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
Geneva Advisors, LLC
Latest filing Mar 15, 2017
First filing on the tape Feb 10, 2012 · 12 filings
RAUM
$7.9B
reported, Item 5.F
Discretionary
97%
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
101
68 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
5
$23.5M gross assets
History
12 filings and snapshots on the tape
RAUM$7.9B as of Mar 6, 2017
Feb 10, 2012$5.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)68 as of Mar 6, 2017
Mar 27, 201336 then
Employees (5.A)101 as of Mar 6, 2017
Mar 27, 201381 then
Private funds5 as of Mar 6, 2017
Feb 10, 20123 then
RAUM +0.4% over the last fiscal year+2.3% a year over threeIARs 68 to 68
Practice profile
derived from the filing of Mar 15, 2017; every figure names its basis
- RAUM per advisor
- $116MderivedRAUM 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
- $557,661derivedRAUM over accounts (5.F.2.f)
- Discretionary
- 97%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 1.5derivedItem 5.A over advisors
- Advisors per office
- 17.0derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +0.4%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- financial planning, portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $3.4B, 4,762 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
- is a broker-dealer (6.A.1)
- 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)
- receives research or other products from a broker-dealer, soft dollars (8.E)
- 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)
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
- 14,090reported
- Financial planning clients
- 251-500reported
- Wrap fee programs
- noreported
- Custody of client assets
- $3.4B for 4,762 clientsreported
- Compensation
- % of AUM, fixedreported
- 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
- Andrew Khoa Q Le to InvestableSep 1, 2017 · Other
- Jonathan Edward Eitas to Kovack Advisors, Inc.Aug 15, 2017 · Other
- Eswar C Menon to Harper Capital Management, LLCJul 21, 2017 · Other
- Adam Joel Boersma to Citigroup Global Markets Inc.May 18, 2017 · Other
- Kevin Michael Moore to New York Life Investment Management LLCFeb 28, 2017 · Other
- Bryan Scott Brooks to Nuveen Asset Management, LLCNov 27, 2015 · Other
- Thomas Dibari to Chartwell Investment Partners, LLCApr 17, 2015 · Other
- Richard Ronald Furmanski to Clearview Wealth Solutions, LLCSep 23, 2014 · Other
- Anil Thomas to Kennedy Capital ManagementJul 29, 2013 · Other
- Richard A. Gartelmann to LPL Financial LLCJun 8, 2012 · Other
- Thomas Wayne Ulrich to Altegris Advisors, LLCJul 11, 2011 · Other
Joined, latest
- Joseph John Locke from Joseph J. Locke & Company, Ltd.Jul 15, 2016 · Other
- Mark Edward Pauly from Ameriprise Financial Services, LLCOct 29, 2015 · Other
- Mikhail Kimbarovsky from Advocate Asset Management, LLCSep 11, 2015 · Other
- Joann Mcclure Seagren from Advocate Asset Management, LLCSep 11, 2015 · Other
- Jonathan Edward Eitas from Manulife Investment Management (US) LLCJul 10, 2015 · Other
- Gordon C Scott from Kenilworth Asset Management, LLCOct 3, 2014 · Other
- Michael Shawn Leist from Morgan StanleyAug 21, 2014 · Other
