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.
SEC-registered adviser
Geode Capital Management, LLC
Latest filing Mar 31, 2026
First filing on the tape Mar 30, 2012 · 52 filings
SEC status approved since May 17, 2002
RAUM
$1737B
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
194
37 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
52 filings and snapshots on the tape
RAUM$1737B as of Mar 31, 2026
Mar 30, 2012$119B then
HNW client RAUM$3.0B as of Mar 31, 2022
Mar 29, 2018$1.3B then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 28, 20130 then
Employees (5.A)194 as of Mar 31, 2026
Mar 28, 201353 then
Private funds4 as of Mar 31, 2023
Mar 28, 20136 then
RAUM +26% over the last fiscal year+29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 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
- $9.9BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.5%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
- +26%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 feesreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, 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
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$1643B95%
- Pooled investment vehicles$85B4.9%
- Sovereign wealth funds$5.0B0.3%
- Pension and profit-sharing plans$2.2B0.1%
- State and municipal entities$498M0.0%
- Charitable organizations$352M0.0%
- Corporations and businesses$170M0.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 176reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 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
Private funds
11 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Fiam U.S. Broad Market Index Fund LPno longer reported | Other Private Fund | $4.4B | 15 | Mar 25, 2013 |
| Fiam Target Date Russell 1000 Vaule Index, LPno longer reported | Other Private Fund | $2.0B | 13 | Mar 29, 2016 |
| Fiam Global Ex U.S. Index Fund LPno longer reported | Other Private Fund | $1.9B | 14 | Mar 25, 2013 |
| Fiam Target Date Russell 1000 Growth Index, LPno longer reported | Other Private Fund | $1.0B | 13 | Mar 29, 2016 |
| Geode Sai Inflation Focused Cayman Ltd. | Hedge Fund | $450M | 1 | Feb 25, 2019 |
| Geode Series Commodity Return Cayman Ltd. | Hedge Fund | $291M | 1 | Mar 28, 2012 |
| Geode Commodity Return Central Cayman Ltd. | Hedge Fund | $119M | 1 | Mar 28, 2012 |
| Geode Structured Commodity Fund, LLCno longer reported | Other Private Fund | $97.3M | 1 | Nov 27, 2015 |
| Pyramis Reit Index Fund LPno longer reported | Other Private Fund | $58.5M | 12 | Mar 25, 2013 |
| Geode Commodity Return Cayman Ltd.no longer reported | Hedge Fund | $36.4M | 1 | Mar 28, 2012 |
| Geode Commodity Strategy Cayman Ltd. | Hedge Fund | $12.7M | 1 | Aug 21, 2017 |
Owners and control persons
Schedule A and B, latest filing
- Anthony Michael Ciccone · Chief Compliance Officercontrolsince 07/2023 · owns less than 5%
- Christian Sorin Codreanu · Chief Financial Officercontrolsince 10/2013 · owns less than 5%
- M Laura Doherty · Chief Operating Officercontrolsince 05/2024 · owns less than 5%
- Kenneth David Lane · President And Chief Executive Officercontrolsince 02/2023 · owns less than 5%
- Joel Matthew Nevins · General Counselcontrolsince 02/2015 · owns less than 5%
- Elisabeth Nolly Corley · Trusteecontrolsince 08/2006 · owns F of Geode Holdings Trust
- Lindsey Philip Bullen · Directorsince 02/2017 · owns less than 5%
- Ann Kathryn Dunn · Directorsince 08/2024 · owns less than 5%
- K Michael Even · Directorsince 02/2020 · owns less than 5%
- Kumar Alok Kapoor · Directorsince 05/2022 · owns less than 5%
- John Gerard Mcgraw · Directorsince 11/2023 · owns less than 5%
- Michael Thomas Sprague · Directorsince 02/2019 · owns less than 5%
- Stonestreet Jennifer Uhrig · Directorsince 10/2013 · owns less than 5%
- Lindsey Philip Bullen · Directorsince 02/2017 · owns F of Geode Capital Holdings LLC
- Ann Kathryn Dunn · Directorsince 08/2024 · owns F of Geode Capital Holdings LLC
- K Michael Even · Directorsince 02/2020 · owns F of Geode Capital Holdings LLC
- Kumar Alok Kapoor · Directorsince 05/2022 · owns F of Geode Capital Holdings LLC
- John Gerard Mcgraw · Directorsince 11/2023 · owns F of Geode Capital Holdings LLC
- Michael Thomas Sprague · Directorsince 02/2019 · owns F of Geode Capital Holdings LLC
- Stonestreet Jennifer Uhrig · Directorsince 10/2013 · owns F of Geode Capital Holdings LLC
Entity owners
- Geode Capital Holdings LLC · Memberdirect · owns 75% or more
- Geode Holdings Trust · Memberindirect · owns 75% or more of Geode Capital Holdings LLC
Related persons
Schedule D 7.A
- Geode Capital Management Trust Company, LLCn
Advisers that list Geode Capital Management, LLC as a related person
