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.
SEC-registered adviser
Marshall Wace North America L.P.
Latest filing Jul 30, 2026
First filing on the tape Mar 30, 2012 · 45 filings
SEC status approved since Sep 22, 2009
RAUM
$59B
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
184
112 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
14
reported on Schedule D
History
45 filings and snapshots on the tape
RAUM$59B as of Jul 30, 2026
May 17, 2012$1.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 30, 2026
May 29, 20130 then
Employees (5.A)184 as of Jul 30, 2026
May 29, 201321 then
Private funds14 as of Jul 30, 2026
May 17, 20125 then
RAUM +212% over the last fiscal year+30% a year over threeIARs 0 to 0offices 7 to 2
Practice profile
derived from the filing of Jul 30, 2026; 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
- $3.7BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- +51%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 pooled vehiclesreportedItem 5.G
- Custody
- $59B, 16 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$59B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 16reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $59B for 16 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=true bd_reps=0.0derived
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
29 reported on Schedule D 7.B.(1)
Owners and control persons
Schedule A and B, latest filing
- Christopher Todd Builione · Chief Executive Officercontrolsince 09/2023 · owns less than 5%
- E.K. Courtney Lewis · Chief Compliance Officercontrolsince 05/2019 · owns less than 5%
Entity owners
- Marshall Wace LLC · General Partnerdirect · owns less than 5%
- Mwam North America Llp · Limited Partnerdirect · owns 75% or more
- Kappa Holdings Ltd. · Shareholderindirect · owns 25% to 50% of Mw Group (Gp) Ltd
- Kkr & Co. Inc. · Shareholderindirect · owns 75% or more of Kkr Group Co. Inc. · public reporting company
- Kkr Group Co. Inc. · Shareholderindirect · owns 75% or more of Kkr Group Holdings Corp.
- Kkr Group Holdings Corp. · Shareholder & General Partnerindirect · owns 50% to 75% of Kkr Group Partnership L.P.
- Kkr Group Partnership L.P. · Shareholderindirect · owns 75% or more of Kappa Holdings Ltd.
- Kkr Management Llp · Shareholderindirect · owns 75% or more of Kkr & Co. Inc.
- Mw Group (Gp) Ltd · Shareholder & General Partnerindirect · owns 25% to 50% of Mw Group LP
- Mw Group LP · Shareholderindirect · owns 75% or more of Mw Ltd
- Mw Ltd · Managing Memberindirect · owns 75% or more of Mwam North America Llp
Related persons
Schedule D 7.A
- Marshall Wace Asia Limitedinvestment adviserbankpooled vehicle sponsornRAUM $8.3B
- Marshall Wace Llpinvestment adviserbankpooled vehicle sponsorn
- Marshall Wace Singapore Pte. Ltd.investment adviserpooled vehicle sponsorn
Advisers that list Marshall Wace North America L.P. as a related person
- 157501 n
Offices
Schedule D 1.F, the 25 largest
- Cambridge, MA2 employees
- Austin, TX1 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 15 to 16Aug 25, 2025 to May 29, 2026
- Advisory employees · 109 to 112Aug 25, 2025 to May 29, 2026
- Pooled vehicle clients · 15 to 16Aug 25, 2025 to May 29, 2026
- Assets in custody · $33B to $59BAug 25, 2025 to May 29, 2026
- Employees · 201 to 184Aug 25, 2025 to May 29, 2026
- Other offices · 4 to 2Aug 25, 2025 to May 29, 2026
- Private funds · 13 to 14Aug 25, 2025 to May 29, 2026
- Discretionary RAUM · $33B to $59BAug 25, 2025 to May 29, 2026
- Pooled vehicle RAUM · $33B to $59BAug 25, 2025 to May 29, 2026
- RAUM · $33B to $59BAug 25, 2025 to May 29, 2026
- Accounts · 18 to 15Jun 27, 2024 to May 29, 2025
- Advisory employees · 89 to 109Jun 27, 2024 to May 29, 2025
- Pooled vehicle clients · 18 to 15Jun 27, 2024 to May 29, 2025
- Assets in custody · $36B to $33BJun 27, 2024 to May 29, 2025