- Mark Earl Resnik from Segall Bryant & HamillMar 17, 2014 · Other
- Kevin Michael Moore from Nuveen Asset Management, LLCMar 17, 2014 · Other
- Andrew Khoa Q Le from Whv Investments, Inc.Jan 3, 2014 · Other
- Eswar C Menon from Whv Investments, Inc.Jan 2, 2014 · Other
- Daniel Philip Delany from Oak Ridge Investments, LLCDec 3, 2013 · Other
- Robert J. Coulton from Zacks Investment Management, Inc.Sep 10, 2013 · Other
- Kathleen Anne Birmingham from Andersen Capital Management, LLCSep 17, 2012 · Other
- Thomas Dibari from Pacific Income Advisers IncAug 21, 2012 · Other
Teams: two or more advisors moving together within fourteen days, from one state
- 2 joined from Whv Investments, Inc.Jul 29, 2016 · San Francisco, Ca
- 2 joined from Advocate Asset Management, LLCDec 31, 2015 · Chicago, Il
Private funds
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Geneva Advisors Global Equity Income Fund, Ldc | Other Private Fund | $10.4M | 26 | Oct 7, 2013 |
Owners and control persons
Schedule A and B, latest filing
- Douglas Gregg Anderson · Principalcontrolsince 01/2015 · owns less than 5%
- Addison James Barasa · Principalcontrolsince 01/2015 · owns less than 5%
- Lucia Kathryn Bergin · Principalcontrolsince 01/2012 · owns less than 5%
- Steven Michael Brady · Chief Financial Officercontrolsince 01/2014 · owns less than 5%
- Campbell Robert Bridges · Principalcontrolsince 01/2003 · owns less than 5%
- Shelby Thomas Bridges · Principalcontrolsince 01/2003 · owns less than 5%
- M Katherine Brown · Principalcontrolsince 01/2011 · owns less than 5%
- Vernon Thomas Bruns · Principalcontrolsince 01/2015 · owns less than 5%
- J. Robert Coulton · Principalcontrolsince 01/2016 · owns less than 5%
- Philip Daniel Delany · Principalcontrolsince 01/2013 · owns less than 5%
- Amit Dhawan · Principalcontrolsince 01/2005 · owns less than 5%
- Schornack Erin Dickes · Principalcontrolsince 01/2012 · owns less than 5%
- Brady Sean Dobbins · Principalcontrolsince 01/2014 · owns less than 5%
- L. James Farrell · Principalcontrolsince 01/2013 · owns less than 5%
- Marie Tina Frey · Principalcontrolsince 01/2014 · owns less than 5%
- Joseph Kenneth Gimbel · Principalcontrolsince 01/2012 · owns less than 5%
- Thomas Kelly Goalby · Principalcontrolsince 01/2009 · owns less than 5%
- Marie Michelle Hermann · Principalcontrolsince 01/2015 · owns less than 5%
- J Eliezer Hernandez · Principalcontrolsince 01/2014 · owns less than 5%
- Patrick John Huber · Principalcontrolsince 01/2003 · owns less than 5%
- French Richard Judd · Principalcontrolsince 12/2009 · owns less than 5%
- Samuel Richard Kaplan · Principalcontrolsince 01/2003 · owns less than 5%
- Lawrence Bruce Klein · Principalcontrolsince 01/2009 · owns less than 5%
- James Christopher Lewis · Principalcontrolsince 07/2008 · owns less than 5%
- Edward Michael Mortell · Principalcontrolsince 01/2009 · owns less than 5%
- Scott Timothy Musial · Principalcontrolsince 01/2014 · owns less than 5%
- Michael Kurt Newsom · Principal, General Counsel And Chief Compliance Officercontrolsince 07/2011 · owns less than 5%
- David Pierce · Principalcontrolsince 01/2003 · owns less than 5%
- Earl Mark Resnik · Principalcontrolsince 02/2014 · owns less than 5%
