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

Perkins Investment Management LLC

Former SEC-registered adviserChicago, IllinoisCRD 126925SEC 801-62042IAPD
Latest filing Mar 30, 2021
First filing on the tape Mar 30, 2012 · 26 filings
RAUM
$8.0B
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
21
14 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$8.0B as of Mar 30, 2021
Mar 30, 2012$18B then
HNW client RAUM: $279M
State-registered IARs (5.B.3)4 as of Mar 30, 2021
Mar 30, 20120 then
Employees (5.A)21 as of Mar 30, 2021
Mar 28, 201329 then
Private funds: no history
RAUM -8.0% over the last fiscal year-7.7% a year over threeIARs 4 to 4
Practice profile
derived from the filing of Mar 30, 2021; every figure names its basis
RAUM per advisor
$2.0BderivedRAUM 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
$382MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
6.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
5.3derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-8.0%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$7.2B90%
  • Pension and profit-sharing plans$310M3.9%
  • Other investment advisers$229M2.9%
  • Insurance companies$217M2.7%
  • Corporations and businesses$28.2M0.4%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
1reported
Charitable clients
0reported
Accounts
21reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $895,257 managedreported
Custody of client assets
noreported
Compensation
% of AUM, performancereported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Theodore Norman Hans · Chief Operating Officer, Chief Compliance Officercontrol
    since 12/2008 · owns less than 5%
  • Raymond Greg Kolb · Chief Investment Officercontrol
    since 03/2015 · owns less than 5%
  • A Valerie Newman · Senior Client Portfolio Managercontrol
    since 01/2015 · owns less than 5%
Entity owners
  • Janus Capital Management LLC · Member
    direct · owns 75% or more
  • Janus Capital Group Inc. · Member
    indirect · owns 75% or more of Janus Capital Management LLC · public reporting company
  • Janus Henderson Group Plc · Member
    indirect · owns 75% or more of Janus Capital Management LLC · public reporting company
Related persons
Schedule D 7.A
Advisers that list Perkins Investment Management LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Accounts · 23 to 21
    Jun 24, 2020 to Mar 30, 2021
  • Advisory employees · 15 to 14
    Jun 24, 2020 to Mar 30, 2021
  • Advisory activities · 4 to 3
    Jun 24, 2020 to Mar 30, 2021
  • Corporate clients · 2 to 1
    Jun 24, 2020 to Mar 30, 2021
  • Pooled vehicle clients · 1 to 0
    Jun 24, 2020 to Mar 30, 2021
  • Employees · 22 to 21
    Jun 24, 2020 to Mar 30, 2021
  • Discretionary RAUM · $8.7B to $8.0B
    Jun 24, 2020 to Mar 30, 2021
  • Pension RAUM · $227M to $310M
    Jun 24, 2020 to Mar 30, 2021
  • Pooled vehicle RAUM · 10780144.0 to unset
    Jun 24, 2020 to Mar 30, 2021
  • RAUM · $8.7B to $8.0B
    Jun 24, 2020 to Mar 30, 2021
  • Wrap assets (manager) · $884,180 to $895,257
    Jun 24, 2020 to Mar 30, 2021
  • Accounts · 28 to 23
    Oct 31, 2019 to Mar 30, 2020
  • Other offices · 2 to 0
    Oct 31, 2019 to Mar 30, 2020
  • Discretionary RAUM · $7.8B to $8.7B
    Oct 31, 2019 to Mar 30, 2020
  • Pension RAUM · $191M to $227M
    Oct 31, 2019 to Mar 30, 2020
  • Pooled vehicle RAUM · $8.4M to $10.8M
    Oct 31, 2019 to Mar 30, 2020
  • RAUM · $7.8B to $8.7B
    Oct 31, 2019 to Mar 30, 2020
  • Wrap assets (manager) · $767,785 to $884,180
    Oct 31, 2019 to Mar 30, 2020
  • Accounts · 126 to 28
    Nov 2, 2018 to Mar 29, 2019
  • BD registered reps · 9 to 8
    Nov 2, 2018 to Mar 29, 2019
  • Corporate clients · 3 to 2
    Nov 2, 2018 to Mar 29, 2019
  • HNW clients · 45 to 0
    Nov 2, 2018 to Mar 29, 2019
  • Individual clients · 50 to 0
    Nov 2, 2018 to Mar 29, 2019
  • Pension plan clients · 3 to 1
    Nov 2, 2018 to Mar 29, 2019
  • Employees · 23 to 22
    Nov 2, 2018 to Mar 29, 2019
  • Discretionary RAUM · $10B to $7.8B
    Nov 2, 2018 to Mar 29, 2019
  • HNW RAUM · 279113078.0 to unset
    Nov 2, 2018 to Mar 29, 2019
  • Individual RAUM · 33530428.0 to unset
    Nov 2, 2018 to Mar 29, 2019
  • Pension RAUM · $276M to $191M
    Nov 2, 2018 to Mar 29, 2019
  • Pooled vehicle RAUM · $14.5M to $8.4M
    Nov 2, 2018 to Mar 29, 2019
  • RAUM · $10B to $7.8B
    Nov 2, 2018 to Mar 29, 2019
  • Wrap assets (manager) · $720,091 to $767,785
    Nov 2, 2018 to Mar 29, 2019
  • Employees · 25 to 23
    Mar 29, 2018 to Nov 2, 2018
  • State-registered IARs · 5 to 4
    Mar 29, 2018 to Nov 2, 2018
  • Advisory employees · 16 to 15
    Jun 30, 2017 to Mar 29, 2018
  • BD registered reps · 10 to 9
    Jun 30, 2017 to Mar 29, 2018
  • Charity clients · unset to 0.0
    Jun 30, 2017 to Mar 29, 2018
  • Corporate clients · unset to 3.0
    Jun 30, 2017 to Mar 29, 2018
  • HNW clients · unset to 45.0
    Jun 30, 2017 to Mar 29, 2018
  • Individual clients · unset to 50.0
    Jun 30, 2017 to Mar 29, 2018
Signals
6 dated events
  • Jo Amy Stefonick (Secretary) no longer on Schedule A of Perkins Investment Management Llc (listed 2019-10-31, absent 2020-03-30)
    Mar 30, 2020 · Control person left · inference
  • Lewis Bruce Koepfgen (Executive Vice President & Director) no longer on Schedule A of Perkins Investment Management Llc (listed 2019-03-29, absent 2019-10-31)
    Oct 31, 2019 · Control person left · inference
  • De Jesus Enrique Chang (Director) no longer on Schedule A of Perkins Investment Management Llc (listed 2019-03-29, absent 2019-10-31)
    Oct 31, 2019 · Control person left · inference
  • Drew Michael Elder (Director) no longer on Schedule A of Perkins Investment Management Llc (listed 2019-03-29, absent 2019-10-31)
    Oct 31, 2019 · Control person left · inference
  • Allen Brennan Hughes (Svp, Chf Accounting Officer & Treasurer) no longer on Schedule A of Perkins Investment Management Llc (listed 2019-03-29, absent 2019-10-31)
    Oct 31, 2019 · Control person left · inference
  • George Maris (Co-Head Of Equities-Americas) no longer on Schedule A of Perkins Investment Management Llc (listed 2019-03-29, absent 2019-10-31)
    Oct 31, 2019 · 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.
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