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
Principal Origin
Legal name Origin Asset Management Llp
Latest filing Mar 27, 2024
First filing on the tape Mar 30, 2012 · 23 filings
SEC status approved since Mar 12, 2007
RAUM
$4.6B
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
12
5 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
23 filings and snapshots on the tape
RAUM$4.6B as of Mar 27, 2024
Mar 30, 2012$3.0B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 27, 2024
Mar 28, 20130 then
Employees (5.A)12 as of Mar 27, 2024
Mar 28, 201312 then
Private funds1 as of Mar 29, 2022
Mar 30, 20123 then
RAUM +10% over the last fiscal year-5.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 2024; 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
- $308MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 29%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
- +10%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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$3.3B71%
- Pension and profit-sharing plans$1.3B29%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 12reported
- Charitable clients
- n/areported
- Accounts
- 15reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, 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
none on the tape
Joined, latest
none on the tape
Private funds
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Origin International Equity Fund LLCno longer reported | Private Equity Fund | $30.6M | 4 | Mar 30, 2012 |
| Origin Global Equity Constrained Fund LLCno longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2012 |
| Origin Global Equity Fund LLCno longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Kamal Bhatia · Board Membercontrolsince 10/2020 · owns less than 5%
- John Christopher Carter · Executive Membercontrolsince 03/2005 · owns less than 5%
- Yashwin Nishil Patel · Coo, Cco And Membercontrolsince 10/2018 · owns less than 5%
- W Ellen Shumway · Board Membercontrolsince 10/2011 · owns less than 5%
- D. Deanna Strable-Soethout · Advisory Membercontrolsince 02/2021 · owns less than 5%
- Stuart Donachie · Membersince 12/2010 · owns less than 5%
- Singh Tarlock Randhawa · Executive Member And Board Membersince 05/2005 · owns less than 5%
- Alison Georgia Vallat · Membersince 03/2011 · owns less than 5%
Entity owners
- Pgi Origin Holding Company Limited · Investor Memberdirect · owns 50% to 75%
- Principal Global Financial Services (Europe) II Limited · Investor Memberdirect · owns 25% to 50%
- Principal Financial Group, Inc · Shareholderindirect · owns 75% or more of Principal Financial Services, Inc · public reporting company
- Principal Financial Services, Inc · Shareholderindirect · owns 75% or more of Principal Global Investors Holding Company, LLC
- Principal Global Financial Services (Europe) II Limited · Shareholderindirect · owns 75% or more of Pgi Origin Holding Company Limited
- Principal Global Investors Holding Company, LLC · Shareholderindirect · owns 75% or more of Principal Global Financial Services (Europe) II Limited
Related persons
Schedule D 7.A
- Brasilprev Seguros E Previdencia S.A.real estaten
- Claritas Administrac?O De Recursos Ltda.pooled vehicle sponsorn
- Claritas Investments Ltdinvestment adviserpooled vehicle sponsorn
- Delaware Charter Guarantee & Trust Companyn
- Diversified Dental Services, Inc. A Nevada Close Corporationreal estaten
- Employers Dental Services, Inc.real estaten
- Equity Fc, Ltd.broker-dealern
- First Dental Healthreal estaten
- Petula Associates, LLCn
- Post Advisory Group, LLCinvestment adviserbankpooled vehicle sponsornRAUM $13B
- Principal Administradora General De Fondos S.A.investment advisern
- Principal Advised Servicesinvestment advisernRAUM $1.4B
- Principal Afore, S.A. De C.V., Principal Grupo Financieroreal estaten
- Principal Ahorro E Inversiones S.A.investment advisern
- Principal Asset Management (S) Pte. Ltd.pooled vehicle sponsorn
- Principal Asset Management Berhadpooled vehicle sponsorn
- Principal Asset Management (Asia)investment advisernRAUM $14B
- Principal Asset Management Company Limited (Thailand)pooled vehicle sponsorn
- Principal Bankn
- Principal Compania De Seguros De Vida Chile S.A.real estaten
- Principal Dental Services, Inc.real estaten
- Principal Enterprise Capital, LLCinvestment advisern
- Principal Financial Group, Inc.real estaten
- Principal Fondos De Inversion, S.A. De C.V., Operadora De Fondos De Inversion, Principal Grupo Financieropooled vehicle sponsorn
- Principal Global Investors (Australia) Limitedinvestment advisern
- Principal Global Investors (Eu) Ltdinvestment advisern
- Principal Global Investors (Europe) Ltdinvestment adviserbankpooled vehicle sponsorn
- Principal Global Investors (Hong Kong) Ltdinvestment advisern
