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

Franklin Investment Advisory Services, LLC

Former SEC-registered adviserSan Mateo, CaliforniaCRD 111377SEC 801-52152IAPD
Latest filing Dec 20, 2013
First filing on the tape Dec 23, 2011 · 4 filings
RAUM
$8.4B
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
1
1 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$8.4B as of Dec 20, 2013
Dec 23, 2011$4.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Dec 20, 2013
Dec 23, 20110 then
Employees (5.A)1 as of Dec 20, 2013
Dec 21, 20122 then
Private funds: no history
RAUM +29% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Dec 20, 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
$8.4BderivedRAUM 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
+29%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 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
  • 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)
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
1reported
Financial planning clients
n/areported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Sterling Madison Gulley · Executive Vice Presidentcontrol
        since 12/2006 · owns less than 5%
      • Matthew John Lusk · Presidentcontrol
        since 12/2006 · owns less than 5%
      • Mary Breda Beckerle · Chief Compliance Officer
        since 12/2007 · owns less than 5%
      • Lecho Mark Constant · Treasurer
        since 10/2207 · owns less than 5%
      • Steven Craig Tyle · Chief Legal Officer
        since 12/2006 · owns less than 5%
      Entity owners
      • Franklin Templeton Distributors, Inc. · Parent Corporation Of Registrant - 100%
        direct · owns 75% or more
      • Franklin Resources, Inc. · Parent Corporation Of Ftdi
        indirect · owns 75% or more of Franklin Templeton Distributors, Inc. · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Franklin Investment Advisory Services, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 2 to 1
        Dec 21, 2012 to Dec 20, 2013
      • Employees · 2 to 1
        Dec 21, 2012 to Dec 20, 2013
      • Discretionary RAUM · $6.5B to $8.4B
        Dec 21, 2012 to Dec 20, 2013
      • RAUM · $6.5B to $8.4B
        Dec 21, 2012 to Dec 20, 2013
      • Advisory employees · unset to 1.0
        Mar 30, 2012 to Dec 21, 2012
      • BD registered reps · 0 to 2
        Mar 30, 2012 to Dec 21, 2012
      • Employees · unset to 2.0
        Mar 30, 2012 to Dec 21, 2012
      • Discretionary RAUM · $5.2B to $6.5B
        Mar 30, 2012 to Dec 21, 2012
      • RAUM · $5.2B to $6.5B
        Mar 30, 2012 to Dec 21, 2012
      • Related bank · false to true
        Mar 30, 2012 to Dec 21, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 23, 2011 to Mar 30, 2012
      • Discretionary RAUM · $4.7B to $5.2B
        Dec 23, 2011 to Mar 30, 2012
      • RAUM · $4.7B to $5.2B
        Dec 23, 2011 to Mar 30, 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