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.
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SEC-registered adviser
A•• I••••••••• M••••••• U• I••
Latest filing Jul 30, 2026
First filing on the tape Mar 30, 2012 · 37 filings
SEC status approved since Jun 25, 2001
RAUM
$79B
reported, Item 5.F
Discretionary
99%
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
167
87 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
21
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$79B as of Jul 30, 2026
Apr 30, 2012$60B then
HNW client RAUM$0 as of Jul 30, 2026
Mar 31, 2023$0 then
State-registered IARs (5.B.3)0 as of Jul 30, 2026
Mar 28, 20130 then
Employees (5.A)167 as of Jul 30, 2026
Mar 28, 201348 then
Private funds21 as of Jul 30, 2026
Apr 30, 20121 then
RAUM -13% over the last fiscal year-3.4% a year over threeIARs 0 to 0offices 5 to 6
Practice profile
derived from the filing of Jul 30, 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
- $381MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 16%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- -13%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 assets, fixed fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisersreportedItem 5.G
- Custody
- $3.4B, 6 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
- 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- 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
- Pooled investment vehicles$35B44%
- Other investment advisers$31B39%
- Insurance companies$12B15%
- Investment companies$1.0B1.3%
- Pension and profit-sharing plans$409M0.5%
- State and municipal entities$380M0.5%
- Banks and thrifts$12.7M0.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 3reported
- Charitable clients
- 0reported
- Accounts
- 208reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.4B for 6 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.84 institutional_share=0.16 related_bd=true related_bank=true bd_reps=12.0derived
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
28 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| S•• B•••••• O••••••••• F••• I• L••• | Hedge Fund | $898M | 11 | Mar 28, 2013 |
| A•••••• C•• I•• L••• | Securitized Asset Fund | $538M | 2 | Mar 28, 2019 |
| A•••••• C•• X•••• L•• | Securitized Asset Fund | $501M | 20 | Mar 31, 2022 |
| A•••••• C•• X••• L•• | Securitized Asset Fund | $500M | 20 | Mar 31, 2022 |
| A•••••• C•• V• L•• | Securitized Asset Fund | $457M | 5 | Mar 29, 2018 |
| A••••• I• C•• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $441M | 17 | Mar 28, 2019 |
| A••••• I• C••• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $440M | 20 | Mar 31, 2022 |
| A••••• V•• C••• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $437M | 25 | Mar 28, 2019 |
| A•••••• C•• V•• L••• | Securitized Asset Fund | $432M | 5 | Mar 28, 2019 |
| A••••• I• C•• L••••••no longer reported | Securitized Asset Fund | $418M | 17 | Mar 30, 2016 |
| A•••••• C•• I•• L••no longer reported | Securitized Asset Fund | $403M | 12 | Mar 25, 2015 |
| A•••••• C•• X•• L•• | Securitized Asset Fund | $400M | 20 | Mar 31, 2023 |
| A•••••• C•• X••• L•• | Securitized Asset Fund | $400M | 20 | Mar 31, 2021 |
| A•••••• C•• X•• L•• | Securitized Asset Fund | $396M | 2 | Mar 30, 2020 |
| A••••• V••• C••• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $382M | 25 | Mar 30, 2020 |
| A••••• V• C•• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $380M | 9 | Mar 30, 2017 |
| A•••••• C•• V•••• L••• | Securitized Asset Fund | $379M | 6 | Mar 28, 2019 |
| A••••• V• C•• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $376M | 27 | Mar 29, 2018 |
| A•••••• C•• V••• L••• | Securitized Asset Fund | $374M | 6 | Mar 28, 2019 |
| A••••• X• C•• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $367M | 20 | Mar 31, 2023 |
