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
Ssga Funds Management, Inc.
Latest filing Aug 28, 2026
First filing on the tape Mar 30, 2012 · 58 filings
SEC status approved since Apr 6, 2001
RAUM
$1421B
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
241
220 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
21
reported on Schedule D
History
58 filings and snapshots on the tape
RAUM$1421B as of Aug 28, 2026
Mar 30, 2012$217B then
HNW client RAUM$0 as of Aug 28, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Aug 28, 2026
Mar 30, 20120 then
Employees (5.A)241 as of Aug 28, 2026
Mar 28, 2013296 then
Private funds21 as of Aug 28, 2026
Mar 28, 20131 then
RAUM +21% over the last fiscal year+19% a year over threeIARs 0 to 0offices 2 to 3
Practice profile
derived from the filing of Aug 28, 2026; 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
- $5.0BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +21%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, pension consulting, selection of other advisers, otherreportedItem 5.G
- Custody
- $1.1B, 2 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1368B96%
- Pooled investment vehicles$38B2.7%
- Pension and profit-sharing plans$14B1.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 8reported
- Charitable clients
- 0reported
- Accounts
- 287reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $1.1B for 2 clientsreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.99 institutional_share=0.01 related_bd=true related_bank=true bd_reps=5.0derived
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
Private funds
24 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- K Apeawusu Amoa · Directorcontrolsince 09/2022 · owns less than 5%
- M Ann Carpenter · Chief Operating Officercontrolsince 04/2014 · owns less than 5%
- Peter Sean Driscoll · Directorcontrolsince 12/2021 · owns less than 5%
- Thomas Steven Hamm · Treasurercontrolsince 06/2023 · owns less than 5%
- Leonard Brian Harris · Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
- Robbins David Ireland · Cta-Chief Marketing Officercontrolsince 02/2022 · owns less than 5%
- Sean O'Malley · Chief Legal Officercontrolsince 03/2016 · owns less than 5%
- Francis Xavier Barry Smith · Chairman; Director And Presidentcontrolsince 09/2013 · owns less than 5%
- David Urman · Clerkcontrolsince 02/2021 · owns less than 5%
- Paul Timothy Corbett · Chief Risk Officersince 06/2019 · owns less than 5%
- Barton Gregory Hartch · Directorsince 07/2023 · owns less than 5%
- Shweta Narasimhadevara · Directorsince 10/2022 · owns less than 5%
Entity owners
- State Street Global Advisors, Inc. · Shareholderdirect · owns 75% or more
- State Street Corporation · Shareholderindirect · owns 75% or more of State Street Global Advisors, Inc. · public reporting company
Related persons
Schedule D 7.A
- State Street Bank And Trust CompanyLP sponsorCPO or CTAcustodiann
- State Street Bank And Trust Company Of California, N.A.n
- State Street Bank And Trust Company Of New Hampshiren
- State Street Bank And Trust Company, N.A.n
- State Street Bank International Gmbhn
- State Street Global Advisors (Japan) Co., Ltd.investment advisern
- State Street Global Advisors Aginvestment advisern
- State Street Global Advisors Asia Limitedinvestment advisernRAUM $39B
- State Street Global Advisors Australia, Limitedinvestment advisern
- State Street Global Advisors Ireland Limitedinvestment advisernRAUM $386B
- State Street Global Advisors Funds Distributors, LLCbroker-dealern