- 132365 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusually large average accountStatic outlier · filing Mar 31, 2026RAUM per account of $9,866,609,287 against a peer median of $426,672,517 (326 comparable advisers, 99.0th percentile, 31.0 robust deviations)peers: asset managers, $20B and over (326) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 166 to 176Jan 21, 2026 to Mar 31, 2026
- Advisory employees · 35 to 37Jan 21, 2026 to Mar 31, 2026
- Pooled vehicle clients · 69 to 74Jan 21, 2026 to Mar 31, 2026
- Employees · 173 to 194Jan 21, 2026 to Mar 31, 2026
- Discretionary RAUM · $1377B to $1737BJan 21, 2026 to Mar 31, 2026
- Pension RAUM · $2.5B to $2.2BJan 21, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $49B to $85BJan 21, 2026 to Mar 31, 2026
- RAUM · $1377B to $1737BJan 21, 2026 to Mar 31, 2026
- Accounts · 172 to 166Aug 13, 2024 to Apr 16, 2025
- Advisory employees · 34 to 35Aug 13, 2024 to Apr 16, 2025
- Pooled vehicle clients · 77 to 69Aug 13, 2024 to Apr 16, 2025
- Employees · 161 to 173Aug 13, 2024 to Apr 16, 2025
- Financial planning clients · unset to Aug 13, 2024 to Apr 16, 2025
- Discretionary RAUM · $1063B to $1377BAug 13, 2024 to Apr 16, 2025
- Pension RAUM · $2.3B to $2.5BAug 13, 2024 to Apr 16, 2025
- Pooled vehicle RAUM · $31B to $49BAug 13, 2024 to Apr 16, 2025
- RAUM · $1063B to $1377BAug 13, 2024 to Apr 16, 2025
- Accounts · 174 to 172Nov 6, 2023 to Mar 28, 2024
- Advisory employees · 28 to 34Nov 6, 2023 to Mar 28, 2024
- Corporate clients · 5.0 to unsetNov 6, 2023 to Mar 28, 2024
- Pooled vehicle clients · 75 to 77Nov 6, 2023 to Mar 28, 2024
- Employees · 156 to 161Nov 6, 2023 to Mar 28, 2024
- Private funds · 4 to unsetNov 6, 2023 to Mar 28, 2024
- Discretionary RAUM · $803B to $1063BNov 6, 2023 to Mar 28, 2024
- Pension RAUM · $1.9B to $2.3BNov 6, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $21B to $31BNov 6, 2023 to Mar 28, 2024
- RAUM · $803B to $1063BNov 6, 2023 to Mar 28, 2024
- Accounts · 169 to 174Feb 7, 2023 to Mar 31, 2023
- Advisory employees · 27 to 28Feb 7, 2023 to Mar 31, 2023
- Pooled vehicle clients · 72 to 75Feb 7, 2023 to Mar 31, 2023
- Employees · 142 to 156Feb 7, 2023 to Mar 31, 2023
- Discretionary RAUM · $915B to $803BFeb 7, 2023 to Mar 31, 2023
- Pension RAUM · $2.1B to $1.9BFeb 7, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $22B to $21BFeb 7, 2023 to Mar 31, 2023
- RAUM · $915B to $803BFeb 7, 2023 to Mar 31, 2023
- Accounts · 831 to 169Mar 31, 2022 to Jul 8, 2022
- Advisory employees · 46 to 27Mar 31, 2022 to Jul 8, 2022
- Advisory activities · 5 to 3Mar 31, 2022 to Jul 8, 2022
- Corporate clients · 6 to 5Mar 31, 2022 to Jul 8, 2022
- HNW clients · 49.0 to unsetMar 31, 2022 to Jul 8, 2022
Signals
12 dated events
- Geode Capital Management, Llc reported RAUM $1.7T, up 26% from $1.4T (2026-01-21 to 2026-03-31)Mar 31, 2026 · RAUM change · derived
- Geode Capital Management, Llc reported RAUM $1.4T, up 30% from $1.1T (2024-08-13 to 2025-04-16)Apr 16, 2025 · RAUM change · derived
- M Laura Doherty (Chief Operating Officer) appeared on Schedule A of Geode Capital Management, LlcMay 23, 2024 · Control person joined · fact
- Stewart Jeffrey Miller (Chief Operating Officer) no longer on Schedule A of Geode Capital Management, Llc (listed 2024-03-28, absent 2024-05-23)May 23, 2024 · Control person left · inference
- Geode Capital Management, Llc reported RAUM $1.1T, up 32% from $803.5B (2023-11-06 to 2024-03-28)Mar 28, 2024 · RAUM change · derived
- Louis Joseph Ciardi (Chief Compliance Officer) no longer on Schedule A of Geode Capital Management, Llc (listed 2023-03-31, absent 2023-07-07)Jul 7, 2023 · Control person left · inference
- Anthony Michael Ciccone (Chief Compliance Officer) appeared on Schedule A of Geode Capital Management, LlcJul 7, 2023 · Control person joined · fact
- Kenneth David Lane (President And Chief Executive Officer) appeared on Schedule A of Geode Capital Management, LlcFeb 7, 2023 · Control person joined · fact
- Geode Capital Management, Llc reported RAUM $945.5B, up 39% from $682.1B (2021-03-31 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- George Robert Minicus (President And Chief Executive Officer) appeared on Schedule A of Geode Capital Management, LlcJan 12, 2021 · Control person joined · fact
- Charles Vincent Gubitosi (President And Chief Investment Officer) no longer on Schedule A of Geode Capital Management, Llc (listed 2020-06-30, absent 2021-01-12)Jan 12, 2021 · Control person left · inference
- Geode Capital Management, Llc reported RAUM $554.4B, up 51% from $368.1B (2019-12-09 to 2020-05-13)May 13, 2020 · RAUM change · derived
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/geode-capital-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- geodecapital.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 1-800-777-6757reportedpublic record, Form ADV, Mar 31, 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