DFX Intelligence

RIA Intelligence

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SEC-registered adviser

I••••••••• S••••••••• S••••••• I•••

No RAUM reportedRockville, MarylandCRD 111940SEC 801-55092website IAPD

Latest filing Sep 16, 2026

First filing on the tape Mar 30, 2012 · 47 filings

SEC status approved since Dec 22, 1997

RAUM

n/a

reported, Item 5.F

Discretionary

n/a

of RAUM

Private clients

n/a

$0 individuals and HNW

Advisors

registered through the firm on IAPD

RAUM per advisor

n/a

derived; firm RAUM over IAPD count

Employees

3,350

1,762 advisory (5.B.1)

Offices

beyond the principal office

Private funds

reported on Schedule D

History

47 filings and snapshots on the tape

RAUM$0 as of Aug 7, 2026

Feb 14, 2025$0 then

HNW client RAUM$0 as of Aug 7, 2026

Mar 29, 2018$0 then

State-registered IARs (5.B.3)0 as of Aug 7, 2026

Mar 19, 20130 then

Employees (5.A)3,350 as of Aug 7, 2026

Mar 19, 2013800 then

Private funds: no history

RAUM n/a over the last fiscal yearIARs 0 to 0

Practice profile

derived from the filing of Sep 16, 2026; every figure names its basis

Archetypes, each a printed rule

Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients

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: unknownderivedRAUM over accounts (5.F.2.f)
Discretionary: unknownderivedof RAUM
Institutional: unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor: unknownderivedItem 5.A over advisors
Advisors per office: unknownderived5 offices incl. principal (1.F.5)
RAUM growth, one year: unknownderivedbetween the last two annual amendments
Advisor growth, one year: unknownderivedItem 5.B.3 between annual amendments
Client growth, one year: unknownderived
Compensation: fixed fees, subscription, otherreportedItem 5.E
Advisory activities: pension consulting, publications, otherreportedItem 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)
marketing includes testimonials (5.L.1.c)

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: 0reported
HNW clients: 0reported
Pension plan clients: 174reported
Charitable clients: 45reported
Accounts: n/areported
Financial planning clients: n/areported
Wrap fee programs: noreported
Custody of client assets: noreported
Compensation: fixedreported
Class basis: private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=0.0derived

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

Every departure Every arrival

Private funds

No private fund reported.

Owners and control persons

Schedule A and B, latest filing

F•••••••• S•••••• E••••• · General Counselcontrol
since 02/2015 · owns less than 5%
H••••• A••••• P•••• · Executive Director And Chief Operations Officercontrol
since 04/2014 · owns less than 5%
L••••• D•••••• T•••••• · Chief Compliance Officercontrol
since 04/2019 · owns less than 5%
R••••••• G••• · Executive Director And Presidentcontrol
since 09/2011 · owns less than 5%

Entity owners

I•• H••••• I••• · Direct S•••••••••
direct · owns 75% or more
I•• S•••• G••• · Owner
indirect · owns 75% or more of I•• H••••• I•••

Related persons

Schedule D 7.A

I••••••••• S••••••••• S••••••• ••••••••• P••• L•••
investment adviserLP sponsory
I••••••••• S••••••••• S••••••• •••• K•••• L••••••
investment adviserLP sponsory
I••••••••• S••••••••• S••••••• ••••••••• P•••••• L••••••
investment adviserLP sponsory
I••••••••• S••••••••• S••••••• C••••• I•••
investment adviserLP sponsory
I••••••••• S••••••••• S••••••• E••••• S•••
investment adviserLP sponsory
I••••••••• S••••••••• S••••••• F••••• S•••••••
investment adviserLP sponsory
I••••••••• S••••••••• S••••••• G•••••• A•
investment adviserLP sponsory
I••••••••• S••••••••• S••••••• I•••• P•••••• L••••••
investment adviserLP sponsory
I••••••••• S••••••••• S••••••• K• ••••••
investment adviserLP sponsory
I••••••••• S••••••••• S••••••• P••••••••• I•••
investment adviserLP sponsory
I••••••••• S••••••••• S••••••• S••••••••• A•
investment adviserLP sponsory
I••••••••• S••••••••• S••••••• U• L••••••
investment adviserLP sponsory
I•••••••• A•
investment adviserLP sponsory

Offices

Schedule D 1.F, the 25 largest

Washington, DC55 employees
Norman, OK37 employees
New York, NY11 employees
Boston, MA1 employees

