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
Ziegler Capital Management, LLC
Latest filing Apr 16, 2020
First filing on the tape Jan 27, 2012 · 36 filings
RAUM
$11B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
23%
$2.4B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
86
36 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
1
$41.0M gross assets
History
36 filings and snapshots on the tape
RAUM$11B as of Feb 25, 2020
Mar 29, 2012$3.6B then
HNW client RAUM$2.3B as of Feb 25, 2020
Mar 28, 2018$1.7B then
State-registered IARs (5.B.3)0 as of Feb 25, 2020
Apr 1, 201322 then
Employees (5.A)86 as of Feb 25, 2020
Apr 1, 201348 then
Private funds1 as of Feb 25, 2020
Mar 29, 20125 then
RAUM +6.3% over the last fiscal year+0.2% a year over threeIARs 0 to 0offices 4 to 5
Practice profile
derived from the filing of Apr 16, 2020; 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
- $2.2MderivedHNW RAUM over HNW clients
- Average account
- $4.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 20%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- +2.8%derived
- Compensation
- percentage of assets, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, pension consulting, selection of other advisersreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $18.5M, 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Corporations and businesses$4.3B40%
- High-net-worth individuals$2.3B22%
- Pension and profit-sharing plans$1.5B14%
- Investment companies$1.4B13%
- Banks and thrifts$427M4.0%
- Insurance companies$260M2.4%
- Charitable organizations$200M1.9%
- State and municipal entities$142M1.3%
- Individuals$86.5M0.8%
- Other investment advisers$67.5M0.6%
- Pooled investment vehicles$18.9M0.2%
- Individual clients
- 664reported
- HNW clients
- 1,088reported
- Pension plan clients
- 109reported
- Charitable clients
- 92reported
- Accounts
- 2,598reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $2.5B managedreported
- Custody of client assets
- $18.5M for 1 clientsreported
- Compensation
- % of AUM, fixed, 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
- Mikhail I Alkhazov to Dana Investment Advisors IncJun 23, 2020 · RIA to RIA
- Paul Benjamin Clark to Washington Crossing Advisors LLCJun 23, 2020 · RIA to RIA
- Richard Keith Marrone to Washington Crossing Advisors LLCMar 2, 2020 · RIA to RIA
- Elizabeth Anne Watkins to Stifel, Nicolaus & Company, IncorporatedOct 14, 2019 · RIA to affiliated broker-dealer or bank
- Elizabeth Anne Watkins to Calamos Wealth Management LLCSep 9, 2011 · Other
- Steven Jay Backus to Cleary Gull Inc.Dec 2, 2008 · Other
- Nicholas Charles Bauer to Cleary Gull Inc.Nov 20, 2008 · Other
- Brian Andrew to 1492 Capital Management, LLCNov 10, 2008 · Other
- Derek Joseph Pawlak to Geneva Capital Management LLCApr 10, 2007 · Other
Joined, latest
- Richard Keith Marrone from Stifel, Nicolaus & Company, IncorporatedDec 10, 2015 · Other
- Paul Benjamin Clark from Stifel, Nicolaus & Company, IncorporatedDec 10, 2015 · Other
- Gary Alan Hurlbut from Missouri Valley Partners, Inc.Dec 5, 2014 · Other
- Keith Philip Weldon from Missouri Valley Partners, Inc.Dec 5, 2014 · Other
- Daniel Raymond Skubiz from Missouri Valley Partners, Inc.Dec 5, 2014 · Other
- Elizabeth Anne Watkins from Calamos Advisors LLCMay 9, 2014 · Other
- David James Drzadinski from Red Granite Advisors LLCMay 6, 2013 · Other
- Joel Dennis Vrabel from Red Granite Advisors LLCApr 8, 2013 · Other
- Zachary Steven Newcomer from Red Granite Advisors LLCApr 8, 2013 · Other
- Richard Aaron Burling from Red Granite Advisors LLCApr 8, 2013 · Other
- Elizabeth Anne Watkins from B. C. Ziegler And CompanyMay 21, 2010 · Other
- Derek Joseph Pawlak from B. C. Ziegler And CompanyMay 31, 2005 · Other
