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
Clarivest Asset Management LLC
Latest filing Jun 2, 2026
First filing on the tape Mar 28, 2012 · 37 filings
SEC status approved since Mar 9, 2006
RAUM
$3.0B
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
17
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
37 filings and snapshots on the tape
RAUM$3.0B as of Jun 2, 2026
Mar 28, 2012$3.1B then
HNW client RAUM$0 as of Jun 2, 2026
Mar 29, 2018$300,000 then
State-registered IARs (5.B.3)0 as of Jun 2, 2026
Jan 7, 20130 then
Employees (5.A)17 as of Jun 2, 2026
Jan 7, 201317 then
Private funds1 as of Dec 23, 2020
Jan 7, 20131 then
RAUM +3.3% over the last fiscal year-9.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 2, 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
- $113MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 30%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
- -14%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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$2.0B65%
- State and municipal entities$601M20%
- Pension and profit-sharing plans$318M10%
- Pooled investment vehicles$153M5.0%
- Charitable organizations$4.4M0.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 4reported
- Charitable clients
- 1reported
- Accounts
- 27reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.7 institutional_share=0.3 related_bd=true related_bank=false bd_reps=2.0derived
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
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Clarivest Emerging Markets Socially Responsible Fund LLCno longer reported | Other Private Fund | $102M | 4 | Mar 31, 2017 |
| Clarivest Emerging Markets Equity Fund, L.P.no longer reported | Other Private Fund | $49.3M | 1 | Jan 7, 2013 |
Owners and control persons
Schedule A and B, latest filing
- A Javier Alvarez · Chief Compliance Officercontrolsince 10/2024 · owns less than 5%
- Michael Charles Edwards · Managercontrolsince 11/2022 · owns less than 5%
- A Jeff Jacobson · Chief Financial Officer, Chief Operations Officercontrolsince 03/2006 · owns less than 5%
- B Matthew Orton · Managercontrolsince 11/2022 · owns less than 5%
- Edward Rick IV · President, Managercontrolsince 10/2024 · owns less than 5%
- Raymond David Vaughn · Chief Investment Officer - Non-U.S. And Global Strategies, Lead Portfolio Manager, Managercontrolsince 03/2006 · owns less than 5%
- Christian Eric Wilwant · Managercontrolsince 04/2019 · owns less than 5%
- Nathan Todd Wolter · Chief Investment Officer - U.S. And Alternative Strategies, Lead Portfolio Manager, Managercontrolsince 03/2006 · owns less than 5%
- Alan Thomas James · Chairman Ceocontrolsince 01/1971 · owns 25% to 50% of Raymond James Financial, Inc.
Entity owners
- Eagle Asset Management Inc · Memberdirect · owns 75% or more
- Raymond James Financial, Inc. · Shareholderindirect · owns 75% or more of Raymond James Investment Management · public reporting company
- Raymond James Investment Management · Shareholderindirect · owns 75% or more of Eagle Asset Management Inc
Related persons
Schedule D 7.A
- Carillon Fund Distributors, Inc.broker-dealern
- Raymond James Investment Managementinvestment adviserpooled vehicle sponsoryRAUM $17B
- Chartwell Investment Partners, LLCinvestment advisernRAUM $13B
- Cougar Global Investmentsinvestment advisernRAUM $1.5B
- Eagle Asset Management Incinvestment adviseryRAUM $61B
- Raymond James & Associates, Inc.broker-dealerinvestment adviserpooled vehicle sponsornRAUM $501B
- Raymond James Financial Services Advisors, Incinvestment advisernRAUM $390B
- Raymond James Financial Services, Inc.broker-dealerLP sponsorn
- Raymond James Investment Counsel Ltd.investment advisernRAUM $27.7M
- Raymond James Investment Services Limitedbroker-dealern
- Scout Investments, Inc.investment advisernRAUM $37B
Advisers that list Clarivest Asset Management LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- high institutional concentrationStatic outlier · filing Jun 2, 2026institutional share of RAUM of 30% against a peer median of 0% (1506 comparable advisers, 99.0th percentile, 10.2 robust deviations)peers: asset managers, $1B to $5B (1,506) · 99% percentile
What changed
consecutive filings, newest first
- Advisory activities · 4 to 3Dec 26, 2024 to Dec 17, 2025
- Charity clients · unset to 1.0Dec 26, 2024 to Dec 17, 2025
- Financial planning clients · unset to Dec 26, 2024 to Dec 17, 2025
- Discretionary RAUM · $2.5B to $3.0BDec 26, 2024 to Dec 17, 2025
- Pension RAUM · $350M to $318MDec 26, 2024 to Dec 17, 2025
- Pooled vehicle RAUM · $340M to $153MDec 26, 2024 to Dec 17, 2025
- RAUM · $2.5B to $3.0BDec 26, 2024 to Dec 17, 2025
- Accounts · 32 to 27Nov 21, 2024 to Dec 26, 2024
- Advisory employees · 14 to 10Nov 21, 2024 to Dec 26, 2024
- BD registered reps · 1 to 2Nov 21, 2024 to Dec 26, 2024
- Charity clients · 2.0 to unsetNov 21, 2024 to Dec 26, 2024
- Pooled vehicle clients · 4 to 7Nov 21, 2024 to Dec 26, 2024
