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.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
SEC-registered adviser
R••••••• A•••••••••
Asset manager (funds and pooled vehicles)Newport Beach, CaliforniaCRD 120440SEC 801-61153websiteIAPD
Legal name R••••••• A••••••••• L••
Latest filing Sep 18, 2026
First filing on the tape Mar 28, 2012 · 42 filings
SEC status approved since May 10, 2002
RAUM
$32B
reported, Item 5.F
Discretionary
93%
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
31
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$28B as of Mar 26, 2026
Mar 28, 2012$46B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Mar 27, 20130 then
Employees (5.A)66 as of Mar 26, 2026
Mar 27, 201365 then
Private funds2 as of Nov 20, 2025
Mar 28, 201212 then
RAUM +22% over the last fiscal year+5.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 18, 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
- $1.0BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 93%derivedof RAUM
- Institutional
- 17%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
- +5.8%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$22B69%
- Pooled investment vehicles$4.7B15%
- State and municipal entities$4.7B15%
- Pension and profit-sharing plans$767M2.4%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 3reported
- Charitable clients
- n/areported
- Accounts
- 32reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.83 institutional_share=0.17 related_bd= related_bank= 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
14 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R••••••• A••••••••• E••••• I••••••••• L•••no longer reported | Hedge Fund | $1.1B | 22 | Mar 28, 2012 |
| R••••••• A••••••••• E••••• U• L••••• L•••no longer reported | Hedge Fund | $777M | 37 | Mar 28, 2012 |
| R••••••• A••••••••• E••••• E••••••• M••••••• L•••no longer reported | Hedge Fund | $429M | 19 | Mar 28, 2012 |
| E••••••• R••• G••••• L••• S•••• L•no longer reported | Hedge Fund | $107M | 23 | Mar 28, 2012 |
| R••••••• A••••••••• C••••••• L•••no longer reported | Hedge Fund | $84.4M | 2 | Mar 28, 2012 |
| R••••••• A••••••••• L•• 2•••• L•no longer reported | Hedge Fund | $72.7M | 3 | Mar 28, 2012 |
| R••••••• A••••••••• E••••• U• S••••• L•••no longer reported | Hedge Fund | $46.3M | 6 | Mar 28, 2012 |
| R••••••• A••••••••• E••••• S•••• I••••••••• L•••no longer reported | Hedge Fund | $39.3M | 3 | Mar 28, 2012 |
| R• C•••••• I• L•• | Other Private Fund | $4.7M | 1 | Mar 30, 2023 |
| R••••••• A••••••••• U• L•• V••••••••• E••••• I••••• L•no longer reported | Hedge Fund | $3.4M | 3 | Mar 28, 2012 |
| R••••••• A••••••••• U• V•••• O••••••••• L• | Other Private Fund | $2.2M | 21 | Mar 30, 2023 |
| R••••••• A••••••••• F••••••••• A••••• L•no longer reported | Hedge Fund | $2.0M | 8 | Mar 28, 2012 |
| R••••••• A••••••••• E••••• G••••• A•• C••••••• L•••no longer reported | Hedge Fund | $0 | 16 | Mar 28, 2012 |
| R••••••• A••••••••• E••••• G••••• A•• C•••••• E• U•• L•••no longer reported | Hedge Fund | $0 | 6 | Mar 28, 2012 |
Owners and control persons
Schedule A and B, latest filing
- A•••••• R•••••• D•••••• · Non-Executive Chairmancontrolsince 03/2002 · owns less than 5%
- B••••••••• C••••••••• J•• · Chief Executive Officer And Chief Investment Officercontrolsince 07/2021 · owns less than 5%
- L••••• R••••• S••••• · Chief Operating Officercontrolsince 06/2023 · owns less than 5%
- Z•••• E•••••• T••• · Chief Compliance Officercontrolsince 01/2023 · owns less than 5%
- A•••••• R•••••• D•••••• · Trustor And Trustee A••••• F••••• T•••• A Member Of R••••••• A••••••••• G••••• H•••••••• L••. Includes Beneficial Interests.controlsince 08/2002 · owns 50% to 75% of A••••• F••••• T••••
Entity owners
- R••••••• A••••••••• G••••• H•••••••• L•• · Holding Companydirect · owns 75% or more
- A••••• F••••• T•••• · Member Of R••••••• A••••••••• G••••• H•••••••• L••indirect · owns 25% to 50% of R••••••• A••••••••• G••••• H•••••••• L••
Related persons
Schedule D 7.A
- R• C••••••• G• L••pooled vehicle sponsorn
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom2 employees