- Nicholas Charles Bauer from B. C. Ziegler And CompanyMay 24, 2005 · Other
Private funds
7 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Zlcm Group Trust - Core Fixed Income Fundno longer reported | Other Private Fund | $97.7M | 4 | Jan 27, 2012 |
| Fiduciary Partners Fund, L.P.no longer reported | Hedge Fund | $71.3M | 54 | Mar 29, 2012 |
| Crown Point Clo IV, Ltd.no longer reported | Securitized Asset Fund | $29.5M | 1 | Mar 29, 2016 |
| Credit Opportunities Fund II Ltd.no longer reported | Hedge Fund | $16.5M | 1 | Jan 27, 2012 |
| Credit Opportunities Master Fund Ltd.no longer reported | Hedge Fund | $10.0M | 2 | Jan 27, 2012 |
| Zlcm Trust - Credit Opportunities Fundno longer reported | Hedge Fund | $10.0M | 14 | Jan 27, 2012 |
| Zlcm Trust - Core Fixed Income Fundno longer reported | Other Private Fund | $6.7M | 6 | Jan 27, 2012 |
Owners and control persons
Schedule A and B, latest filing
- D Wiley Angell · Chief Investment Officer - Famco Groupcontrolsince 04/2015 · owns less than 5%
- Marie Renee Ansbro · Chief Financial Officercontrolsince 05/2016 · owns less than 5%
- Kane John Brinckerhoff · Chief Marketing Officercontrolsince 09/2016 · owns less than 5%
- Greg Glidden · Chief Equity Strategistcontrolsince 01/2019 · owns less than 5%
- Marie Paula Horn · Chief Investment Officer - Fixed Incomecontrolsince 05/2010 · owns less than 5%
- John Matthew Kowieski · Director Of Operationscontrolsince 05/2015 · owns less than 5%
- D. Devansh Patel · Managing Directorcontrolsince 09/2014 · owns less than 5%
- Allen Scott Roberts · President And Chief Executive Officercontrolsince 05/2010 · owns less than 5%
- Kumari Monika Singh · Chief Compliance Officercontrolsince 09/2019 · owns less than 5%
- Albert Charles Brizius · Member/Managercontrolsince 06/2016 · owns F of 1251 Capital Group Holdings, LLC
- Thomas John Hailer · Member/Managercontrolsince 01/2018 · owns 50% to 75% of 1251 Capital Group Holdings, LLC
- James Christopher Maguire · Membercontrolsince 07/2016 · owns F of 1251 Capital Group Holdings, LLC
- Arthur Ross Michael Wilson · Membercontrolsince 07/2016 · owns F of 1251 Capital Group Holdings, LLC
Entity owners
- 1251 Asset Management Platform, LLC · Direct Ownerdirect · owns 75% or more
- 1251 Asset Management Payco, LLC · Memberindirect · owns 75% or more of 1251 Asset Management Platform, LLC
- 1251 Capital Group Holdings, LLC · Shareholderindirect · owns F of 1251 Capital Group, Inc
- 1251 Capital Group, Inc · Managing Memerindirect · owns 75% or more of 1251 Financing Company, LLC
- 1251 Financing Company, LLC · Memberindirect · owns 75% or more of 1251 Asset Management Payco, LLC
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
- St. Louis, MO15 employees
- Milwaukee, WI6 employees
- St. Louis, MO4 employees
- San Francisco, CA2 employees
- New York, NY1 employees
What changed
consecutive filings, newest first
- Related bank · true to falseMar 26, 2020 to Apr 16, 2020
- Related broker-dealer · true to falseMar 26, 2020 to Apr 16, 2020
- Accounts · 2,420 to 2,598Nov 11, 2019 to Feb 25, 2020
- Advisory employees · 40 to 36Nov 11, 2019 to Feb 25, 2020
- BD registered reps · 12 to 9Nov 11, 2019 to Feb 25, 2020
- Charity clients · 84 to 92Nov 11, 2019 to Feb 25, 2020
- Corporate clients · 484 to 504Nov 11, 2019 to Feb 25, 2020
- HNW clients · 206 to 1,088Nov 11, 2019 to Feb 25, 2020
- Individual clients · 1,498 to 664Nov 11, 2019 to Feb 25, 2020
- Pension plan clients · 76 to 109Nov 11, 2019 to Feb 25, 2020
- Assets in custody · $18.2M to $18.5MNov 11, 2019 to Feb 25, 2020
- Employees · 81 to 86Nov 11, 2019 to Feb 25, 2020
- Discretionary RAUM · $10B to $11BNov 11, 2019 to Feb 25, 2020
- HNW RAUM · $1.4B to $2.3BNov 11, 2019 to Feb 25, 2020
- Individual RAUM · $666M to $86.5MNov 11, 2019 to Feb 25, 2020