- Principal Global Investors (Ireland) Ltdinvestment advisern
- Principal Global Investors (Japan) Ltdinvestment advisern
Advisers that list Principal Origin as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 14 to 15Mar 31, 2023 to Mar 27, 2024
- Advisory employees · 4 to 5Mar 31, 2023 to Mar 27, 2024
- Pension plan clients · 11 to 12Mar 31, 2023 to Mar 27, 2024
- Pooled vehicle clients · 1.0 to unsetMar 31, 2023 to Mar 27, 2024
- Employees · 11 to 12Mar 31, 2023 to Mar 27, 2024
- Discretionary RAUM · $4.2B to $4.6BMar 31, 2023 to Mar 27, 2024
- Pension RAUM · $1.1B to $1.3BMar 31, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · 70080659.0 to unsetMar 31, 2023 to Mar 27, 2024
- RAUM · $4.2B to $4.6BMar 31, 2023 to Mar 27, 2024
- Accounts · 11 to 14Feb 13, 2023 to Mar 31, 2023
- Advisory employees · 5 to 4Feb 13, 2023 to Mar 31, 2023
- Pension plan clients · 8 to 11Feb 13, 2023 to Mar 31, 2023
- Pooled vehicle clients · 2 to 1Feb 13, 2023 to Mar 31, 2023
- Assets in custody · 42490064.0 to unsetFeb 13, 2023 to Mar 31, 2023
- Custody of client assets · true to falseFeb 13, 2023 to Mar 31, 2023
- Other offices · 1 to 0Feb 13, 2023 to Mar 31, 2023
- Private funds · 1 to unsetFeb 13, 2023 to Mar 31, 2023
- Discretionary RAUM · $6.4B to $4.2BFeb 13, 2023 to Mar 31, 2023
- Pension RAUM · $2.1B to $1.1BFeb 13, 2023 to Mar 31, 2023
- Pooled vehicle RAUM · $132M to $70.1MFeb 13, 2023 to Mar 31, 2023
- RAUM · $6.4B to $4.2BFeb 13, 2023 to Mar 31, 2023
- Business name · ORIGIN ASSET MANAGEMENT LLP to PRINCIPAL ORIGINOct 10, 2022 to Nov 1, 2022
- Accounts · 12 to 11Mar 22, 2021 to Mar 29, 2022
- Advisory employees · 4 to 5Mar 22, 2021 to Mar 29, 2022
- Pension plan clients · 11 to 8Mar 22, 2021 to Mar 29, 2022
- Discretionary RAUM · $5.4B to $6.4BMar 22, 2021 to Mar 29, 2022
- Pension RAUM · $2.3B to $2.1BMar 22, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $167M to $132MMar 22, 2021 to Mar 29, 2022
- RAUM · $5.4B to $6.4BMar 22, 2021 to Mar 29, 2022
- Accounts · 17 to 12Mar 30, 2020 to Mar 22, 2021
- Advisory employees · 5 to 4Mar 30, 2020 to Mar 22, 2021
- Pension plan clients · 19 to 11Mar 30, 2020 to Mar 22, 2021
- Assets in custody · $38.3M to $42.5MMar 30, 2020 to Mar 22, 2021
- Other offices · 0 to 1Mar 30, 2020 to Mar 22, 2021
- Discretionary RAUM · $4.3B to $5.4BMar 30, 2020 to Mar 22, 2021
- Pension RAUM · $2.6B to $2.3BMar 30, 2020 to Mar 22, 2021
- Pooled vehicle RAUM · $149M to $167MMar 30, 2020 to Mar 22, 2021
- RAUM · $4.3B to $5.4BMar 30, 2020 to Mar 22, 2021
- Assets in custody · $52.7M to $38.3MMar 26, 2019 to Mar 30, 2020
- Employees · 14 to 11Mar 26, 2019 to Mar 30, 2020
Signals
14 dated events
- Principal Origin no longer on the SEC adviser roster (last listed 2025-02-03, RAUM $4.6B)Mar 6, 2025 · Left the SEC roster · derived
- Gregory Patrick Halter (Advisory Member) no longer on Schedule A of Principal Origin (listed 2023-03-31, absent 2024-03-27)Mar 27, 2024 · Control person left · inference
- Principal Origin reported RAUM $4.2B, down 34% from $6.4B (2023-02-13 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Charles Nigel Dutson (Executive Member And Board Member) no longer on Schedule A of Principal Origin (listed 2022-11-18, absent 2023-02-13)Feb 13, 2023 · Control person left · inference
- Marie Julia Lawler (Advisory Member) no longer on Schedule A of Principal Origin (listed 2020-03-30, absent 2021-03-22)Mar 22, 2021 · Control person left · inference
- Kamal Bhatia (Advisory Member) appeared on Schedule A of Principal OriginMar 22, 2021 · Control person joined · fact
- D. Deanna Strable-Soethout (Advisory Member) appeared on Schedule A of Principal OriginMar 22, 2021 · Control person joined · fact
- Mary Nora Everett (Board Member) no longer on Schedule A of Principal Origin (listed 2019-03-26, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Principal Origin reported RAUM $4.3B, up 50% from $2.9B (2019-03-26 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- James Hawthorn Lindsay Johnston (Managing Member) no longer on Schedule A of Principal Origin (listed 2019-03-26, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Marie Julia Lawler (Advisory Member) appeared on Schedule A of Principal OriginMar 30, 2020 · Control person joined · fact
- Yashwin Nishil Patel (Coo And Cco) appeared on Schedule A of Principal OriginMar 26, 2019 · Control person joined · fact
- Principal Origin reported RAUM $2.9B, down 41% from $4.8B (2018-12-06 to 2019-03-26)Mar 26, 2019 · RAUM change · derived
- Principal Origin reported RAUM $4.8B, up 35% from $3.6B (2017-07-06 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- Principal Origin · Private Equityshared crd · organization
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