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

Belvedere Advisors LLC

Former SEC-registered adviserChicago, IllinoisCRD 140719SEC 801-80965IAPD
Latest filing Dec 9, 2022
First filing on the tape Feb 4, 2015 · 34 filings
RAUM
$126M
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
28
4 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
34 filings and snapshots on the tape
RAUM$126M as of Mar 31, 2022
Mar 30, 2015$101M then
HNW client RAUM$1.3M as of Mar 30, 2020
Jan 4, 2018$3.0M then
State-registered IARs (5.B.3)3 as of Mar 31, 2022
Mar 30, 20152 then
Employees (5.A)28 as of Mar 31, 2022
Mar 30, 20154 then
Private funds: 1
RAUM +14% over the last fiscal year-60% a year over threeIARs 2 to 3
Practice profile
derived from the filing of Dec 9, 2022; every figure names its basis
RAUM per advisor
$42.0MderivedRAUM 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
$63.0MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
9.3derivedItem 5.A over advisors
Advisors per office
1.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
+14%derivedbetween the last two annual amendments
Advisor growth, one year
+50%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, publicationsreportedItem 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Other investment advisers$126M100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
2reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
Every departureEvery arrival
Private funds
1 reported on Schedule D 7.B.(1)
FundTypeGross assetsOwnersFirst reported
Belvedere Global Managers LPno longer reportedHedge Fund$15.0M10Feb 4, 2015
Owners and control persons
Schedule A and B, latest filing
  • Richard Craig Carberry · Chief Legal Officer / Secretarycontrol
    since 09/2019 · owns less than 5%
  • Elliott Stephen Carroll · Chief Financial Officer/Senior Vice Presidentcontrol
    since 12/2022 · owns less than 5%
  • Barker Sheri Hawkins · Managercontrol
    since 06/2022 · owns less than 5%
  • Harshad Kaushal Joshi · Chief Information Officer/Senior Vice President/Managercontrol
    since 09/2019 · owns less than 5%
  • Archana Kumar · President/Managercontrol
    since 03/2021 · owns less than 5%
  • Marie Ann Mulholland · Chief Administrative Officer/Senior Vice Presidentcontrol
    since 03/2022 · owns less than 5%
  • Ann Rebecca Paulzine · Chief Compliance Officercontrol
    since 06/2022 · owns less than 5%
  • Joseph Robert Redican · Head Of Digital Investment Advice/Managercontrol
    since 03/2022 · owns less than 5%
Entity owners
  • Northern Trust Investments, Incorporated · Sole Member
    direct · owns 75% or more
  • Northern Trust Corporation · Shareholder
    indirect · owns 75% or more of The Northern Trust Company · public reporting company
  • The Northern Trust Company · Shareholder
    indirect · owns 75% or more of Northern Trust Investments, Incorporated
Related persons
Schedule D 7.A
  • 50 South Capital Advisors, LLC
    investment adviserbankpooled vehicle sponsornRAUM $16B
  • Northern Trust Asset Management Australia Pty Ltd
    investment advisern
  • Northern Trust Fund Managers (Ireland) Limited
    investment adviserpooled vehicle sponsorn
  • Northern Trust Global Investments Japan, K.K.