What changed
consecutive filings, newest first
- Accounts · 33 to 32Mar 26, 2026 to Sep 18, 2026
- Advisory employees · 29 to 15Mar 26, 2026 to Sep 18, 2026
- Pension plan clients · 2 to 3Mar 26, 2026 to Sep 18, 2026
- Pooled vehicle clients · 11 to 9Mar 26, 2026 to Sep 18, 2026
- Employees · 66 to 31Mar 26, 2026 to Sep 18, 2026
- Financial planning clients · 0 to 0Mar 26, 2026 to Sep 18, 2026
- Legal name · R••••••• A••••••••• L•• to SYZYGY ASSET MANAGEMENT, LLCMar 26, 2026 to Sep 18, 2026
- Discretionary RAUM · $26B to $30BMar 26, 2026 to Sep 18, 2026
- Non-discretionary RAUM · $1.6B to $2.2BMar 26, 2026 to Sep 18, 2026
- Pension RAUM · $544M to $767MMar 26, 2026 to Sep 18, 2026
- Pooled vehicle RAUM · $3.4B to $4.7BMar 26, 2026 to Sep 18, 2026
- RAUM · $28B to $32BMar 26, 2026 to Sep 18, 2026
- Related adviser · false to unsetMar 26, 2026 to Sep 18, 2026
- Related bank · false to unsetMar 26, 2026 to Sep 18, 2026
- Related broker-dealer · false to unsetMar 26, 2026 to Sep 18, 2026
- Related insurance company · false to unsetMar 26, 2026 to Sep 18, 2026
- Succession · false to unsetMar 26, 2026 to Sep 18, 2026
- Advisory employees · 35 to 29Nov 20, 2025 to Mar 26, 2026
- Pension plan clients · 1 to 2Nov 20, 2025 to Mar 26, 2026
- Pooled vehicle clients · 13 to 11Nov 20, 2025 to Mar 26, 2026
- Assets in custody · 4476044.0 to unsetNov 20, 2025 to Mar 26, 2026
- Custody of client assets · true to falseNov 20, 2025 to Mar 26, 2026
- Employees · 71 to 66Nov 20, 2025 to Mar 26, 2026
- Private funds · 2 to unsetNov 20, 2025 to Mar 26, 2026
- Discretionary RAUM · $25B to $26BNov 20, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $1.5B to $1.6BNov 20, 2025 to Mar 26, 2026
- Pension RAUM · $410M to $544MNov 20, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $2.1B to $3.4BNov 20, 2025 to Mar 26, 2026
- RAUM · $26B to $28BNov 20, 2025 to Mar 26, 2026
- Related bank · true to falseNov 20, 2025 to Mar 26, 2026
- Financial planning clients · 0 to 0Aug 25, 2025 to Nov 20, 2025
- Accounts · 34 to 33Oct 9, 2024 to Mar 27, 2025
- Pension plan clients · 2 to 1Oct 9, 2024 to Mar 27, 2025
- Assets in custody · $2.2M to $4.5MOct 9, 2024 to Mar 27, 2025
- Employees · 67 to 71Oct 9, 2024 to Mar 27, 2025
- Other offices · 1 to 0Oct 9, 2024 to Mar 27, 2025
- Private funds · 1 to 2Oct 9, 2024 to Mar 27, 2025
- Discretionary RAUM · $27B to $25BOct 9, 2024 to Mar 27, 2025
- Non-discretionary RAUM · $1.4B to $1.5BOct 9, 2024 to Mar 27, 2025
- Pension RAUM · $367M to $410MOct 9, 2024 to Mar 27, 2025
Signals
7 dated events
- Diederich Joseph Hattesohl (Chief Financial Officer) no longer on Schedule A of R••••••• A••••••••• (listed 2023-03-30, absent 2023-07-18)Jul 18, 2023 · Control person left · inference
- Tzou Elaine Zane (Chief Compliance Officer) appeared on Schedule A of R••••••• A•••••••••Jan 17, 2023 · Control person joined · fact
- Michael Daniel Harkins (General Counsel And Chief Compliance Officer) no longer on Schedule A of R••••••• A••••••••• (listed 2021-08-02, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Shukla Reena Lalji (General Counsel And Chief Compliance Officer) appeared on Schedule A of R••••••• A•••••••••Mar 30, 2022 · Control person joined · fact
- Kamali Asher Ailey (Chief Administrative Officer, General Counsel And Chief Compliance Officer) no longer on Schedule A of R••••••• A••••••••• (listed 2021-07-23, absent 2021-08-02)Aug 2, 2021 · Control person left · inference
- Michael Daniel Harkins (General Counsel And Chief Compliance Officer) appeared on Schedule A of R••••••• A•••••••••Aug 2, 2021 · Control person joined · fact
- Foulkrod Katrina Sherrerd (Chief Executive Officer) no longer on Schedule A of R••••••• A••••••••• (listed 2021-03-25, absent 2021-07-23)Jul 23, 2021 · 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/syzygy-asset-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- SYZYGYASSETMANAGEMENT.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 949 325 8700reportedpublic record, Form ADV, Sep 18, 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