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.
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SEC-registered adviser
I•••••• C•••••• M••••••••• L••
Latest filing Aug 12, 2026
First filing on the tape Jan 27, 2012 · 53 filings
SEC status approved since Mar 7, 2003
RAUM
$941B
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
222
39 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$941B as of Aug 12, 2026
Mar 28, 2012$20B then
HNW client RAUM: no history
State-registered IARs (5.B.3)27 as of Aug 12, 2026
Mar 28, 20120 then
Employees (5.A)222 as of Aug 12, 2026
Mar 21, 201375 then
Private funds: no history
RAUM +27% over the last fiscal year+33% a year over threeIARs 30 to 27offices 5 to 3
Practice profile
derived from the filing of Aug 12, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- $35BderivedRAUM 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
- $2.1BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.4%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 8.2derivedItem 5.A over advisors
- Advisors per office
- 6.8derived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween 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 assets, otherreportedItem 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
- 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)
- 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
- Investment companies$804B85%
- Pooled investment vehicles$97B10%
- Corporations and businesses$35B3.8%
- Pension and profit-sharing plans$4.1B0.4%
- Insurance companies$123M0.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 7reported
- Charitable clients
- n/areported
- Accounts
- 444reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.96 institutional_share=0.0 related_bd=true related_bank=true bd_reps=87.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- G••••••• M•••• W•••••• · Chief Accounting Officercontrolsince 03/2022 · owns less than 5%
- H•••••••• B••••• C••••••••• · Managing Director, Chief Executive Officer, Principal Executive Officercontrolsince 11/2023 · owns less than 5%
- H•••••• A••• · Head Of Legal - US Etfscontrolsince 06/2020 · owns less than 5%
- K••••••• J•••••• A••••• · Managing Directorcontrolsince 10/2020 · owns less than 5%
- V•••••••• T••••• G••••• · Chief Financial Officercontrolsince 03/2022 · owns less than 5%
- Z•••• J•••• M••• · Managing Directorcontrolsince 11/2009 · owns less than 5%
- Z••••••• M••••••• H••••• · Chief Compliance Officercontrolsince 11/2017 · owns less than 5%
Entity owners
- I•••••• G•••• S•••••••• I••• · Direct Ownerdirect · owns 75% or more
- I•••••• H•••••• C•••••• •••• I••• · Sole Shareholderindirect · owns 75% or more of O••••••••• A••••••••• C•••• •••••
- I•••••• H•••••• C•••••• L•••••• · Sole Shareholderindirect · owns 75% or more of I•••••• H•••••• C•••••• •••• I•••
- I•••••• L••• · Sole Shareholderindirect · owns 75% or more of I•••••• H•••••• C•••••• L•••••• · public reporting company
- O••••••••• A••••••••• C•••• ••••• · Sole Shareholderindirect · owns 75% or more of O••••••••• I••• •••
- O••••••••• I••• ••• · Sole Shareholderindirect · owns 75% or more of I•••••• G•••• S•••••••• I•••
Related persons
Schedule D 7.A
- H••••••••• A•••• M••••••••• C•••••••••investment adviserbankpooled vehicle sponsornRAUM $386M
- Redblack Advisers, Inc.investment advisernRAUM $824M
- I•••••• A•••••••• I•••investment adviserbanknRAUM $750B
- I•••••• A•••• M••••••••• •••••• P••• L•••investment advisernRAUM $10B
- I•••••• A•••• M••••••••• •••••• L••••••investment advisernRAUM $76B
- I•••••• M••••••••• S•••investment advisernRAUM $49B
- I•••••• A•••• M••••••••• L•••investment advisernRAUM $188B
- I••••••investment adviserbankpooled vehicle sponsornRAUM $20B
- I•••••• C•••••• M••••••• I•••broker-dealern
- I•••••• C•• E••••• F••• 3• L•••investment adviserpooled vehicle sponsorn
- I•••••• C•• E••••• F••• I• L•••investment adviserpooled vehicle sponsorn
- I•••••• D••••••••• I•••broker-dealern
