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
American Century Advisory Services, Inc.
Latest filing Jul 2, 2012
First filing on the tape Nov 16, 2011 · 4 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
n/a
n/a advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 2, 2012
Nov 16, 20110 then
Employees (5.A): no history
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jul 2, 2012; 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
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- unknownderivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- otherreportedItem 5.E
- Advisory activities
- financial planningreportedItem 5.G
- Financial planning clients
- 3,100reportedItem 5.H
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
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
- 3,100reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- 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
- Katherine Charlene Carter to American Century Investments Private Client Group, Inc.Dec 31, 2012 · Other
- Kevin Wayne Stone to Missionsquare RetirementDec 31, 2012 · Other
- John Anthony Leis to Lexaurum AdvisorsDec 31, 2012 · Other
- Christopher Joseph Desimone to Allstate Financial Advisors, LLCDec 31, 2012 · Other
- Christopher Douglas Goodwin to American Century Investments Private Client Group, Inc.Dec 31, 2012 · Other
- Jason Allen-Pechar Harrison to Fas Wealth Partners, Inc.Dec 31, 2012 · Other
- Sean Christopher Devlin to Creativeone Securities, LLCDec 31, 2012 · Other
- Luke N Eide to Firstpoint Financial, LLCDec 31, 2012 · Other
- Svetla D Vavova-Clifford to American Century Investments Private Client Group, Inc.Dec 31, 2012 · Other
- John Hamilton Mackay to City Different InvestmentsDec 31, 2012 · Other
- Robert William Myers to Creative PlanningDec 31, 2012 · Other
- Jennifer Lynn Barron to Eaton Vance ManagementDec 31, 2012 · Other
- Matthew Cole Mcconnell to American Century Investments Private Client Group, Inc.Dec 31, 2012 · Other
- Patrick F Beach to American Century Investments Private Client Group, Inc.Dec 31, 2012 · Other
- Amy Leitner Alley to American Century Investments Private Client Group, Inc.Dec 31, 2012 · Other
Joined, latest
- Khiem Thi Truong - Von Garvisch from Charles Schwab & Co., Inc.Jul 18, 2011 · Affiliated broker-dealer or bank to a newly registered adviser
- Svetla D Vavova-Clifford from Ameriprise Financial Services, LLCApr 18, 2011 · Affiliated broker-dealer or bank to a newly registered adviser
- Duong Truong Tran from Merrill Lynch, Pierce, Fenner & Smith IncorporatedMar 14, 2011 · Wirehouse to a newly registered adviser (no RAUM reported yet)
- Alice Legan Mitchell from LPL Financial LLCNov 24, 2010 · Other
- Michael Brian Mills from Delaware Capital Management Advisers, IncAug 26, 2010 · Other
- Sean Christopher Devlin from Ameriprise Financial Services, LLCFeb 22, 2010 · Affiliated broker-dealer or bank to a newly registered adviser
- Brent Hoskins from Sound Stewardship, LLCFeb 17, 2010 · Other
- Curtis J Gray from First Command Financial Planning, Inc.Nov 10, 2009 · Other
- Jacob Andrew Tyndall from Pruco Securities, LLCMar 3, 2009 · Other
- Christopher Joseph Desimone from Amundi Pioneer Institutional Asset Management, Inc.Jan 24, 2008 · Other
- James William Peavey from Charles Schwab & Co., Inc.Apr 3, 2007 · Affiliated broker-dealer or bank to a newly registered adviser
- Luke N Eide from Ameriprise Financial Services, LLCJan 31, 2007 · Affiliated broker-dealer or bank to a newly registered adviser
- Kelly G Hammond from Walnut Street Securities, Inc.Jan 8, 2007 · Other
- Tatum Koy Schuler from Cetera Investment Services LLCJan 8, 2007 · Other
- Jerome Barber Moore from Curian Capital, LLCApr 27, 2006 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- A Charles Etherington · General Counselcontrolsince 03/2007 · owns less than 5%
- Anthony John Leis · President, Chief Executive Officer & Directorcontrolsince 06/2009 · owns less than 5%
- J Steven Mcclain · Senior Vice President & Directorcontrolsince 01/2010 · owns less than 5%
- L Maryanne Roepke · Chief Compliance Officercontrolsince 07/2006 · owns less than 5%
- Stuart Jonathan Thomas · Directorcontrolsince 02/2007 · owns less than 5%
- D Jami Waggoner · Chief Financial Officer, Chief Accounting Officer, Controller, Treasurer And Vice Presidentcontrolsince 06/2012 · owns less than 5%
Entity owners
- American Century Companies, Inc. · Shareholderdirect · owns 75% or more
- Stowers Institute For Medical Research · Shareholder Of Class B Sharesindirect · owns 25% to 50% of American Century Companies, Inc.
- Stowers Resource Management, Inc. · Shareholder Of Class A Sharesindirect · owns 25% to 50% of American Century Companies, Inc.
- Canadian Imperial Bank Of Commerce · Shareholder Of Special Voting Preferred Class Sharesindirect · owns 75% or more of American Century Companies, Inc. · public reporting company
Related persons
Schedule D 7.A
- American Century Brokerage, Inc.broker-dealern
- American Century Investment Management Incinvestment adviserbankpooled vehicle sponsornRAUM $306B
- American Century Investment Services, Inc.broker-dealern
Offices
Schedule D 1.F, the 25 largest
- Leawood, KS
- Mountain View, CA
What changed
consecutive filings, newest first
- Insurance-licensed employees · unset to 0.0Dec 14, 2011 to Mar 29, 2012
- Related bank · false to trueDec 14, 2011 to Mar 29, 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