- State Street Global Advisors Limitedinvestment advisernRAUM $424B
- State Street Global Advisors Singapore Ltd.investment advisern
- State Street Global Advisors Trust Companyn
- State Street Global Advisors, Caymanpooled vehicle sponsorn
- State Street Global Advisors, Ltd.investment advisern
- State Street Global Markets Canada Inc.broker-dealern
- State Street Global Markets, LLCbroker-dealern
- State Street Trust And Banking Company, Limitedn
- State Street Trust Company Canadan
Advisers that list Ssga Funds Management, Inc. as a related person
Offices
Schedule D 1.F, the 25 largest
- Stamford, CT66 employees
- Scottsdale, AZ
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Aug 28, 2026RAUM per account of $4,950,013,388 against a peer median of $426,672,517 (326 comparable advisers, 98.0th percentile, 14.8 robust deviations)peers: asset managers, $20B and over (326) · 98% percentile
What changed
consecutive filings, newest first
- Private funds · 16 to 21Mar 31, 2026 to Aug 28, 2026
- Accounts · 270 to 287Nov 26, 2025 to Mar 31, 2026
- Advisory employees · 219 to 220Nov 26, 2025 to Mar 31, 2026
- BD registered reps · 3 to 5Nov 26, 2025 to Mar 31, 2026
- Pooled vehicle clients · 14 to 16Nov 26, 2025 to Mar 31, 2026
- Assets in custody · $1.1B to $1.1BNov 26, 2025 to Mar 31, 2026
- Employees · 238 to 241Nov 26, 2025 to Mar 31, 2026
- Other offices · 2 to 3Nov 26, 2025 to Mar 31, 2026
- Private funds · 17 to 16Nov 26, 2025 to Mar 31, 2026
- Discretionary RAUM · $1173B to $1421BNov 26, 2025 to Mar 31, 2026
- Pension RAUM · $4.8B to $14BNov 26, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $34B to $38BNov 26, 2025 to Mar 31, 2026
- RAUM · $1173B to $1421BNov 26, 2025 to Mar 31, 2026
- Private funds · 16 to 17Aug 29, 2025 to Nov 26, 2025
- Private funds · 14 to 16Mar 31, 2025 to Aug 29, 2025
- Accounts · 246 to 270Nov 27, 2024 to Mar 31, 2025
- Advisory employees · 222 to 219Nov 27, 2024 to Mar 31, 2025
- Pension plan clients · 6 to 8Nov 27, 2024 to Mar 31, 2025
- Pooled vehicle clients · 9 to 14Nov 27, 2024 to Mar 31, 2025
- Assets in custody · $88.5M to $1.1BNov 27, 2024 to Mar 31, 2025
- Employees · 243 to 238Nov 27, 2024 to Mar 31, 2025
- Financial planning clients · unset to Nov 27, 2024 to Mar 31, 2025
- Private funds · 15 to 14Nov 27, 2024 to Mar 31, 2025
- Discretionary RAUM · $1014B to $1173BNov 27, 2024 to Mar 31, 2025
- Pension RAUM · $5.5B to $4.8BNov 27, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $34B to $34BNov 27, 2024 to Mar 31, 2025
- RAUM · $1014B to $1173BNov 27, 2024 to Mar 31, 2025
- Private funds · 12 to 15Aug 28, 2024 to Nov 27, 2024
- Private funds · 9 to 12Mar 28, 2024 to Aug 28, 2024
- Accounts · 247 to 246Aug 29, 2023 to Mar 28, 2024
- Advisory employees · 227 to 222Aug 29, 2023 to Mar 28, 2024
- BD registered reps · 4 to 3Aug 29, 2023 to Mar 28, 2024
- Pension plan clients · 4 to 6Aug 29, 2023 to Mar 28, 2024
- Assets in custody · $307M to $88.5MAug 29, 2023 to Mar 28, 2024
- Employees · 250 to 243Aug 29, 2023 to Mar 28, 2024
- Private funds · 11 to 9Aug 29, 2023 to Mar 28, 2024
- Discretionary RAUM · $842B to $1014BAug 29, 2023 to Mar 28, 2024
- Pension RAUM · $6.1B to $5.5BAug 29, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $29B to $34BAug 29, 2023 to Mar 28, 2024
- RAUM · $842B to $1014BAug 29, 2023 to Mar 28, 2024
Signals
22 dated events
- Marie Ellen Needham (Chairman; Director And President) no longer on Schedule A of Ssga Funds Management, Inc. (listed 2023-03-31, absent 2023-06-16)Jun 16, 2023 · Control person left · inference
