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

Structured Asset Investors, LLC

Former SEC-registered adviserNew York, New YorkCRD 131539SEC 801-63263IAPD
Latest filing Nov 13, 2018
First filing on the tape Mar 30, 2012 · 37 filings
RAUM
$168M
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
255
227 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$437M as of Mar 28, 2018
Mar 30, 2012$1.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)236 as of Mar 28, 2018
Mar 30, 20120 then
Employees (5.A)255 as of Mar 28, 2018
Mar 26, 201312 then
Private funds1 as of Mar 31, 2015
Mar 30, 20121 then
RAUM -56% over the last fiscal year-35% a year over threeIARs 6 to 236
Practice profile
derived from the filing of Nov 13, 2018; every figure names its basis
RAUM per advisor
$713,589derivedRAUM 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
$28.1MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
30%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.1derivedItem 5.A over advisors
Advisors per office
118.0derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+3833%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed fees, otherreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
Custody
$20.4M, 1 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
  • 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)
  • a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$62.6M56%
  • State and municipal entities$49.9M44%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
6reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$20.4M for 1 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
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Wachovia Cre Cdo 2006-1no longer reportedSecuritized Asset Fund$276M0Mar 30, 2012
Owners and control persons
Schedule A and B, latest filing
  • Robert Benjamin Adams · Director/Portfolio Managercontrol
    since 02/2016 · owns less than 5%
  • Ernesto Walter Dolhare · Presidentcontrol
    since 02/2016 · owns less than 5%
  • S Philip Douthit · Director/Portfolio Managercontrol
    since 02/2016 · owns less than 5%
  • Andrew Paul Jeanne · Managercontrol
    since 07/2018 · owns less than 5%
  • Francis Michael Riley · Executive Vice Presidentcontrol
    since 07/2017 · owns less than 5%
  • L Jessica Smith · Chief Compliance Officercontrol
    since 12/2018 · owns less than 5%
  • Andrew William Threadgill · Chief Administrative Officer; Managing Directorcontrol
    since 02/2016 · owns less than 5%
  • Victoria Barroso · Secretary
    since 03/2016 · owns less than 5%
  • L Diana Lea-Kahle · Assistant Secretary
    since 02/2016 · owns less than 5%
  • Greenwood Stephen Nelson · Treasurer
    since 04/2014 · owns less than 5%
Entity owners
  • Wells Fargo & Company · Shareholder
    direct · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
Advisers that list Structured Asset Investors, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
  • Charlotte, NC1 employees
What changed
consecutive filings, newest first
  • Accounts · 7 to 6
    Apr 23, 2018 to Jun 28, 2018
  • Discretionary RAUM · $437M to $168M
    Apr 23, 2018 to Jun 28, 2018
  • RAUM · $437M to $168M
    Apr 23, 2018 to Jun 28, 2018
  • Accounts · 5 to 7
    Dec 20, 2017 to Mar 28, 2018
  • Advisory employees · 2 to 227
    Dec 20, 2017 to Mar 28, 2018
  • BD registered reps · 16 to 247
    Dec 20, 2017 to Mar 28, 2018
  • Assets in custody · $12.8M to $20.4M
    Dec 20, 2017 to Mar 28, 2018
  • Employees · 1,019 to 255
    Dec 20, 2017 to Mar 28, 2018
  • State-registered IARs · 6 to 236
    Dec 20, 2017 to Mar 28, 2018
  • Discretionary RAUM · $384M to $437M
    Dec 20, 2017 to Mar 28, 2018
  • RAUM · $384M to $437M
    Dec 20, 2017 to Mar 28, 2018
  • Employees · 19 to 1,019
    Apr 24, 2017 to Oct 23, 2017
  • Other offices · unset to 1.0
    Apr 24, 2017 to Oct 23, 2017
  • Accounts · 7 to 5
    Apr 25, 2016 to Mar 25, 2017
  • Advisory activities · 3 to 2
    Apr 25, 2016 to Mar 25, 2017
  • Assets in custody · $10.3M to $12.8M
    Apr 25, 2016 to Mar 25, 2017
  • Employees · 17 to 19
    Apr 25, 2016 to Mar 25, 2017
  • State-registered IARs · 16 to 6
    Apr 25, 2016 to Mar 25, 2017
  • Discretionary RAUM · $383M to $384M
    Apr 25, 2016 to Mar 25, 2017
  • RAUM · $383M to $384M
    Apr 25, 2016 to Mar 25, 2017
  • Accounts · 6 to 7
    Aug 28, 2015 to Mar 24, 2016
  • Advisory employees · 3 to 2
    Aug 28, 2015 to Mar 24, 2016
  • Advisory activities · 4 to 3
    Aug 28, 2015 to Mar 24, 2016
  • BD registered reps · 18 to 16
    Aug 28, 2015 to Mar 24, 2016
  • Assets in custody · unset to 10300000.0
    Aug 28, 2015 to Mar 24, 2016
  • Custody of client assets · false to true
    Aug 28, 2015 to Mar 24, 2016
  • Employees · 20 to 17
    Aug 28, 2015 to Mar 24, 2016
  • Financial planning clients · 26-50 to unset
    Aug 28, 2015 to Mar 24, 2016
  • HQ city · CHARLOTTE to NEW YORK
    Aug 28, 2015 to Mar 24, 2016
  • HQ state · NC to NY
    Aug 28, 2015 to Mar 24, 2016
  • State-registered IARs · 18 to 16
    Aug 28, 2015 to Mar 24, 2016
  • Private funds · 1 to unset
    Aug 28, 2015 to Mar 24, 2016
  • Discretionary RAUM · $616M to $383M
    Aug 28, 2015 to Mar 24, 2016
  • RAUM · $616M to $383M
    Aug 28, 2015 to Mar 24, 2016
  • Accounts · 1 to 6
    Aug 29, 2014 to Mar 31, 2015
  • Advisory employees · 6 to 3
    Aug 29, 2014 to Mar 31, 2015
  • BD registered reps · 10 to 18
    Aug 29, 2014 to Mar 31, 2015
  • Employees · 12 to 20
    Aug 29, 2014 to Mar 31, 2015
  • Financial planning clients · 0 to 26-50
    Aug 29, 2014 to Mar 31, 2015
  • State-registered IARs · 7 to 18
    Aug 29, 2014 to Mar 31, 2015
Signals
2 dated events
  • Structured Asset Investors, Llc reported RAUM $168.4M, down 61% from $436.8M (2018-04-23 to 2018-06-28)
    Jun 28, 2018 · RAUM change · derived
  • Structured Asset Investors, Llc reported 236 state-registered advisory representatives, up from 6 (2017-12-20 to 2018-03-28)
    Mar 28, 2018 · Advisor headcount 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.
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