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

State Street Global Advisors Limited

Former SEC-registered adviserLondon, CRD 112861SEC 801-66610IAPD
Latest filing Sep 21, 2022
First filing on the tape Mar 22, 2012 · 30 filings
RAUM
$424B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$98.3M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
261
35 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$424B as of Mar 31, 2022
Mar 22, 2012$274B then
HNW client RAUM$91.0M as of Mar 31, 2022
Mar 29, 2018$573M then
State-registered IARs (5.B.3)0 as of Mar 31, 2022
Mar 22, 20130 then
Employees (5.A)261 as of Mar 31, 2022
Mar 22, 2013300 then
Private funds: no history
RAUM +0.1% over the last fiscal year+7.3% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 21, 2022; 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
$22.8MderivedHNW RAUM over HNW clients
Average account
$248MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
55%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
+0.1%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
+25%derived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, educational seminarsreportedItem 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$94B22%
  • Insurance companies$69B16%
  • Banks and thrifts$63B15%
  • Investment companies$55B13%
  • State and municipal entities$49B12%
  • Pooled investment vehicles$46B11%
  • Corporations and businesses$22B5.3%
  • Sovereign wealth funds$21B4.9%
  • Other investment advisers$3.7B0.9%
  • Charitable organizations$1.6B0.4%
  • High-net-worth individuals$91.0M0.0%
  • Individuals$7.3M0.0%
Individual clients
1reported
HNW clients
4reported
Pension plan clients
148reported
Charitable clients
41reported
Accounts
1,708reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
      • Peregrine Philip Andrew Soper · Chief Compliance Officercontrol
        since 09/2022 · owns less than 5%
      • Joseph Alex Castle · Director
        since 01/2010 · owns less than 5%
      • Victor Scott Sanderson · Chief Finance Officer
        since 08/2018 · owns less than 5%
      • Karen Sharpe · Non Executive Director
        since 10/2018 · owns less than 5%
      • Theodore Thomas Sotir · Non Executive Director
        since 12/2018 · owns less than 5%
      Entity owners
      • State Street Global Advisors International Holdings · Owner
        direct · owns 75% or more
      • State Street Corporation · Owner
        indirect · owns 75% or more of State Street Global Advisors Incorporated · public reporting company
      • State Street Global Advisors Incorporated · Owner
        indirect · owns 75% or more of State Street Global Advisors International Holdings
      Related persons
      Schedule D 7.A
      • Managed Pension Funds Limited
        real estaten
      • Ssga Funds Management, Inc.
        investment adviserbanknRAUM $1421B
      • State Street Bank & Trust Company, N.A.
        investment advisercustodiann
      • State Street Bank And Trust Europe, Limited
        custodiann
      • State Street Global Advisors Ag
        investment advisern
      • State Street Global Advisors Ireland Limited
        investment advisernRAUM $386B
      • State Street Global Advisors Funds Distributors, LLC
        broker-dealertrust companyn
      • State Street Global Advisors, Ltd
        investment advisern
      • State Street Global Markets International Limited
        broker-dealern
      • State Street Liquidity Plc
        investment advisern
      • State Street Unit Trust Management Limited
        investment advisern
      Advisers that list State Street Global Advisors Limited as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2,010 to 1,708
        Aug 2, 2021 to Mar 31, 2022
      • Advisory employees · 90 to 35
        Aug 2, 2021 to Mar 31, 2022
      • Corporate clients · 167 to 136
        Aug 2, 2021 to Mar 31, 2022
      • HNW clients · 0 to 4
        Aug 2, 2021 to Mar 31, 2022
      • Individual clients · 4 to 1
        Aug 2, 2021 to Mar 31, 2022
      • Pension plan clients · 159 to 148
        Aug 2, 2021 to Mar 31, 2022
      • Employees · 297 to 261
        Aug 2, 2021 to Mar 31, 2022
      • Discretionary RAUM · $424B to $424B
        Aug 2, 2021 to Mar 31, 2022
      • HNW RAUM · unset to 91015571.0
        Aug 2, 2021 to Mar 31, 2022
      • Individual RAUM · $1.5B to $7.3M
        Aug 2, 2021 to Mar 31, 2022
      • Pension RAUM · $97B to $94B
        Aug 2, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $79B to $46B
        Aug 2, 2021 to Mar 31, 2022
      • RAUM · $424B to $424B
        Aug 2, 2021 to Mar 31, 2022
      • Accounts · 2,159 to 2,010
        Mar 31, 2020 to Mar 31, 2021
      • Advisory employees · 124 to 90
        Mar 31, 2020 to Mar 31, 2021
      • Charity clients · 45 to 41
        Mar 31, 2020 to Mar 31, 2021
      • Corporate clients · 174 to 167
        Mar 31, 2020 to Mar 31, 2021
      • HNW clients · 3 to 0
        Mar 31, 2020 to Mar 31, 2021
      • Individual clients · 2 to 4
        Mar 31, 2020 to Mar 31, 2021
      • Pension plan clients · 164 to 159
        Mar 31, 2020 to Mar 31, 2021
      • Employees · 287 to 297
        Mar 31, 2020 to Mar 31, 2021
      • Discretionary RAUM · $408B to $424B
        Mar 31, 2020 to Mar 31, 2021
      • HNW RAUM · 139628509.0 to unset
        Mar 31, 2020 to Mar 31, 2021
      • Individual RAUM · $1.5B to $1.5B
        Mar 31, 2020 to Mar 31, 2021
      • Pension RAUM · $83B to $97B
        Mar 31, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · $69B to $79B
        Mar 31, 2020 to Mar 31, 2021
      • RAUM · $408B to $424B
        Mar 31, 2020 to Mar 31, 2021
      • Accounts · 2,013 to 2,159
        Apr 12, 2019 to Mar 31, 2020
      • Advisory employees · 143 to 124
        Apr 12, 2019 to Mar 31, 2020
      • Charity clients · 49 to 45
        Apr 12, 2019 to Mar 31, 2020
      • Corporate clients · 192 to 174
        Apr 12, 2019 to Mar 31, 2020
      • HNW clients · 2 to 3
        Apr 12, 2019 to Mar 31, 2020
      • Pension plan clients · 152 to 164
        Apr 12, 2019 to Mar 31, 2020
      • Employees · 359 to 287
        Apr 12, 2019 to Mar 31, 2020
      • Discretionary RAUM · $343B to $408B
        Apr 12, 2019 to Mar 31, 2020
      • HNW RAUM · $102M to $140M
        Apr 12, 2019 to Mar 31, 2020
      • Individual RAUM · $1.3B to $1.5B
        Apr 12, 2019 to Mar 31, 2020
      • Pension RAUM · $77B to $83B
        Apr 12, 2019 to Mar 31, 2020
      • Pooled vehicle RAUM · $55B to $69B
        Apr 12, 2019 to Mar 31, 2020
      • RAUM · $343B to $408B
        Apr 12, 2019 to Mar 31, 2020
      Signals
      2 dated events
      • Peregrine Philip Andrew Soper (Chief Compliance Officer) appeared on Schedule A of State Street Global Advisors Limited
        Sep 21, 2022 · Control person joined · fact
      • F.H. Cuan Coulter (Director) no longer on Schedule A of State Street Global Advisors Limited (listed 2021-08-02, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      Across DFX
      shared identifiers only, never a name match
      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