| A•••••• C•• X• L••• | Securitized Asset Fund | $294M | 2 | Mar 30, 2020 |
| A•••••• C•• I•• L•• | Securitized Asset Fund | $260M | 20 | Mar 30, 2017 |
| A•••••• C•• I•••• L••• | Securitized Asset Fund | $220M | 28 | Mar 28, 2019 |
| A•••••• C•• I••• L••no longer reported | Securitized Asset Fund | $120M | 16 | Mar 30, 2016 |
| A•••••• C•• I• L••no longer reported | Securitized Asset Fund | $73.7M | 3 | Mar 27, 2014 |
| A•• I• U••• H••• Y•••• F•••• L•• | Hedge Fund | $33.5M | 2 | Mar 27, 2014 |
| A•• I• H••• Y•••• F•••• L••no longer reported | Other Private Fund | $30.8M | 1 | Mar 30, 2012 |
| A•• I• U••• S•••• D••••••• H••• Y•••• F•••• L••no longer reported | Hedge Fund | $21.0M | 1 | Mar 28, 2019 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• F•••••• · Head Of Axa Im Americas - Regional Cfo Americascontrolsince 06/2021 · owns less than 5%
- D•••••• M•••••• H•••• · Chief Compliance Officercontrolsince 08/2022 · owns less than 5%
- K••• S•••••• S••• H•• · Chief Legal Officercontrolsince 01/2022 · owns less than 5%
- M••••••• J••••••••• · Director / Chairmancontrolsince 10/2022 · owns less than 5%
Entity owners
- A•• I• U• G•••• H•••••• I••• · Shareholderdirect · owns 75% or more
- A•• I••••••••• M••••••• S• · Shareholderindirect · owns 75% or more of A•• I• U• G•••• H•••••• I•••
- A•• S• · Shareholderindirect · owns 75% or more of A•• I••••••••• M••••••• S•
Related persons
Schedule D 7.A
- A••••••• F••••• S•investment advisern
- A••••••• M••••••••• E••••• L••••••investment advisern
- A•• • S•••real estatey
- A•• C•••••••• S••••••• S•••real estaten
- A•• I• P••••investment advisern
- A•• I••••••••• M••••••••• M•••••investment advisern
- A•• I••••••••• M••••••• A••• ••••••••• L•••investment advisern
- A•• I••••••••• M••••••• A••• L•••investment advisern
- A•• I••••••••• M••••••• D••••••••• G•••investment advisern
- A•• I••••••••• M••••••• G• L••investment advisern
- A•• I••••••••• M••••••• I•investment advisern
- A•• I••••••••• M••••••• J•••• L•••investment advisern
- A•• I••••••••• M••••••• S••••••••• L•••investment advisern
- A•• I••••••••• M••••••• U• L•••investment advisern
- A•• I••••••••• M•••••••• P•••• S•••investment advisern
- A•• R••• E••••• I••••••••• M••••••• S••investment advisern
- U••• V•••••••• R••• E••••• C••• G•• L••pooled vehicle sponsory
- X• G•••• I••••••••• L••real estaten
- X• U••••••••• M••••••• L••investment adviserreal estaten
Advisers that list A•• I••••••••• M••••••• U• I•• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY46 employees
- Alpharetta, GA23 employees
- Orinda, CA2 employees
- New York, NY1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 30, 2026discretionary share of RAUM moved from 83.0% to 99.0% between the annual amendments of 2025-03-31 and 2026-03-30peers: asset managers, $20B and over (512)
- institutional asset share shiftChange between filings · filing Mar 30, 2026institutional share of RAUM moved from 75.0% to 55.0% between the annual amendments of 2025-03-31 and 2026-03-30peers: asset managers, $20B and over (512)
What changed
consecutive filings, newest first
- HQ city · STAMFORD to NEW YORKMar 30, 2026 to Jul 30, 2026
- HQ state · CT to NYMar 30, 2026 to Jul 30, 2026
- Other offices · 5 to 6Mar 30, 2026 to Jul 30, 2026
- Accounts · 210 to 208Oct 23, 2025 to Mar 30, 2026
- Advisory employees · 109 to 87Oct 23, 2025 to Mar 30, 2026
- BD registered reps · 13 to 12Oct 23, 2025 to Mar 30, 2026
- Pension plan clients · unset to 3.0Oct 23, 2025 to Mar 30, 2026
- Pooled vehicle clients · 29 to 28Oct 23, 2025 to Mar 30, 2026
- Assets in custody · $1.1B to $3.4BOct 23, 2025 to Mar 30, 2026
- Employees · 172 to 167Oct 23, 2025 to Mar 30, 2026
- Private funds · 25 to 21Oct 23, 2025 to Mar 30, 2026
