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
Curian Capital, LLC
Latest filing Apr 20, 2016
First filing on the tape Mar 30, 2012 · 27 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
271
26 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$11B as of Mar 31, 2015
Mar 30, 2012$6.8B then
HNW client RAUM: no history
State-registered IARs (5.B.3)176 as of Mar 30, 2016
Apr 1, 201373 then
Employees (5.A)271 as of Mar 30, 2016
Apr 1, 2013191 then
Private funds3 as of Mar 31, 2015
Mar 28, 20142 then
RAUM n/a over the last fiscal yearIARs 196 to 176
Practice profile
derived from the filing of Apr 20, 2016; 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
- unknownderivedRAUM over accounts (5.F.2.f)
- Discretionary
- unknownderivedof RAUM
- Institutional
- unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 176.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- -10%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- 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
- 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
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
- n/areported
- Financial planning clients
- 0reported
- 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
- Mark Steven Pickett to Global Financial Private Capital, Inc.May 20, 2016 · Other
- Oksana Doncila to Wells Fargo AdvisorsMay 19, 2016 · Other
- Courtney Folkerts to Invesco Advisers, Inc.Apr 4, 2016 · Other
- Byron Keith Wilson to The Millstone Evans Group, LLCMar 30, 2016 · Other
- Christian Paul Von Allmen to LPL Financial LLCMar 29, 2016 · Other
- Timothy James Williams to Wealth Enhancement Advisory Services, LLCMar 29, 2016 · Other
- Hunter Tedford Mills to Truist Advisory Services, Inc.Mar 29, 2016 · Other
- Thomas Joseph Dohogne to Tlg Advisors, Inc.Mar 29, 2016 · Other
- James Patrick Gnefkow to Park Avenue Securities LLCMar 29, 2016 · Other
- Joseph M Wittels to J.P. Morgan Securities LLCMar 29, 2016 · Other
- Kimberley Greenwald to Edward JonesMar 29, 2016 · Other
- Jeremiah Jennings to Next Financial Group, Inc.Mar 29, 2016 · Other
- Ryan Edward Haezebrouck to Blackrock Investment Management, LLCMar 29, 2016 · Other
- Kurt Kevin Coalmer to Equitable Advisors, LLCMar 29, 2016 · Other
- Andrew Ramsey Kelleher to Charles Schwab & Co., Inc.Mar 29, 2016 · Other
Joined, latest
- David R Densmore from Amundi Pioneer Institutional Asset Management, Inc.Feb 24, 2016 · Other
- Christopher Matthew Wise from Wfg Advisors, LPJan 20, 2016 · Other
- Timothy James Williams from SpcJan 14, 2016 · Other
- Devin Tyler Masoner from Edward JonesJan 14, 2016 · Other
- Gary Allen Scott from LPL Financial LLCNov 5, 2015 · Other
- Justin Choi from UBS Financial Services Inc.May 22, 2015 · Other
- Joseph Furman Bishop from Waddell & ReedMay 6, 2015 · Other
- Byron Keith Wilson from Salient Capital Advisors, LLCApr 30, 2015 · Other
- Blake Gregory Barnes from Merrill Lynch, Pierce, Fenner & Smith IncorporatedApr 16, 2015 · Other
- Kayla Marie Benjamin from Edward JonesApr 7, 2015 · Other
- Hunter Tedford Mills from First Tennessee Advisory Services, Inc.Jan 26, 2015 · Other
- Phillip Glover from Edward JonesJan 12, 2015 · Other
- Shawn Joseph Barth from Robert W. Baird & Co. IncorporatedNov 12, 2014 · Other
- Travis Christian Edington from Estate & Financial Strategies, Inc.Sep 26, 2014 · Other
- Courtney Folkerts from A & I Wealth ManagementAug 28, 2014 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 3 left for Fidelity Personal And Workplace AdvisorsMar 29, 2016 · Denver, Co
- 2 left for The Pacific Financial Group, Inc.Mar 21, 2016 · Denver, Co
- 3 left for Advice And Planning ServicesMar 21, 2016 · Denver, Co
- 3 left for Charles Schwab & Co., Inc.Mar 21, 2016 · Denver, Co
- 3 left for Sei Investments Management CorpSep 15, 2015 · Denver, Co
- 4 left for Assetmark, Inc.Sep 15, 2015 · Denver, Co
- 3 left for Advisors Capital Management, LLCSep 15, 2015 · Franklin, Tn
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Philip Gregory Cicotte · Executive Vice Presidentcontrolsince 02/2016 · owns less than 5%
- Kathryn Maura Collins · Senior Vice President, Chief Financial Officercontrolsince 10/2010 · owns less than 5%
- Scott Glenn Dorsey · Senior Vice President, Co-Chief Investment Officercontrolsince 10/2015 · owns less than 5%
- Dilip Devkumar Ganguly · Senior Vice President, Chief Information Officercontrolsince 05/2015 · owns less than 5%
- Anne Julia Goatley · Secretarycontrolsince 05/2015 · owns less than 5%
- William Robert Hajdu · Senior Vice President, Chief Administration Officercontrolsince 08/2014 · owns less than 5%
- Olan Bradley Harris · Member Board Of Managerscontrolsince 02/2016 · owns less than 5%
- Bernard Mark Mandich · Member Of Board Of Managers, President And Chief Executive Officercontrolsince 05/2015 · owns less than 5%
- Frank Otto Miller · Vice Presidentcontrolsince 05/2015 · owns less than 5%
- Chadwick Paul Myers · Member Board Of Managerscontrolsince 05/2015 · owns less than 5%
- Louene Laura Prieskorn · Executive Vice President And Chief Operating Officercontrolsince 02/2016 · owns less than 5%
- Chris Raub · Senior Vice President, Co-Chief Investment Officercontrolsince 10/2015 · owns less than 5%
- Bartley Weston Wetherell · Senior Vice President, General Counsel And Assistant Secretarycontrolsince 05/2015 · owns less than 5%
- Eugene Daniel Wright · Senior Vice President, Chief Compliance Officercontrolsince 12/2014 · owns less than 5%
- Nelson Zamora · Senior Vice Presidentcontrolsince 05/2015 · owns less than 5%
Entity owners
- Jackson National Life Insurance Company · Sole Memberdirect · owns 75% or more
- Brooke (Holdco1) Inc · Shareholderindirect · owns 75% or more of Brooke Uk LLC
- Brooke Holdings, LLC · Sole Share Holder Of Comon Stock Of Brooke Holdings, Inc.indirect · owns 75% or more of Brooke Life Insurance Company
- Brooke Life Insurance Company · Sole Shareholderindirect · owns 75% or more of Jackson National Life Insurance Company
- Prudential (US Holdco1) Limited · Shareholderindirect · owns 75% or more of Brooke (Holdco) Inc.