    investment adviserpooled vehicle sponsory
  • Northern Trust Global Investments Ltd
    investment advisernRAUM $208B
  • Northern Trust Investments, Incorporated
    investment adviserbankpooled vehicle sponsoryRAUM $1245B
  • Northern Trust Securities, Inc
    broker-dealerinvestment advisernRAUM $1.7B
  • Nt Global Advisors, Inc
    investment advisern
  • The Northern Trust Company
    y
  • The Northern Trust Company Of Hong Kong Limited
    investment advisern
Offices
Schedule D 1.F, the 25 largest
  • San Francisco, CA2 employees
What changed
consecutive filings, newest first
  • Accounts · 1 to 2
    Aug 9, 2021 to Mar 31, 2022
  • Advisory employees · 3 to 4
    Aug 9, 2021 to Mar 31, 2022
  • BD registered reps · 2 to 3
    Aug 9, 2021 to Mar 31, 2022
  • Employees · 21 to 28
    Aug 9, 2021 to Mar 31, 2022
  • State-registered IARs · 2 to 3
    Aug 9, 2021 to Mar 31, 2022
  • Discretionary RAUM · $110M to $126M
    Aug 9, 2021 to Mar 31, 2022
  • RAUM · $110M to $126M
    Aug 9, 2021 to Mar 31, 2022
  • Accounts · 23 to 1
    Oct 30, 2020 to Mar 30, 2021
  • Advisory employees · 2 to 3
    Oct 30, 2020 to Mar 30, 2021
  • Advisory activities · 3 to 2
    Oct 30, 2020 to Mar 30, 2021
  • BD registered reps · 0 to 2
    Oct 30, 2020 to Mar 30, 2021
  • HNW clients · 5.0 to unset
    Oct 30, 2020 to Mar 30, 2021
  • Individual clients · 4.0 to unset
    Oct 30, 2020 to Mar 30, 2021
  • Employees · 10 to 21
    Oct 30, 2020 to Mar 30, 2021
  • Discretionary RAUM · $103M to $110M
    Oct 30, 2020 to Mar 30, 2021
  • HNW RAUM · 1331000.0 to unset
    Oct 30, 2020 to Mar 30, 2021
  • Individual RAUM · 270000.0 to unset
    Oct 30, 2020 to Mar 30, 2021
  • Non-discretionary RAUM · $2.1B to $0
    Oct 30, 2020 to Mar 30, 2021
  • RAUM · $2.2B to $110M
    Oct 30, 2020 to Mar 30, 2021
  • Accounts · 45 to 23
    Dec 2, 2019 to Mar 30, 2020
  • HNW clients · 1 to 5
    Dec 2, 2019 to Mar 30, 2020
  • Individual clients · 27 to 4
    Dec 2, 2019 to Mar 30, 2020
  • Employees · 8 to 10
    Dec 2, 2019 to Mar 30, 2020
  • Other offices · 2 to 1
    Dec 2, 2019 to Mar 30, 2020
  • Discretionary RAUM · $130M to $103M
    Dec 2, 2019 to Mar 30, 2020
  • HNW RAUM · $2.0M to $1.3M
    Dec 2, 2019 to Mar 30, 2020
  • Individual RAUM · $8.0M to $270,000
    Dec 2, 2019 to Mar 30, 2020
  • Non-discretionary RAUM · $1.8B to $2.1B
    Dec 2, 2019 to Mar 30, 2020
  • RAUM · $1.9B to $2.2B
    Dec 2, 2019 to Mar 30, 2020
  • HQ city · SAN FRANCISCO to CHICAGO
    Jun 26, 2019 to Oct 2, 2019
  • HQ state · CA to IL
    Jun 26, 2019 to Oct 2, 2019
  • Related adviser · false to true
    Jun 26, 2019 to Oct 2, 2019
  • Related bank · false to true
    Jun 26, 2019 to Oct 2, 2019
  • Related broker-dealer · false to true
    Jun 26, 2019 to Oct 2, 2019
  • Accounts · 48 to 45
    Jun 1, 2018 to Mar 18, 2019
  • BD registered reps · 1 to 0
    Jun 1, 2018 to Mar 18, 2019
  • Individual clients · 26 to 27
    Jun 1, 2018 to Mar 18, 2019
  • HNW RAUM · $3.0M to $2.0M
    Jun 1, 2018 to Mar 18, 2019
  • Individual RAUM · $12.0M to $8.0M
    Jun 1, 2018 to Mar 18, 2019
  • Non-discretionary RAUM · $1.4B to $1.8B
    Jun 1, 2018 to Mar 18, 2019
Signals
20 dated events