- Discretionary RAUM · $76B to $78BOct 23, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $1.1B to $902MOct 23, 2025 to Mar 30, 2026
- Pension RAUM · $464M to $409MOct 23, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $22B to $35BOct 23, 2025 to Mar 30, 2026
- RAUM · $77B to $79BOct 23, 2025 to Mar 30, 2026
- Accounts · 212 to 210Mar 31, 2025 to Jul 29, 2025
- Financial planning clients · unset to Mar 31, 2025 to Jul 29, 2025
- Non-discretionary RAUM · $16B to $1.1BMar 31, 2025 to Jul 29, 2025
- RAUM · $91B to $77BMar 31, 2025 to Jul 29, 2025
- Related broker-dealer · false to trueMar 31, 2025 to Jul 29, 2025
- Accounts · 253 to 212Jan 7, 2025 to Mar 31, 2025
- Advisory employees · 116 to 109Jan 7, 2025 to Mar 31, 2025
- Advisory activities · 5 to 4Jan 7, 2025 to Mar 31, 2025
- BD registered reps · 15 to 13Jan 7, 2025 to Mar 31, 2025
- Pension plan clients · 0.0 to unsetJan 7, 2025 to Mar 31, 2025
- Pooled vehicle clients · 28 to 29Jan 7, 2025 to Mar 31, 2025
- Assets in custody · $1.0B to $1.1BJan 7, 2025 to Mar 31, 2025
- Employees · 182 to 172Jan 7, 2025 to Mar 31, 2025
- Other offices · 4 to 5Jan 7, 2025 to Mar 31, 2025
- Private funds · 22 to 25Jan 7, 2025 to Mar 31, 2025
- Discretionary RAUM · $74B to $76BJan 7, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $16B to $16BJan 7, 2025 to Mar 31, 2025
- Pension RAUM · $439M to $464MJan 7, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $21B to $22BJan 7, 2025 to Mar 31, 2025
- RAUM · $90B to $91BJan 7, 2025 to Mar 31, 2025
- Accounts · 246 to 253Jan 4, 2024 to Mar 29, 2024
- Advisory employees · 121 to 116Jan 4, 2024 to Mar 29, 2024
- BD registered reps · 12 to 15Jan 4, 2024 to Mar 29, 2024
- Pension plan clients · unset to 0.0Jan 4, 2024 to Mar 29, 2024
Signals
33 dated events
- Paul David Atterbury (Chief Operating Officer) no longer on Schedule A of A•• I••••••••• M••••••• U• I•• (listed 2022-09-26, absent 2023-01-11)Jan 11, 2023 · Control person left · inference
- Steven Frank Linneen (Head Of Us Commercial Real Estate Debt) no longer on Schedule A of A•• I••••••••• M••••••• U• I•• (listed 2022-09-26, absent 2023-01-11)Jan 11, 2023 · Control person left · inference
- Davis Stephen Mccarthy (Head Of North America Real Assets) no longer on Schedule A of A•• I••••••••• M••••••• U• I•• (listed 2022-09-26, absent 2023-01-11)Jan 11, 2023 · Control person left · inference
- Lawrence David Smith (Head Of Us Trading; Global Head Of Trading & Administrative Officer, Equity Qi) no longer on Schedule A of A•• I••••••••• M••••••• U• I•• (listed 2022-09-26, absent 2023-01-11)Jan 11, 2023 · Control person left · inference
- B•••• P••••• (Chief Technology Officer & Head Of Us, Equity Qi) no longer on Schedule A of A•• I••••••••• M••••••• U• I•• (listed 2022-09-26, absent 2023-01-11)Jan 11, 2023 · Control person left · inference
- Louis John Dipippo (Head Of It Proximity Services -- Usa) no longer on Schedule A of A•• I••••••••• M••••••• U• I•• (listed 2022-09-26, absent 2023-01-11)Jan 11, 2023 · Control person left · inference
- Paul Michael Graham (Head Of Us High Yield) no longer on Schedule A of A•• I••••••••• M••••••• U• I•• (listed 2022-09-26, absent 2023-01-11)Jan 11, 2023 · Control person left · inference
- David Fourgoux (Head Of Us Buy & Maintain; Head Of Us Ig Insurance Investments) no longer on Schedule A of A•• I••••••••• M••••••• U• I•• (listed 2022-09-26, absent 2023-01-11)Jan 11, 2023 · Control person left · inference
- Yannick Le Serviget (Head Of Us Structured Finance; Global Head Of Leveraged Loans & Private Debt) no longer on Schedule A of A•• I••••••••• M••••••• U• I•• (listed 2022-09-26, absent 2023-01-11)Jan 11, 2023 · Control person left · inference