- Non-discretionary RAUM · $10.5M to $21.4MNov 11, 2019 to Feb 25, 2020
- Pension RAUM · $1.5B to $1.5BNov 11, 2019 to Feb 25, 2020
- Pooled vehicle RAUM · $67.2M to $18.9MNov 11, 2019 to Feb 25, 2020
- RAUM · $10B to $11BNov 11, 2019 to Feb 25, 2020
- Wrap assets (manager) · $2.2B to $2.5BNov 11, 2019 to Feb 25, 2020
- Assets in custody · unset to 18245415.0Mar 27, 2019 to May 15, 2019
- Custody of client assets · false to trueMar 27, 2019 to May 15, 2019
- Other offices · 4 to 5Mar 27, 2019 to May 15, 2019
- Private funds · unset to 1Mar 27, 2019 to May 15, 2019
- Accounts · 2,314 to 2,420Mar 28, 2018 to Mar 27, 2019
- Advisory employees · 41 to 40Mar 28, 2018 to Mar 27, 2019
- Advisory activities · 5 to 6Mar 28, 2018 to Mar 27, 2019
- BD registered reps · 11 to 12Mar 28, 2018 to Mar 27, 2019
- Charity clients · 74 to 84Mar 28, 2018 to Mar 27, 2019
- Corporate clients · 479 to 484Mar 28, 2018 to Mar 27, 2019
- HNW clients · 1,001 to 206Mar 28, 2018 to Mar 27, 2019
- Individual clients · 608 to 1,498Mar 28, 2018 to Mar 27, 2019
- Pension plan clients · 81 to 76Mar 28, 2018 to Mar 27, 2019
- Employees · 82 to 81Mar 28, 2018 to Mar 27, 2019
- Discretionary RAUM · $9.9B to $10BMar 28, 2018 to Mar 27, 2019
- HNW RAUM · $1.7B to $1.4BMar 28, 2018 to Mar 27, 2019
- Individual RAUM · $83.1M to $666MMar 28, 2018 to Mar 27, 2019
- Non-discretionary RAUM · $10.7M to $10.5MMar 28, 2018 to Mar 27, 2019
- Pension RAUM · $1.5B to $1.5BMar 28, 2018 to Mar 27, 2019
- Pooled vehicle RAUM · $76.0M to $67.2MMar 28, 2018 to Mar 27, 2019
Signals
14 dated events
- Chih-Hao Michael Chien (Chief Legal Officer) no longer on Schedule A of Ziegler Capital Management, Llc (listed 2020-03-26, absent 2020-04-16)Apr 16, 2020 · Control person left · inference
- Cynthia Perez (Chief Operating Officer) no longer on Schedule A of Ziegler Capital Management, Llc (listed 2020-03-26, absent 2020-04-16)Apr 16, 2020 · Control person left · inference
- John Matthew Kowieski (Director Of Operations) appeared on Schedule A of Ziegler Capital Management, LlcApr 16, 2020 · Control person joined · fact
- D. Devansh Patel (Managing Director) appeared on Schedule A of Ziegler Capital Management, LlcApr 16, 2020 · Control person joined · fact
- Greg Glidden (Chief Equity Strategist) appeared on Schedule A of Ziegler Capital Management, LlcApr 16, 2020 · Control person joined · fact
- D Wiley Angell (Chief Investment Officer - Famco Group) appeared on Schedule A of Ziegler Capital Management, LlcApr 16, 2020 · Control person joined · fact
- Thomas John Hailer (Member/Manager) appeared on Schedule A of Ziegler Capital Management, LlcApr 16, 2020 · Control person joined · fact
- James Christopher Maguire (Member) appeared on Schedule A of Ziegler Capital Management, LlcApr 16, 2020 · Control person joined · fact
- Arthur Ross Michael Wilson (Member) appeared on Schedule A of Ziegler Capital Management, LlcApr 16, 2020 · Control person joined · fact
- Albert Charles Brizius (Member/Manager) appeared on Schedule A of Ziegler Capital Management, LlcApr 16, 2020 · Control person joined · fact
- Anne Elizabeth Watkins (Chief Compliance Officer) no longer on Schedule A of Ziegler Capital Management, Llc (listed 2019-05-15, absent 2019-09-19)Sep 19, 2019 · Control person left · inference
- Kumari Monika Singh (Chief Compliance Officer) appeared on Schedule A of Ziegler Capital Management, LlcSep 19, 2019 · Control person joined · fact
- Marie Renee Ansbro (Chief Financial Officer) appeared on Schedule A of Ziegler Capital Management, LlcMar 27, 2019 · Control person joined · fact
- Ziegler Capital Management, Llc reported 0 state-registered advisory representatives, down from 29 (2018-01-30 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