- I•••••• E••••••• Rr L.Pinvestment advisernRAUM $1.4B
- I•••••• F••• M••••••• L••pooled vehicle sponsorn
- I•••••• H••• K••• L••••••investment advisernRAUM $26B
- I•••••• I••••••••• A••••••• L••investment advisernRAUM $4.4B
- I•••••• I••••••••• M••••••••• L••pooled vehicle sponsorn
- I•••••• L••• M••••••• L••investment adviserpooled vehicle sponsornRAUM $18B
- I•••••• M•••••• A•••••••• L••investment advisernRAUM $31B
- I•••••• M••••••••• S•••pooled vehicle sponsorn
- I•••••• P••••••• L••real estaten
- I•••••• P•••••• C••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $860M
- I•••••• R••• E••••• Management S.à R.L.investment advisernRAUM $13B
- I•••••• Rr Fund L.Pinvestment adviserpooled vehicle sponsornRAUM $3.6B
- I•••••• S••••• S•••••• M••••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $29B
- I•••••• S••••••••• P•••••••• L••pooled vehicle sponsory
- I•••••• T•••• C••••••n
- I•• ••••••• L••••••investment adviserpooled vehicle sponsorn
- O••••••••• I••investment adviserpooled vehicle sponsoryRAUM $827,684
- W• R••• • C•• L••investment adviserbankpooled vehicle sponsornRAUM $225M
Advisers that list I•••••• C•••••• M••••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- London, United Kingdom6 employees
- Atlanta, GA2 employees
- H••• K•••, Hong Kong2 employees
- Melbourne, Australia2 employees
- , 1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 30, 2026discretionary share of RAUM moved from 57.0% to 100.0% between the annual amendments of 2025-03-26 and 2026-03-30peers: ASSET_M••••••, $20B and over (512)
- office count dropChange between filings · filing Mar 30, 2026offices other than the principal office (Item 1.F.5) moved from 5.0 to 3.0 (-40.0%) between the annual amendments of 2025-03-26 and 2026-03-30; the peer median change was 0.0% (198 comparable advisers, 1.0th percentile of changes)peers: ASSET_M••••••, $20B and over (198) · 1.0% percentile
What changed
consecutive filings, newest first
- Accounts · 452 to 444Jan 15, 2026 to Mar 30, 2026
- Advisory employees · 38 to 39Jan 15, 2026 to Mar 30, 2026
- BD registered reps · 92 to 87Jan 15, 2026 to Mar 30, 2026
- Corporate clients · unset to 28.0Jan 15, 2026 to Mar 30, 2026
- Pension plan clients · unset to 7.0Jan 15, 2026 to Mar 30, 2026
- Pooled vehicle clients · 214 to 180Jan 15, 2026 to Mar 30, 2026
- Employees · 232 to 222Jan 15, 2026 to Mar 30, 2026
- Insurance-licensed employees · 30 to 27Jan 15, 2026 to Mar 30, 2026
- State-registered IARs · 30 to 27Jan 15, 2026 to Mar 30, 2026
- Other offices · 5 to 3Jan 15, 2026 to Mar 30, 2026
- Discretionary RAUM · $933B to $939BJan 15, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $2.1B to $2.1BJan 15, 2026 to Mar 30, 2026
- Pension RAUM · unset to 4058652520.0Jan 15, 2026 to Mar 30, 2026
- Pooled vehicle RAUM · $132B to $97BJan 15, 2026 to Mar 30, 2026
- RAUM · $935B to $941BJan 15, 2026 to Mar 30, 2026
- Accounts · 436 to 452Nov 21, 2025 to Jan 15, 2026
- Pooled vehicle clients · 199 to 214Nov 21, 2025 to Jan 15, 2026
- Discretionary RAUM · $421B to $933BNov 21, 2025 to Jan 15, 2026
- Non-discretionary RAUM · $320B to $2.1BNov 21, 2025 to Jan 15, 2026
- Pooled vehicle RAUM · $418B to $132BNov 21, 2025 to Jan 15, 2026
- RAUM · $741B to $935BNov 21, 2025 to Jan 15, 2026
- Accounts · 401 to 436Mar 27, 2024 to Mar 26, 2025
- Advisory employees · 49 to 38Mar 27, 2024 to Mar 26, 2025
- BD registered reps · 66 to 92Mar 27, 2024 to Mar 26, 2025
- Pooled vehicle clients · 176 to 199Mar 27, 2024 to Mar 26, 2025
- Employees · 220 to 232Mar 27, 2024 to Mar 26, 2025
- Insurance-licensed employees · 35 to 30Mar 27, 2024 to Mar 26, 2025
- Financial planning clients · unset to Mar 27, 2024 to Mar 26, 2025
- State-registered IARs · 35 to 30Mar 27, 2024 to Mar 26, 2025
- Discretionary RAUM · $314B to $421BMar 27, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $231B to $320BMar 27, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $310B to $418BMar 27, 2024 to Mar 26, 2025
