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

City National Asset Management, Inc.

Former SEC-registered adviserBeverly Hills, CaliforniaCRD 111759SEC 801-60150IAPD
Latest filing Mar 28, 2013
First filing on the tape Mar 30, 2012 · 6 filings
RAUM
$6.0B
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
60
16 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
6 filings and snapshots on the tape
RAUM$6.0B as of Mar 28, 2013
Mar 30, 2012$6.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2013
Mar 30, 20120 then
Employees (5.A): 60
Private funds: no history
RAUM -1.5% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 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
$400MderivedRAUM 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
-1.5%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 investment companiesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
  • 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
15reported
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
      • Ottis Heald · Senior Vice President, Director - Equity Investmentscontrol
        since 06/2010 · owns less than 5%
      • Stanton Gregory Kaplan · Senior Vice President, Director - Fixed Income Investmentscontrol
        since 06/2010 · owns less than 5%
      • Carole Michele Maslow · Chief Financial Officercontrol
        since 03/2001 · owns less than 5%
      • C William Miller · Senior Vice President, Director - Fixed Income Investmentscontrol
        since 06/2010 · owns less than 5%
      • Paul Single · Senior Vice President, Director - Fixed Income Investmentscontrol
        since 06/2010 · owns less than 5%
      • Paul Gregory Francoeur · Senior Vice President & Director
        since 06/2010 · owns less than 5%
      • Jay William Freeman · Senior Vice President & Director
        since 06/2010 · owns less than 5%
      • Marie Julianne Fries · Chief Compliance Officer
        since 08/2012 · owns less than 5%
      • David Bruce Simon · Chairman And President
        since 02/2011 · owns less than 5%
      • George Albert Timothy Solberg · Senior Vice President, Director - Sub-Advised Funds
        since 01/2011 · owns less than 5%
      Entity owners
      • City National Bank · Owner
        direct · owns 75% or more
      • City National Corporation · Owner
        indirect · owns 75% or more of City National Bank · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 14 to 15
        Aug 6, 2012 to Mar 28, 2013
      • Advisory employees · unset to 16.0
        Aug 6, 2012 to Mar 28, 2013
      • Advisory activities · 4 to 1
        Aug 6, 2012 to Mar 28, 2013
      • BD registered reps · unset to 15.0
        Aug 6, 2012 to Mar 28, 2013
      • Employees · unset to 60.0
        Aug 6, 2012 to Mar 28, 2013
      • Insurance-licensed employees · 0 to 1
        Aug 6, 2012 to Mar 28, 2013
      • Discretionary RAUM · $6.1B to $6.0B
        Aug 6, 2012 to Mar 28, 2013
      • RAUM · $6.1B to $6.0B
        Aug 6, 2012 to Mar 28, 2013
      • Related bank · true to false
        Aug 6, 2012 to Mar 28, 2013
      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