- Kenneth Matthew Scherer · Principalcontrolsince 01/2012 · owns less than 5%
Entity owners
- Geneva Holding Company Of Chicago, LLC · Managing Memberdirect · owns 75% or more
Related persons
Schedule D 7.A
- Geneva Holdings, LLCpooled vehicle sponsorn
- Gnv Advisors, LLCbroker-dealern
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX
- San Francisco, CA
- St. Simons Island, GA
What changed
consecutive filings, newest first
- Accounts · 13,564 to 14,090Mar 16, 2016 to Mar 6, 2017
- Advisory employees · 69 to 68Mar 16, 2016 to Mar 6, 2017
- BD registered reps · 53 to 50Mar 16, 2016 to Mar 6, 2017
- Assets in custody · $22.3M to $3.4BMar 16, 2016 to Mar 6, 2017
- Employees · 102 to 101Mar 16, 2016 to Mar 6, 2017
- Financial planning clients · 101-250 to 251-500Mar 16, 2016 to Mar 6, 2017
- Discretionary RAUM · $7.6B to $7.6BMar 16, 2016 to Mar 6, 2017
- Non-discretionary RAUM · $235M to $243MMar 16, 2016 to Mar 6, 2017
- RAUM · $7.8B to $7.9BMar 16, 2016 to Mar 6, 2017
- Accounts · 13,091 to 13,564Jul 8, 2015 to Mar 16, 2016
- Advisory employees · 63 to 69Jul 8, 2015 to Mar 16, 2016
- BD registered reps · 51 to 53Jul 8, 2015 to Mar 16, 2016
- Assets in custody · $21.1M to $22.3MJul 8, 2015 to Mar 16, 2016
- Employees · 97 to 102Jul 8, 2015 to Mar 16, 2016
- State-registered IARs · 56 to 68Jul 8, 2015 to Mar 16, 2016
- Private funds · 4 to 5Jul 8, 2015 to Mar 16, 2016
- Discretionary RAUM · $7.5B to $7.6BJul 8, 2015 to Mar 16, 2016
- Non-discretionary RAUM · $249M to $235MJul 8, 2015 to Mar 16, 2016
- RAUM · $7.8B to $7.8BJul 8, 2015 to Mar 16, 2016
- Accounts · 11,881 to 13,091Aug 8, 2014 to Mar 11, 2015
- Advisory employees · 73 to 63Aug 8, 2014 to Mar 11, 2015
- BD registered reps · 46 to 51Aug 8, 2014 to Mar 11, 2015
- Business name · GENEVA INVESTMENT MANAGEMENT OF CHICAGO, LLC to GENEVA ADVISORS, LLCAug 8, 2014 to Mar 11, 2015
- Assets in custody · $38.4M to $21.1MAug 8, 2014 to Mar 11, 2015
- Employees · 93 to 97Aug 8, 2014 to Mar 11, 2015
- State-registered IARs · 51 to 56Aug 8, 2014 to Mar 11, 2015
- Legal name · GENEVA INVESTMENT MANAGEMENT OF CHICAGO, LLC to GENEVA ADVISORS, LLCAug 8, 2014 to Mar 11, 2015
- Discretionary RAUM · $7.1B to $7.5BAug 8, 2014 to Mar 11, 2015
- Non-discretionary RAUM · $240M to $249MAug 8, 2014 to Mar 11, 2015
- RAUM · $7.3B to $7.8BAug 8, 2014 to Mar 11, 2015
- Accounts · 11,304 to 11,881Oct 7, 2013 to Mar 20, 2014
- Advisory employees · 56 to 73Oct 7, 2013 to Mar 20, 2014
- BD registered reps · 37 to 46Oct 7, 2013 to Mar 20, 2014
- Assets in custody · $54.4M to $38.4MOct 7, 2013 to Mar 20, 2014
- Employees · 81 to 93Oct 7, 2013 to Mar 20, 2014
- State-registered IARs · 36 to 51Oct 7, 2013 to Mar 20, 2014
- Discretionary RAUM · $5.5B to $7.1BOct 7, 2013 to Mar 20, 2014
- Non-discretionary RAUM · $220M to $240MOct 7, 2013 to Mar 20, 2014
- RAUM · $5.7B to $7.3BOct 7, 2013 to Mar 20, 2014
- Advisory activities · 4 to 5Mar 27, 2013 to Oct 7, 2013
Signals
No event on the tape.
Across DFX
shared identifiers only, never a name match
- Geneva Advisors, LLC · Private Equityshared crd · organization
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
Across the graphs
Geneva Advisors, LLC is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…