- RAUM · $546B to $741BMar 27, 2024 to Mar 26, 2025
- Accounts · 425 to 401Dec 7, 2023 to Mar 27, 2024
- Advisory employees · 48 to 49Dec 7, 2023 to Mar 27, 2024
- BD registered reps · 52 to 66Dec 7, 2023 to Mar 27, 2024
- Pooled vehicle clients · 177 to 176Dec 7, 2023 to Mar 27, 2024
- Employees · 193 to 220Dec 7, 2023 to Mar 27, 2024
- Insurance-licensed employees · 24 to 35Dec 7, 2023 to Mar 27, 2024
- State-registered IARs · 24 to 35Dec 7, 2023 to Mar 27, 2024
Signals
20 dated events
- I•••••• C•••••• M••••••••• L•• reported RAUM $934.6B, up 26% from $740.5B (2025-11-21 to 2026-01-15)Jan 15, 2026 · RAUM change · derived
- I•••••• C•••••• M••••••••• L•• reported RAUM $740.5B, up 36% from $545.5B (2024-03-27 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- I•••••• C•••••• M••••••••• L•• reported RAUM $545.5B, up 36% from $400.6B (2023-12-07 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- I•••••• C•••••• M••••••••• L•• reported 35 state-registered advisory representatives, up from 24 (2023-12-07 to 2024-03-27)Mar 27, 2024 · Advisor headcount change · derived
- Anna Paglia (Managing Director, Global Head Of Etfs & Indexed Strategies) no longer on Schedule A of I•••••• C•••••• M••••••••• L•• (listed 2023-09-06, absent 2023-12-07)Dec 7, 2023 · Control person left · inference
- C••••••••• B•••• H••••••• (Managing Director, Chief Executive Officer, Principal Executive Officer) appeared on Schedule A of I•••••• C•••••• M••••••••• L••Dec 7, 2023 · Control person joined · fact
- I•••••• C•••••• M••••••••• L•• reported RAUM $477.8B, up 43% from $333.9B (2021-06-30 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Janecka Annette Lege (Chief Financial Officer) no longer on Schedule A of I•••••• C•••••• M••••••••• L•• (listed 2021-06-30, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- G••••• T•••• V••••••• (Chief Financial Officer) appeared on Schedule A of I•••••• C•••••• M••••••••• L••Mar 30, 2022 · Control person joined · fact
- William Mark Gregson (Chief Accounting Officer) appeared on Schedule A of I•••••• C•••••• M••••••••• L••Mar 30, 2022 · Control person joined · fact
- I•••••• C•••••• M••••••••• L•• reported RAUM $333.9B, up 40% from $237.6B (2020-11-10 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- I•••••• C•••••• M••••••••• L•• reported 26 state-registered advisory representatives, up from 0 (2020-11-10 to 2021-03-31)Mar 31, 2021 · Advisor headcount change · derived
- Marie Kristie Feinberg (Managing Director) no longer on Schedule A of I•••••• C•••••• M••••••••• L•• (listed 2020-07-06, absent 2020-11-10)Nov 10, 2020 · Control person left · inference
- Andrew Jordan Krugman (Managing Director) appeared on Schedule A of I•••••• C•••••• M••••••••• L••Nov 10, 2020 · Control person joined · fact
- Eugene Daniel Draper (Managing Director And Chief Executive Officer - I•••••• C•••••• M••••••••• L••) no longer on Schedule A of I•••••• C•••••• M••••••••• L•• (listed 2020-03-26, absent 2020-07-06)Jul 6, 2020 · Control person left · inference
- Adam Henkel (Head Of Legal - Us Etfs) appeared on Schedule A of I•••••• C•••••• M••••••••• L••Jul 6, 2020 · Control person joined · fact
- I•••••• C•••••• M••••••••• L•• reported RAUM $237.6B, up 36% from $174.1B (2019-12-26 to 2020-03-26)Mar 26, 2020 · RAUM change · derived
- Colvin David Warren (Managing Director - Chief Administrative Officer, Americas) no longer on Schedule A of I•••••• C•••••• M••••••••• L•• (listed 2019-03-28, absent 2019-06-21)Jun 21, 2019 · Control person left · inference
- Marie Kristie Feinberg (Managing Director) appeared on Schedule A of I•••••• C•••••• M••••••••• L••Jun 21, 2019 · Control person joined · fact
- I•••••• C•••••• M••••••••• L•• reported RAUM $174.1B, up 100% from $86.9B (2018-12-03 to 2019-03-28)Mar 28, 2019 · 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
- Principal office phone
- 800-983-0903reportedpublic record, Form ADV, Aug 12, 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