  • Matthew Ryan Wickert (Chief Financial Officer/Senior Vice President) no longer on Schedule A of Belvedere Advisors Llc (listed 2022-06-09, absent 2022-12-09)
    Dec 9, 2022 · Control person left · inference
  • Elliott Stephen Carroll (Chief Financial Officer/Senior Vice President) appeared on Schedule A of Belvedere Advisors Llc
    Dec 9, 2022 · Control person joined · fact
  • Patrick Bruno Beaudan left Belvedere Advisors Llc for Tinderwealth (registered 2026-08-31)
    Sep 30, 2022 · Advisor changed firm · fact
  • Sue Melinda Mecca (Manager) no longer on Schedule A of Belvedere Advisors Llc (listed 2022-03-31, absent 2022-06-09)
    Jun 9, 2022 · Control person left · inference
  • Ann Rebecca Paulzine (Chief Compliance Officer) appeared on Schedule A of Belvedere Advisors Llc
    Jun 9, 2022 · Control person joined · fact
  • Barker Sheri Hawkins (Manager) appeared on Schedule A of Belvedere Advisors Llc
    Jun 9, 2022 · Control person joined · fact
  • Mari Kawawa (Chief Administrative Officer/ Senior Vice President/ Manager) no longer on Schedule A of Belvedere Advisors Llc (listed 2021-08-09, absent 2022-03-31)
    Mar 31, 2022 · Control person left · inference
  • Joseph Robert Redican (Head Of Digital Investment Advice/Manager) appeared on Schedule A of Belvedere Advisors Llc
    Mar 31, 2022 · Control person joined · fact
  • Belvedere Advisors Llc reported RAUM $110.3M, down 95% from $2.2B (2020-10-30 to 2021-03-30)
    Mar 30, 2021 · RAUM change · derived
  • Marie Sabrina Bailey (Chief Executive Officer/ Senior Vice President/ Manager) no longer on Schedule A of Belvedere Advisors Llc (listed 2020-10-30, absent 2021-03-30)
    Mar 30, 2021 · Control person left · inference
  • Archana Kumar (Executive Vice President/Chief Executive Officer/Manager) appeared on Schedule A of Belvedere Advisors Llc
    Mar 30, 2021 · Control person joined · fact
  • Matthew Ryan Wickert (Chief Financial Officer/ Senior Vice President) appeared on Schedule A of Belvedere Advisors Llc
    Oct 2, 2019 · Control person joined · fact
  • Sue Melinda Mecca (Manager) appeared on Schedule A of Belvedere Advisors Llc
    Oct 2, 2019 · Control person joined · fact
  • Marie Sabrina Bailey (Chief Executive Officer/ Senior Vice President/ Manager) appeared on Schedule A of Belvedere Advisors Llc
    Oct 2, 2019 · Control person joined · fact
  • Belvedere Advisors Llc reported RAUM $1.9B, up 25% from $1.5B (2018-06-01 to 2019-03-18)
    Mar 18, 2019 · RAUM change · derived
  • Michael Dennis Azary (Compliance Officer) no longer on Schedule A of Belvedere Advisors Llc (listed 2018-06-01, absent 2019-03-18)
    Mar 18, 2019 · Control person left · inference
  • Belvedere Advisors Llc reported RAUM $1.5B, up 28% from $1.2B (2018-04-23 to 2018-06-01)
    Jun 1, 2018 · RAUM change · derived
  • Belvedere Advisors Llc reported RAUM $1.2B, up 25% from $960.0M (2018-01-04 to 2018-01-26)
    Jan 26, 2018 · RAUM change · derived
  • Belvedere Advisors Llc reported RAUM $960.0M, up 100% from $480.0M (2017-08-23 to 2018-01-04)
    Jan 4, 2018 · RAUM change · derived
  • Belvedere Advisors Llc filed its initial SEC registration (Form ADV)
    Feb 4, 2015 · First SEC registration · fact
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