20% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 3, 2025; 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
$833MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-9.5%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 pooled vehicles, portfolio management for investment companiesreportedItem 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
  • Investment companies$5.8B100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
7reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
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
      Every departureEvery arrival
      Private funds
      1 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Wanger Socially Responsive Fund, LLCno longer reportedHedge Fund$16.7M2Feb 22, 2018
      Owners and control persons
      Schedule A and B, latest filing
      • Christopher Patrick Devery · Chief Compliance Officercontrol
        since 12/2023 · owns less than 5%
      • Katherine Erika Maschmeyer · Vice Presidentcontrol
        since 03/2020 · owns less than 5%
      • Gerald Michael Clarke · Senior Vice President, Head Of North American Operations And Co-Head Of Global Operations
        since 06/2019 · owns less than 5%
      • E Michael Defao · Vice President, Chief Legal Officer And Assistant Secretary
        since 10/2021 · owns less than 5%
      • Melda Mergen · Managing Director And Global Head Of Equities
        since 10/2021 · owns less than 5%
      Entity owners
      • Columbia Management Investment Advisers, LLC · Managing Member
        direct · owns 75% or more
      • Ameriprise Financial, Inc. · Managing Member
        indirect · owns 75% or more of Columbia Management Investment Advisers, LLC · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Columbia Wanger Asset Management, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $6.4B to $5.8B
        May 8, 2024 to Mar 27, 2025
      • RAUM · $6.4B to $5.8B
        May 8, 2024 to Mar 27, 2025
      • Accounts · 9 to 7
        Jan 12, 2024 to Mar 28, 2024
      • Advisory employees · 17 to 8
        Jan 12, 2024 to Mar 28, 2024
      • BD registered reps · 2 to 0
        Jan 12, 2024 to Mar 28, 2024
      • Employees · 31 to 13
        Jan 12, 2024 to Mar 28, 2024
      • Financial planning clients · unset to 0
        Jan 12, 2024 to Mar 28, 2024
      • Discretionary RAUM · $6.4B to $6.4B
        Jan 12, 2024 to Mar 28, 2024
      • RAUM · $6.4B to $6.4B
        Jan 12, 2024 to Mar 28, 2024
      • Accounts · 10 to 9
        Jul 18, 2022 to Mar 30, 2023
      • Pooled vehicle clients · 1 to 0
        Jul 18, 2022 to Mar 30, 2023
      • Assets in custody · $16.7M to $0
        Jul 18, 2022 to Mar 30, 2023
      • Private funds · 1 to unset
        Jul 18, 2022 to Mar 30, 2023
      • Discretionary RAUM · $11B to $6.4B
        Jul 18, 2022 to Mar 30, 2023
      • Pooled vehicle RAUM · $16.7M to $0
        Jul 18, 2022 to Mar 30, 2023
      • RAUM · $11B to $6.4B
        Jul 18, 2022 to Mar 30, 2023
      • Accounts · 12 to 10
        Jan 25, 2022 to Mar 30, 2022
      • Assets in custody · $23.4M to $16.7M
        Jan 25, 2022 to Mar 30, 2022
      • Discretionary RAUM · $11B to $11B
        Jan 25, 2022 to Mar 30, 2022
      • Pooled vehicle RAUM · $23.4M to $16.7M
        Jan 25, 2022 to Mar 30, 2022
      • RAUM · $11B to $11B
        Jan 25, 2022 to Mar 30, 2022
      • Accounts · 9 to 12
        Mar 30, 2020 to Mar 30, 2021
      • Advisory employees · 25 to 17
        Mar 30, 2020 to Mar 30, 2021
      • Advisory activities · 3 to 2
        Mar 30, 2020 to Mar 30, 2021
      • Corporate clients · 1 to 0
        Mar 30, 2020 to Mar 30, 2021
      • Pension plan clients · 1 to 0
        Mar 30, 2020 to Mar 30, 2021