- Barbora Sherriff (Hr Business Partner For America) no longer on Schedule A of A•• I••••••••• M••••••• U• I•• (listed 2022-09-26, absent 2023-01-11)Jan 11, 2023 · Control person left · inference
- Louise Caryn Lombardi (Director, Finance & Operations, Us Equity, Real Assets) no longer on Schedule A of A•• I••••••••• M••••••• U• I•• (listed 2022-09-26, absent 2023-01-11)Jan 11, 2023 · Control person left · inference
- J••••••••• M•••••• (Director / Chairman) appeared on Schedule A of A•• I••••••••• M••••••• U• I••Sep 26, 2022 · Control person joined · fact
- Godefroy De Colombe (Director / Interim Head Of Axa Im Inc) no longer on Schedule A of A•• I••••••••• M••••••• U• I•• (listed 2022-08-31, absent 2022-09-23)Sep 23, 2022 · Control person left · inference
- Marcello Arona (Director) no longer on Schedule A of A•• I••••••••• M••••••• U• I•• (listed 2021-03-31, absent 2022-02-01)Feb 1, 2022 · Control person left · inference
- Florian Bezault (Head Of Axa Im Americas - Regional Cfo Americas) appeared on Schedule A of A•• I••••••••• M••••••• U• I••Feb 1, 2022 · Control person joined · fact
- Steven Frank Linneen (Head Of Us Commercial Real Estate Debt) appeared on Schedule A of A•• I••••••••• M••••••• U• I••Feb 1, 2022 · Control person joined · fact
- Davis Stephen Mccarthy (Head Of North America Real Assets) appeared on Schedule A of A•• I••••••••• M••••••• U• I••Feb 1, 2022 · Control person joined · fact
- Sung Han Samuel Kim (Chief Legal Officer) appeared on Schedule A of A•• I••••••••• M••••••• U• I••Feb 1, 2022 · Control person joined · fact
- Henri Michel Decoux (Us Chief Risk Officer) appeared on Schedule A of A•• I••••••••• M••••••• U• I••Feb 1, 2022 · Control person joined · fact
- Lawrence David Smith (Head Of Us Trading; Global Head Of Trading & Administrative Officer, Equity Qi) appeared on Schedule A of A•• I••••••••• M••••••• U• I••Feb 1, 2022 · Control person joined · fact
- B•••• P••••• (Chief Technology Officer & Head Of Us, Equity Qi) appeared on Schedule A of A•• I••••••••• M••••••• U• I••Feb 1, 2022 · Control person joined · fact
- Louis John Dipippo (Head Of It Proximity Services -- Usa) appeared on Schedule A of A•• I••••••••• M••••••• U• I••Feb 1, 2022 · Control person joined · fact
- Paul Michael Graham (Head Of Us High Yield) appeared on Schedule A of A•• I••••••••• M••••••• U• I••Feb 1, 2022 · Control person joined · fact
- David Fourgoux (Head Of Us Buy & Maintain; Head Of Us Ig Insurance Investments) appeared on Schedule A of A•• I••••••••• M••••••• U• I••Feb 1, 2022 · Control person joined · fact
- Yannick Le Serviget (Head Of Us Structured Finance; Global Head Of Leveraged Loans & Private Debt) appeared on Schedule A of A•• I••••••••• M••••••• U• I••Feb 1, 2022 · Control person joined · fact
- Barbora Sherriff (Hr Business Partner For America) appeared on Schedule A of A•• I••••••••• M••••••• U• I••Feb 1, 2022 · Control person joined · fact
- Louise Caryn Lombardi (Director, Finance & Operations, Us Equity, Real Assets) appeared on Schedule A of A•• I••••••••• M••••••• U• I••Feb 1, 2022 · Control person joined · fact
- Martin Travis Pauley (Regional Head Of Compliance) no longer on Schedule A of A•• I••••••••• M••••••• U• I•• (listed 2020-03-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Gerald Harlin (Chairman And Director) no longer on Schedule A of A•• I••••••••• M••••••• U• I•• (listed 2020-03-30, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Gerald Harlin (Chairman And Director) appeared on Schedule A of A•• I••••••••• M••••••• U• I••Mar 30, 2020 · Control person joined · fact
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
- Website
- bnpparibas-am.com/en-us/institutionalreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-681-3181reportedpublic record, Form ADV, Jul 30, 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