What changed

consecutive filings, newest first

Accounts · 0.0 to unset
Aug 7, 2026 to Sep 16, 2026
Financial planning clients · to unset
Aug 7, 2026 to Sep 16, 2026
Discretionary RAUM · 0.0 to unset
Aug 7, 2026 to Sep 16, 2026
Non-discretionary RAUM · 0.0 to unset
Aug 7, 2026 to Sep 16, 2026
RAUM · 0.0 to unset
Aug 7, 2026 to Sep 16, 2026
Succession · false to unset
Aug 7, 2026 to Sep 16, 2026
Advisory employees · 1,760 to 1,762
Jul 29, 2025 to Mar 31, 2026
Corporate clients · 73 to 78
Jul 29, 2025 to Mar 31, 2026
Pooled vehicle clients · 320 to 307
Jul 29, 2025 to Mar 31, 2026
Employees · 3,900 to 3,350
Jul 29, 2025 to Mar 31, 2026
Financial planning clients · unset to
Mar 28, 2025 to Jul 29, 2025
Advisory employees · 1,650 to 1,760
Feb 14, 2025 to Mar 28, 2025
Charity clients · 49 to 45
Feb 14, 2025 to Mar 28, 2025
Corporate clients · 76 to 73
Feb 14, 2025 to Mar 28, 2025
Pension plan clients · 175 to 174
Feb 14, 2025 to Mar 28, 2025
Pooled vehicle clients · 318 to 320
Feb 14, 2025 to Mar 28, 2025
Employees · 3,600 to 3,900
Feb 14, 2025 to Mar 28, 2025
Accounts · unset to 0.0
Mar 28, 2024 to Feb 14, 2025
Discretionary RAUM · unset to 0.0
Mar 28, 2024 to Feb 14, 2025
Non-discretionary RAUM · unset to 0.0
Mar 28, 2024 to Feb 14, 2025
RAUM · unset to 0.0
Mar 28, 2024 to Feb 14, 2025
Advisory employees · 1,580 to 1,650
Dec 19, 2023 to Mar 28, 2024
Charity clients · 50 to 49
Dec 19, 2023 to Mar 28, 2024
Corporate clients · 75 to 76
Dec 19, 2023 to Mar 28, 2024
Pension plan clients · 180 to 175
Dec 19, 2023 to Mar 28, 2024
Pooled vehicle clients · 330 to 318
Dec 19, 2023 to Mar 28, 2024
Employees · 3,380 to 3,600
Dec 19, 2023 to Mar 28, 2024
Advisory employees · 1,480 to 1,580
Nov 4, 2022 to Mar 31, 2023
Charity clients · 48 to 50
Nov 4, 2022 to Mar 31, 2023
Corporate clients · 79 to 75
Nov 4, 2022 to Mar 31, 2023
Pension plan clients · 173 to 180
Nov 4, 2022 to Mar 31, 2023
Pooled vehicle clients · 317 to 330
Nov 4, 2022 to Mar 31, 2023
Employees · 3,000 to 3,380
Nov 4, 2022 to Mar 31, 2023
Advisory employees · 1,150 to 1,480
Mar 30, 2021 to Mar 31, 2022
Charity clients · 117 to 48
Mar 30, 2021 to Mar 31, 2022
Corporate clients · 85 to 79
Mar 30, 2021 to Mar 31, 2022
Pension plan clients · 165 to 173
Mar 30, 2021 to Mar 31, 2022
Pooled vehicle clients · 304 to 317
Mar 30, 2021 to Mar 31, 2022
Employees · 2,500 to 3,000
Mar 30, 2021 to Mar 31, 2022
Other offices · 6 to 4
Mar 30, 2021 to Mar 31, 2022

Signals

11 dated events

Andrew Scott Niehaus (Director) no longer on Schedule A of I••••••••• S••••••••• S••••••• I••• (listed 2020-12-22, absent 2021-03-30)
Mar 30, 2021 · Control person left · inference
L. Benjamin Brigeman (Director) no longer on Schedule A of I••••••••• S••••••••• S••••••• I••• (listed 2020-12-22, absent 2021-03-30)
Mar 30, 2021 · Control person left · inference
J. Ryan Clark (President And Managing Director) no longer on Schedule A of I••••••••• S••••••••• S••••••• I••• (listed 2020-12-22, absent 2021-03-30)
Mar 30, 2021 · Control person left · inference
Scott Gary Michel (Director) no longer on Schedule A of I••••••••• S••••••••• S••••••• I••• (listed 2020-12-22, absent 2021-03-30)
Mar 30, 2021 · Control person left · inference
Jon Anthony Salewski (Director) no longer on Schedule A of I••••••••• S••••••••• S••••••• I••• (listed 2020-12-22, absent 2021-03-30)
Mar 30, 2021 · Control person left · inference
Frederick Harold Strong (Director) no longer on Schedule A of I••••••••• S••••••••• S••••••• I••• (listed 2020-12-22, absent 2021-03-30)
Mar 30, 2021 · Control person left · inference
Andrew Scott Niehaus (Director) appeared on Schedule A of I••••••••• S••••••••• S••••••• I•••
Apr 23, 2020 · Control person joined · fact
Ian Geoffrey Miller (Director) no longer on Schedule A of I••••••••• S••••••••• S••••••• I••• (listed 2020-03-28, absent 2020-04-23)
Apr 23, 2020 · Control person left · inference
Stephen Harvey (Chief Operating Officer) no longer on Schedule A of I••••••••• S••••••••• S••••••• I••• (listed 2019-04-22, absent 2020-03-28)
Mar 28, 2020 · Control person left · inference
Timothy Daniel Lantz (Chief Compliance Officer) appeared on Schedule A of I••••••••• S••••••••• S••••••• I•••
Apr 22, 2019 · Control person joined · fact
Abeny Olayinka Odeniran (Chief Compliance Officer) no longer on Schedule A of I••••••••• S••••••••• S••••••• I••• (listed 2019-03-28, absent 2019-04-22)
Apr 22, 2019 · Control person left · inference

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/ISS-STOXXreportedpublic record, Form ADV, Sep 21, 2026
Firm profile: linkedin.com/company/iss-esg-australiareportedpublic record, Form ADV, Sep 21, 2026
Website: p•••••••••.comreportedpublic record, Form ADV, Sep 21, 2026
Principal office phone: 301-556-0500reportedpublic record, Form ADV, Sep 16, 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: No RAUM reportedderiveda 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