- Employees · 18 to 17Nov 21, 2024 to Dec 26, 2024
- Discretionary RAUM · $3.0B to $2.5BNov 21, 2024 to Dec 26, 2024
- Pension RAUM · $295M to $350MNov 21, 2024 to Dec 26, 2024
- Pooled vehicle RAUM · $249M to $340MNov 21, 2024 to Dec 26, 2024
- RAUM · $3.0B to $2.5BNov 21, 2024 to Dec 26, 2024
- Employees · 23 to 18Mar 11, 2024 to Nov 21, 2024
- Pension plan clients · 5 to 4Dec 22, 2022 to Dec 21, 2023
- Employees · 22 to 23Dec 22, 2022 to Dec 21, 2023
- Discretionary RAUM · $3.0B to $3.0BDec 22, 2022 to Dec 21, 2023
- Pension RAUM · $335M to $295MDec 22, 2022 to Dec 21, 2023
- Pooled vehicle RAUM · $241M to $249MDec 22, 2022 to Dec 21, 2023
- RAUM · $3.0B to $3.0BDec 22, 2022 to Dec 21, 2023
- Accounts · 35 to 32Dec 23, 2021 to Dec 22, 2022
- Advisory employees · 13 to 14Dec 23, 2021 to Dec 22, 2022
- Advisory activities · 5 to 4Dec 23, 2021 to Dec 22, 2022
- Charity clients · 1 to 2Dec 23, 2021 to Dec 22, 2022
- Pooled vehicle clients · 5 to 4Dec 23, 2021 to Dec 22, 2022
- Employees · 21 to 22Dec 23, 2021 to Dec 22, 2022
- Discretionary RAUM · $4.1B to $3.0BDec 23, 2021 to Dec 22, 2022
- Pension RAUM · $731M to $335MDec 23, 2021 to Dec 22, 2022
- Pooled vehicle RAUM · $560M to $241MDec 23, 2021 to Dec 22, 2022
- RAUM · $4.1B to $3.0BDec 23, 2021 to Dec 22, 2022
- Accounts · 36 to 35Jul 7, 2021 to Dec 23, 2021
- Pension plan clients · 6 to 5Jul 7, 2021 to Dec 23, 2021
- Pooled vehicle clients · 7 to 5Jul 7, 2021 to Dec 23, 2021
- Assets in custody · 101590000.0 to unsetJul 7, 2021 to Dec 23, 2021
- Custody of client assets · true to falseJul 7, 2021 to Dec 23, 2021
- Employees · 23 to 21Jul 7, 2021 to Dec 23, 2021
Signals
19 dated events
- A Javier Alvarez (Chief Compliance Officer) appeared on Schedule A of Clarivest Asset Management LlcNov 21, 2024 · Control person joined · fact
- Ann Tiffany Ayres (President, General Counsel, Manager) no longer on Schedule A of Clarivest Asset Management Llc (listed 2024-03-11, absent 2024-11-21)Nov 21, 2024 · Control person left · inference
- Marie Rebecca Ellis (Chief Compliance Officer) no longer on Schedule A of Clarivest Asset Management Llc (listed 2024-03-11, absent 2024-11-21)Nov 21, 2024 · Control person left · inference
- Clarivest Asset Management Llc reported RAUM $3.0B, down 26% from $4.1B (2021-12-23 to 2022-12-22)Dec 22, 2022 · RAUM change · derived
- Michael Charles Edwards (Manager) appeared on Schedule A of Clarivest Asset Management LlcDec 22, 2022 · Control person joined · fact
- B Matthew Orton (Manager) appeared on Schedule A of Clarivest Asset Management LlcDec 22, 2022 · Control person joined · fact
- Jon Aaron Ochstein (Manager) no longer on Schedule A of Clarivest Asset Management Llc (listed 2021-12-23, absent 2022-12-22)Dec 22, 2022 · Control person left · inference
- Daniel Robert Kendall (Manager) no longer on Schedule A of Clarivest Asset Management Llc (listed 2021-05-10, absent 2021-07-07)Jul 7, 2021 · Control person left · inference
- Daniel Robert Kendall (Manager) appeared on Schedule A of Clarivest Asset Management LlcMay 10, 2021 · Control person joined · fact
- Marie Rebecca Ellis (Chief Compliance Officer) appeared on Schedule A of Clarivest Asset Management LlcMay 10, 2021 · Control person joined · fact
- Cooper James Abbott (Manager) no longer on Schedule A of Clarivest Asset Management Llc (listed 2020-12-23, absent 2021-05-10)May 10, 2021 · Control person left · inference
- Clarivest Asset Management Llc reported RAUM $3.8B, down 37% from $6.1B (2020-05-28 to 2020-12-23)Dec 23, 2020 · RAUM change · derived
- W Courtland James (Manager) no longer on Schedule A of Clarivest Asset Management Llc (listed 2019-06-03, absent 2020-01-02)Jan 2, 2020 · Control person left · inference
- Edward Rick Iv (Manager) appeared on Schedule A of Clarivest Asset Management LlcJan 2, 2020 · Control person joined · fact
- Ross Stacey Nutt (Chief Executive Officer, Chief Investment Officer, Manager) no longer on Schedule A of Clarivest Asset Management Llc (listed 2019-03-27, absent 2019-04-10)Apr 10, 2019 · Control person left · inference
- J David Pavan (Manager) no longer on Schedule A of Clarivest Asset Management Llc (listed 2019-03-27, absent 2019-04-10)Apr 10, 2019 · Control person left · inference
- Christian Eric Wilwant (Manager) appeared on Schedule A of Clarivest Asset Management LlcApr 10, 2019 · Control person joined · fact
- Alan Thomas James (Chairman Ceo) appeared on Schedule A of Clarivest Asset Management LlcApr 10, 2019 · Control person joined · fact
- Clarivest Asset Management Llc reported RAUM $7.6B, up 38% from $5.5B (2017-08-03 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Clarivest Asset Management LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/clarivest-asset-management-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- CLARIVEST.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 858-480-2440reportedpublic record, Form ADV, Jun 2, 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