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

Macquarie Capital Investment Management LLC

Former SEC-registered adviserNy, New YorkCRD 130352SEC 801-62755IAPD
Latest filing Jun 27, 2019
First filing on the tape Mar 29, 2012 · 21 filings
RAUM
$1.9B
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
20
14 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$1.9B as of Jun 27, 2019
Jun 28, 2012$1.6B then
HNW client RAUM$0 as of Jun 27, 2019
Jun 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 27, 2019
Jun 24, 20130 then
Employees (5.A)20 as of Jun 27, 2019
Jun 24, 201322 then
Private funds: no history
RAUM -19% over the last fiscal year+5.7% a year over threeIARs 0 to 0offices 1 to 2
Practice profile
derived from the filing of Jun 27, 2019; 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
$268MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
42%derivedpensions, 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
-19%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 assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$949M50%
  • Sovereign wealth funds$789M42%
  • Pooled investment vehicles$142M7.5%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Joseph William Fink · Chief Compliance Officercontrol
        since 10/2014 · owns less than 5%
      • Lee Bradford Frishberg · Member/Presidentcontrol
        since 09/2010 · owns less than 5%
      • Keith Shawn Lytle · Membercontrol
        since 07/2015 · owns less than 5%
      • Richard Salus · Treasurercontrol
        since 12/2012 · owns less than 5%
      Entity owners
      • Macquarie Fg Holdings Inc. · Owner
        direct · owns 75% or more
      • Macquarie Corporate Holdings Pty Limited · Owner
        indirect · owns 75% or more of Macquarie Corporate International Holdings Pty Limited
      • Macquarie Corporate International Holdings Pty Limited · Owner
        indirect · owns 75% or more of Macquarie Group (US) Holdings No. 1 Pty Ltd
      • Macquarie Equities (US) Holdings Pty Limited · Owner
        indirect · owns 75% or more of Macquarie Fg Holdings Inc.
      • Macquarie Fg Holdings Inc · Owner
        indirect · owns 75% or more of Macquarie Capital Investment Management LLC.
      • Macquarie Financial Holdings Pty Limited · Owner
        indirect · owns 75% or more of Macquarie Corporate Holdings Pty Limited
      • Macquarie Group (US) Holdings No. 1 Pty Ltd · Owner
        indirect · owns 75% or more of Macquarie Equities (US) Holdings Pty Limited
      • Macquarie Group Limited · Owner
        indirect · owns 75% or more of Macquarie Financial Holdings Pty Limited
      Related persons
      Schedule D 7.A
      Advisers that list Macquarie Capital Investment Management LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Sydney, Australia6 employees
      • Philadelphia, PA3 employees
      What changed
      consecutive filings, newest first
      • Accounts · 17 to 7
        Jun 28, 2018 to Jun 27, 2019
      • Advisory employees · 12 to 14
        Jun 28, 2018 to Jun 27, 2019
      • BD registered reps · 1 to 0
        Jun 28, 2018 to Jun 27, 2019
      • Pension plan clients · 3 to 0
        Jun 28, 2018 to Jun 27, 2019
      • Pooled vehicle clients · 8 to 2
        Jun 28, 2018 to Jun 27, 2019
      • Other offices · 1 to 2
        Jun 28, 2018 to Jun 27, 2019
      • Discretionary RAUM · $2.3B to $1.9B
        Jun 28, 2018 to Jun 27, 2019
      • Pension RAUM · $387M to $0
        Jun 28, 2018 to Jun 27, 2019
      • Pooled vehicle RAUM · $291M to $142M
        Jun 28, 2018 to Jun 27, 2019
      • RAUM · $2.3B to $1.9B
        Jun 28, 2018 to Jun 27, 2019
      • Accounts · 16 to 17
        Dec 22, 2017 to Jun 28, 2018
      • Advisory employees · 13 to 12
        Dec 22, 2017 to Jun 28, 2018
      • Pooled vehicle clients · 7 to 8
        Dec 22, 2017 to Jun 28, 2018
      • Employees · 22 to 20
        Dec 22, 2017 to Jun 28, 2018
      • Discretionary RAUM · $2.3B to $2.3B
        Dec 22, 2017 to Jun 28, 2018
      • Pension RAUM · $386M to $387M
        Dec 22, 2017 to Jun 28, 2018
      • Pooled vehicle RAUM · $249M to $291M
        Dec 22, 2017 to Jun 28, 2018
      • RAUM · $2.3B to $2.3B
        Dec 22, 2017 to Jun 28, 2018
      • Charity clients · unset to 0.0
        Jun 29, 2017 to Dec 22, 2017
      • Corporate clients · unset to 0.0
        Jun 29, 2017 to Dec 22, 2017
      • HNW clients · unset to 0.0
        Jun 29, 2017 to Dec 22, 2017
      • Individual clients · unset to 0.0
        Jun 29, 2017 to Dec 22, 2017
      • Pension plan clients · unset to 3.0
        Jun 29, 2017 to Dec 22, 2017
      • Pooled vehicle clients · unset to 7.0
        Jun 29, 2017 to Dec 22, 2017
      • Employees · 21 to 22
        Jun 29, 2017 to Dec 22, 2017
      • Other offices · unset to 1.0
        Jun 29, 2017 to Dec 22, 2017
      • Discretionary RAUM · $2.1B to $2.3B
        Jun 29, 2017 to Dec 22, 2017
      • HNW RAUM · unset to 0.0
        Jun 29, 2017 to Dec 22, 2017
      • Individual RAUM · unset to 0.0
        Jun 29, 2017 to Dec 22, 2017
      • Pension RAUM · unset to 385583324.0
        Jun 29, 2017 to Dec 22, 2017
      • Pooled vehicle RAUM · unset to 249496041.0
        Jun 29, 2017 to Dec 22, 2017
      • RAUM · $2.1B to $2.3B
        Jun 29, 2017 to Dec 22, 2017
      • Accounts · 14 to 16
        Jun 28, 2016 to Jun 29, 2017
      • Employees · 20 to 21
        Jun 28, 2016 to Jun 29, 2017
      • Discretionary RAUM · $1.6B to $2.1B
        Jun 28, 2016 to Jun 29, 2017
      • RAUM · $1.6B to $2.1B
        Jun 28, 2016 to Jun 29, 2017
      • Accounts · 10 to 14
        Aug 20, 2015 to Jun 28, 2016
      • Advisory employees · 12 to 13
        Aug 20, 2015 to Jun 28, 2016
      • BD registered reps · 0 to 1
        Aug 20, 2015 to Jun 28, 2016
      • Employees · 21 to 20
        Aug 20, 2015 to Jun 28, 2016
      Signals
      2 dated events
      • John Kim (Chief Legal Officer) no longer on Schedule A of Macquarie Capital Investment Management Llc (listed 2018-06-28, absent 2019-06-27)
        Jun 27, 2019 · Control person left · inference
      • Alan Jonathan Hall (Member) no longer on Schedule A of Macquarie Capital Investment Management Llc (listed 2018-06-28, absent 2019-06-27)
        Jun 27, 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