- Employees · 154 to 201Jun 27, 2024 to May 29, 2025
- Financial planning clients · unset to Jun 27, 2024 to May 29, 2025
- Private funds · 15 to 13Jun 27, 2024 to May 29, 2025
- Discretionary RAUM · $36B to $33BJun 27, 2024 to May 29, 2025
- Pooled vehicle RAUM · $36B to $33BJun 27, 2024 to May 29, 2025
- RAUM · $36B to $33BJun 27, 2024 to May 29, 2025
- Assets in custody · $29B to $36BMay 30, 2024 to Jun 27, 2024
- Discretionary RAUM · $29B to $36BMay 30, 2024 to Jun 27, 2024
- Pooled vehicle RAUM · $29B to $36BMay 30, 2024 to Jun 27, 2024
- RAUM · $29B to $36BMay 30, 2024 to Jun 27, 2024
- Advisory employees · 60 to 89Jan 29, 2024 to May 30, 2024
- Assets in custody · $19B to $29BJan 29, 2024 to May 30, 2024
- Employees · 102 to 154Jan 29, 2024 to May 30, 2024
- Other offices · 7 to 4Jan 29, 2024 to May 30, 2024
- Private funds · 17 to 15Jan 29, 2024 to May 30, 2024
- Discretionary RAUM · $19B to $29BJan 29, 2024 to May 30, 2024
- Pooled vehicle RAUM · $19B to $29BJan 29, 2024 to May 30, 2024
- RAUM · $19B to $29BJan 29, 2024 to May 30, 2024
- Accounts · 27 to 18Feb 7, 2023 to May 30, 2023
- Advisory employees · 62 to 60Feb 7, 2023 to May 30, 2023
- Pooled vehicle clients · 27 to 18Feb 7, 2023 to May 30, 2023
- Assets in custody · $28B to $19BFeb 7, 2023 to May 30, 2023
- Employees · 90 to 102Feb 7, 2023 to May 30, 2023
- Other offices · 5 to 7Feb 7, 2023 to May 30, 2023
- Private funds · 26 to 17Feb 7, 2023 to May 30, 2023
- Discretionary RAUM · $28B to $19BFeb 7, 2023 to May 30, 2023
Signals
12 dated events
- Marshall Wace North America L.P. reported RAUM $58.9B, up 78% from $33.0B (2025-08-25 to 2026-05-29)May 29, 2026 · RAUM change · derived
- Marshall Wace North America L.P. reported RAUM $36.2B, up 27% from $28.6B (2024-05-30 to 2024-06-27)Jun 27, 2024 · RAUM change · derived
- Marshall Wace North America L.P. reported RAUM $28.6B, up 51% from $18.9B (2024-01-29 to 2024-05-30)May 30, 2024 · RAUM change · derived
- Christopher Todd Builione (Chief Executive Officer) appeared on Schedule A of Marshall Wace North America L.P.Dec 6, 2023 · Control person joined · fact
- Manning Michael Sargent (Chief Executive Officer) no longer on Schedule A of Marshall Wace North America L.P. (listed 2023-06-06, absent 2023-12-06)Dec 6, 2023 · Control person left · inference
- Marshall Wace North America L.P. reported RAUM $18.9B, down 34% from $28.4B (2023-02-07 to 2023-05-30)May 30, 2023 · RAUM change · derived
- Marshall Wace North America L.P. reported RAUM $26.7B, up 41% from $18.9B (2021-02-24 to 2021-05-28)May 28, 2021 · RAUM change · derived
- E.K. Courtney Lewis (Chief Compliance Officer) appeared on Schedule A of Marshall Wace North America L.P.May 29, 2019 · Control person joined · fact
- Sven Jones (Chief Compliance Officer) no longer on Schedule A of Marshall Wace North America L.P. (listed 2019-04-12, absent 2019-05-29)May 29, 2019 · Control person left · inference
- Sven Jones (Chief Compliance Officer) appeared on Schedule A of Marshall Wace North America L.P.Apr 12, 2019 · Control person joined · fact
- Suzan Rose (Chief Compliance Officer) no longer on Schedule A of Marshall Wace North America L.P. (listed 2018-07-16, absent 2019-04-12)Apr 12, 2019 · Control person left · inference
- Marshall Wace North America L.P. reported RAUM $16.2B, up 57% from $10.3B (2017-05-18 to 2018-01-17)Jan 17, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Marshall Wace North America L.P. · Independent Sponsorsshared crd · capital_provider
- Marshall Wace North America L.P. · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/MARSHALL-WACEreportedpublic record, Form ADV, Sep 17, 2026
- Website
- MWAM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-235-2800reportedpublic record, Form ADV, Jul 30, 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