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 Funds Management

Former SEC-registered adviserNew York, New YorkCRD 139279SEC 801-66345IAPD
Legal name Macquarie Funds Management (USA) Inc.
Latest filing Oct 2, 2014
First filing on the tape Mar 28, 2012 · 10 filings
RAUM
$73.3M
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
5
3 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$73.3M gross assets
History
10 filings and snapshots on the tape
RAUM$73.3M as of Jun 26, 2014
Jun 28, 2012$1.3B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 26, 2014
Jun 26, 20130 then
Employees (5.A)5 as of Jun 26, 2014
Jun 26, 201316 then
Private funds1 as of Jun 26, 2014
Jun 28, 201210 then
RAUM -95% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Oct 2, 2014; 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
$73.3MderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
-95%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 assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehiclesreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
1reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Macquarie Pa Tap Fund, L.P.Private Equity Fund$73.3M2Mar 28, 2012
      Macquarie Clean Technology Offshore Fund II, LPPrivate Equity Fund$16.1M3Mar 28, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Joseph William Fink · Chief Compliance Officercontrol
        since 10/2014 · owns less than 5%
      • John Rick Fratus · Directorcontrol
        since 06/2011 · owns less than 5%
      • John Kim · Chief Legal Officercontrol
        since 06/2009 · owns less than 5%
      Entity owners
      • Macquarie Trading Services Inc · Direct Owner
        direct · owns 75% or more
      • Macquarie America Holdings Inc. · Indirect Owner
        indirect · owns 75% or more of Macquarie Ficc Holdings USA Inc
      • Macquarie Americas Holding Pty Ltd · Indirect Owner
        indirect · owns 75% or more of Macquarie Financial Holdings (USA) LLC
      • Macquarie B.H. Pty Ltd · Indirect Owner
        indirect · owns 75% or more of Macquarie Bank Limited
      • Macquarie Bank Limited · Indirect Owner
        indirect · owns 75% or more of Macquarie Americas Holdings Pty Ltd.
      • Macquarie Ficc Holdings USA Inc. · Indirect Owner
        indirect · owns 75% or more of Macquarie Trading Services Inc.
      • Macquarie Financial Holdings (USA) LLC · Indirect Owner
        indirect · owns 75% or more of Macquarie Services (USA) Partners
      • Macquarie Fund Holdings Inc. · Indirect Owner
        indirect · owns 75% or more of Macquarie America Holdings Inc
      • Macquarie Group Limited · Indirect Owner
        indirect · owns 75% or more of Macquarie B.H. Pty Ltd
      • Macquarie Services (USA) Partners · Indirect Owner
        indirect · owns 75% or more of Macquarie Fund Holdings Inc.
      • Macquarie Trading Services Inc. · Indirect Owner
        indirect · owns 75% or more of Macquarie Funds Management (USA) Inc.
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 16 to 1
        Dec 24, 2013 to Jun 26, 2014
      • Advisory employees · 9 to 3
        Dec 24, 2013 to Jun 26, 2014
      • Advisory activities · 2 to 1
        Dec 24, 2013 to Jun 26, 2014
      • BD registered reps · 2 to 0
        Dec 24, 2013 to Jun 26, 2014
      • Employees · 16 to 5
        Dec 24, 2013 to Jun 26, 2014
      • HQ city · CARLSBAD to NEW YORK
        Dec 24, 2013 to Jun 26, 2014
      • HQ state · CA to NY
        Dec 24, 2013 to Jun 26, 2014
      • Private funds · 10 to 1
        Dec 24, 2013 to Jun 26, 2014
      • Discretionary RAUM · $1.4B to $73.3M
        Dec 24, 2013 to Jun 26, 2014
      • RAUM · $1.4B to $73.3M
        Dec 24, 2013 to Jun 26, 2014
      • Discretionary RAUM · $1.4B to $1.4B
        Jun 26, 2013 to Jul 23, 2013
      • RAUM · $1.4B to $1.4B
        Jun 26, 2013 to Jul 23, 2013
      • Advisory employees · unset to 9.0
        Oct 24, 2012 to Jun 26, 2013
      • BD registered reps · unset to 2.0
        Oct 24, 2012 to Jun 26, 2013
      • Employees · unset to 16.0
        Oct 24, 2012 to Jun 26, 2013
      • State-registered IARs · unset to 0.0
        Oct 24, 2012 to Jun 26, 2013
      • Discretionary RAUM · $1.3B to $1.4B
        Oct 24, 2012 to Jun 26, 2013
      • RAUM · $1.3B to $1.4B
        Oct 24, 2012 to Jun 26, 2013
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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