- Baldemar Trevino (Treasurer) no longer on Schedule A of Ssga Funds Management, Inc. (listed 2023-03-31, absent 2023-06-16)Jun 16, 2023 · Control person left · inference
- Elizabeth Jaclyn Collier (Chief Compliance Officer) no longer on Schedule A of Ssga Funds Management, Inc. (listed 2023-03-31, absent 2023-06-16)Jun 16, 2023 · Control person left · inference
- Leonard Brian Harris (Chief Compliance Officer) appeared on Schedule A of Ssga Funds Management, Inc.Jun 16, 2023 · Control person joined · fact
- Thomas Steven Hamm (Treasurer) appeared on Schedule A of Ssga Funds Management, Inc.Jun 16, 2023 · Control person joined · fact
- K Apeawusu Amoa (Director) appeared on Schedule A of Ssga Funds Management, Inc.Mar 31, 2023 · Control person joined · fact
- Nmn Steven Lipiner (Director) no longer on Schedule A of Ssga Funds Management, Inc. (listed 2022-11-28, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Miller Lori Heinel (Director) no longer on Schedule A of Ssga Funds Management, Inc. (listed 2022-11-28, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Ssga Funds Management, Inc. reported RAUM $894.5B, up 37% from $654.5B (2021-12-13 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Marie Jeanne Laporta (Director) no longer on Schedule A of Ssga Funds Management, Inc. (listed 2021-12-13, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Robbins David Ireland (Cta-Chief Marketing Officer) appeared on Schedule A of Ssga Funds Management, Inc.Mar 31, 2022 · Control person joined · fact
- Peter Sean Driscoll (Director) appeared on Schedule A of Ssga Funds Management, Inc.Mar 31, 2022 · Control person joined · fact
- Micah Christopher Baker (Chief Compliance Officer) no longer on Schedule A of Ssga Funds Management, Inc. (listed 2021-11-19, absent 2021-12-13)Dec 13, 2021 · Control person left · inference
- Elizabeth Jaclyn Collier (Chief Compliance Officer) appeared on Schedule A of Ssga Funds Management, Inc.Dec 13, 2021 · Control person joined · fact
- Andrew Delorme (Clerk Of Ssga Fm) no longer on Schedule A of Ssga Funds Management, Inc. (listed 2020-03-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- David Urman (Clerk) appeared on Schedule A of Ssga Funds Management, Inc.Mar 31, 2021 · Control person joined · fact
- Ssga Funds Management, Inc. reported RAUM $602.4B, up 25% from $481.3B (2019-09-10 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Edward James Ross (Chairman; Director) no longer on Schedule A of Ssga Funds Management, Inc. (listed 2019-09-10, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Marie Jeanne Laporta (Director) appeared on Schedule A of Ssga Funds Management, Inc.Mar 30, 2020 · Control person joined · fact
- Andrew Delorme (Clerk Of Ssga Fm) appeared on Schedule A of Ssga Funds Management, Inc.Sep 10, 2019 · Control person joined · fact
- Joshua Weinberg (Clerk Of Ssga Fm) no longer on Schedule A of Ssga Funds Management, Inc. (listed 2019-04-01, absent 2019-08-28)Aug 28, 2019 · Control person left · inference
- Barton Gregory Hartch (Chief Risk Officer) no longer on Schedule A of Ssga Funds Management, Inc. (listed 2019-04-01, absent 2019-08-28)Aug 28, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Ssga Funds Management, Inc. · Independent Sponsorsshared crd · capital_provider
- Ssga Funds Management, Inc. · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- 617-786-3000reportedpublic record, Form ADV, Aug 28, 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
- Asset manager (funds and pooled vehicles)deriveda 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