- Prudential Plc · Sole Shareholderindirect · owns 75% or more of Prudential US Limited · public reporting company
Related persons
Schedule D 7.A
- Brooke Life Insurance Companyreal estaten
- Curian Clearing, LLCbroker-dealercustodiann
- Invest Financial Corporationbroker-dealerinvestment advisern
- Investment Centers Of America, Inc.broker-dealerinvestment adviserreal estaten
- Jackson National Asset Management, LLCinvestment adviserbankpooled vehicle sponsornRAUM $246B
- Jackson National Life Distributors LLCbroker-dealern
- Jackson National Life Insurance Companyreal estatey
- National Planning Corporation ("Npc Of America" In Fl & Ny)broker-dealerinvestment adviserreal estaten
- Ppm America Incinvestment adviserbankpooled vehicle sponsornRAUM $94B
- Sii Investments, Inc.broker-dealerinvestment adviserreal estaten
Advisers that list Curian Capital, LLC as a related person
- 147506 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- State-registered IARs · 196 to 176Feb 26, 2016 to Mar 30, 2016
- Private funds · 3 to unsetFeb 26, 2016 to Mar 30, 2016
- Accounts · 88626.0 to unsetFeb 26, 2016 to Mar 30, 2016
- Advisory employees · 158 to 26Feb 26, 2016 to Mar 30, 2016
- Advisory activities · 4 to 1Feb 26, 2016 to Mar 30, 2016
- BD registered reps · 216 to 235Feb 26, 2016 to Mar 30, 2016
- Employees · 304 to 271Feb 26, 2016 to Mar 30, 2016
- Discretionary RAUM · 10967539622.0 to unsetFeb 26, 2016 to Mar 30, 2016
- Non-discretionary RAUM · 0.0 to unsetFeb 26, 2016 to Mar 30, 2016
- RAUM · 10967539622.0 to unsetFeb 26, 2016 to Mar 30, 2016
- Accounts · 82,606 to 88,626Feb 10, 2015 to Mar 31, 2015
- Advisory employees · 18 to 158Feb 10, 2015 to Mar 31, 2015
- BD registered reps · 249 to 216Feb 10, 2015 to Mar 31, 2015
- Employees · 321 to 304Feb 10, 2015 to Mar 31, 2015
- State-registered IARs · 214 to 196Feb 10, 2015 to Mar 31, 2015
- Discretionary RAUM · $9.9B to $11BFeb 10, 2015 to Mar 31, 2015
- RAUM · $9.9B to $11BFeb 10, 2015 to Mar 31, 2015
- Private funds · 2 to 3Sep 12, 2014 to Nov 11, 2014
- Accounts · 72,600 to 82,606Jan 10, 2014 to Mar 28, 2014
- BD registered reps · 130 to 249Jan 10, 2014 to Mar 28, 2014
- Employees · 191 to 321Jan 10, 2014 to Mar 28, 2014
- State-registered IARs · 73 to 214Jan 10, 2014 to Mar 28, 2014
- Private funds · unset to 2Jan 10, 2014 to Mar 28, 2014
- Discretionary RAUM · $8.3B to $9.9BJan 10, 2014 to Mar 28, 2014
- RAUM · $8.3B to $9.9BJan 10, 2014 to Mar 28, 2014
- Accounts · 74,290 to 72,600Jan 22, 2013 to Apr 1, 2013
- Advisory employees · 15 to 18Jan 22, 2013 to Apr 1, 2013
- BD registered reps · 108 to 130Jan 22, 2013 to Apr 1, 2013
- Employees · 190 to 191Jan 22, 2013 to Apr 1, 2013
- State-registered IARs · 51 to 73Jan 22, 2013 to Apr 1, 2013
- Discretionary RAUM · $7.6B to $8.3BJan 22, 2013 to Apr 1, 2013
- RAUM · $7.6B to $8.3BJan 22, 2013 to Apr 1, 2013
- Advisory employees · unset to 15.0Aug 17, 2012 to Jan 22, 2013
- BD registered reps · unset to 108.0Aug 17, 2012 to Jan 22, 2013
- Employees · unset to 190.0Aug 17, 2012 to Jan 22, 2013
- State-registered IARs · unset to 51.0Aug 17, 2012 to Jan 22, 2013
- Accounts · 69,357 to 74,290Apr 20, 2012 to Aug 17, 2012
- Discretionary RAUM · $6.8B to $7.6BApr 20, 2012 to Aug 17, 2012
- RAUM · $6.8B to $7.6BApr 20, 2012 to Aug 17, 2012
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