      • Pooled vehicle clients · 2 to 1
        Mar 30, 2020 to Mar 30, 2021
      • Assets in custody · unset to 23354075.0
        Mar 30, 2020 to Mar 30, 2021
      • Employees · 55 to 31
        Mar 30, 2020 to Mar 30, 2021
      • State-registered IARs · 4 to 0
        Mar 30, 2020 to Mar 30, 2021
      • Discretionary RAUM · $10B to $11B
        Mar 30, 2020 to Mar 30, 2021
      • Pension RAUM · $394M to $0
        Mar 30, 2020 to Mar 30, 2021
      • Pooled vehicle RAUM · $680M to $23.4M
        Mar 30, 2020 to Mar 30, 2021
      • RAUM · $10B to $11B
        Mar 30, 2020 to Mar 30, 2021
      • Other offices · 1 to 0
        Dec 3, 2019 to Mar 30, 2020
      • Discretionary RAUM · $9.4B to $10B
        Dec 3, 2019 to Mar 30, 2020
      • Pension RAUM · $303M to $394M
        Dec 3, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $621M to $680M
        Dec 3, 2019 to Mar 30, 2020
      • RAUM · $9.4B to $10B
        Dec 3, 2019 to Mar 30, 2020
      • Accounts · 13 to 9
        Aug 22, 2018 to Mar 28, 2019
      Signals
      14 dated events
      • Columbia Wanger Asset Management, Llc no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $5.8B)
        Aug 1, 2025 · Left the SEC roster · derived
      • Stephen Kusmierczak (Vice President) no longer on Schedule A of Columbia Wanger Asset Management, Llc (listed 2024-01-12, absent 2024-03-28)
        Mar 28, 2024 · Control person left · inference
      • Charles Joseph Lapalm (Chief Compliance Officer) no longer on Schedule A of Columbia Wanger Asset Management, Llc (listed 2023-03-30, absent 2024-01-12)
        Jan 12, 2024 · Control person left · inference
      • Christopher Patrick Devery (Chief Compliance Officer) appeared on Schedule A of Columbia Wanger Asset Management, Llc
        Jan 12, 2024 · Control person joined · fact
      • Katherine Erika Maschmeyer (Vice President) appeared on Schedule A of Columbia Wanger Asset Management, Llc
        Jan 12, 2024 · Control person joined · fact
      • Columbia Wanger Asset Management, Llc reported RAUM $6.4B, down 43% from $11.2B (2022-07-18 to 2023-03-30)
        Mar 30, 2023 · RAUM change · derived
      • Allen Matthew Litfin (Director Domestic Research) no longer on Schedule A of Columbia Wanger Asset Management, Llc (listed 2021-04-01, absent 2021-05-05)
        May 5, 2021 · Control person left · inference
      • J Louis Mendes (Senior Vice President And Director International Research) no longer on Schedule A of Columbia Wanger Asset Management, Llc (listed 2020-03-30, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Michael John Kunka (Chief Financial Officer) no longer on Schedule A of Columbia Wanger Asset Management, Llc (listed 2020-03-30, absent 2021-03-30)
        Mar 30, 2021 · Control person left · inference
      • Stephen Kusmierczak (Vice President) appeared on Schedule A of Columbia Wanger Asset Management, Llc
        Mar 30, 2021 · Control person joined · fact
      • J Louis Mendes (Senior Vice President And Director International Research) appeared on Schedule A of Columbia Wanger Asset Management, Llc
        Mar 30, 2020 · Control person joined · fact
      • Allen Matthew Litfin (Director Domestic Research) appeared on Schedule A of Columbia Wanger Asset Management, Llc
        Mar 30, 2020 · Control person joined · fact
      • Glenn Alan Berkshire (Chief Operating Officer) no longer on Schedule A of Columbia Wanger Asset Management, Llc (listed 2019-04-01, absent 2019-12-03)
        Dec 3, 2019 · Control person left · inference
      • Columbia Wanger Asset Management, Llc reported RAUM $9.4B, down 30% from $13.5B (2018-08-22 to 2019-03-28)
        Mar 28, 2019 · RAUM change · derived
      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