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

Rs Investments

Former SEC-registered adviserSan Francisco, CaliforniaCRD 140963SEC 801-66927IAPD
Legal name Rs Investment Management Co. LLC
Latest filing Mar 14, 2016
First filing on the tape Jan 30, 2012 · 25 filings
RAUM
$18B
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
165
35 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$18B as of Mar 14, 2016
Jan 30, 2012$20B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 14, 2016
Jan 30, 20120 then
Employees (5.A)165 as of Mar 14, 2016
Mar 28, 2013189 then
Private funds: 3
RAUM -13% over the last fiscal year-11% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 14, 2016; every figure names its basis
RAUM per advisor
$18BderivedRAUM 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
$230MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
165.0derivedItem 5.A over advisors
Advisors per office
0.5derived2 offices incl. principal (1.F.5)
RAUM growth, one year
-13%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-basedreportedItem 5.E
Advisory activities
portfolio management for individuals, 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)
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
77reported
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
      Every departureEvery arrival
      Private funds
      3 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Rs Global Natural Resources Fund Long/Short Fund, L.P.no longer reportedHedge Fund$34.8M18Jan 30, 2012
      Rs Emerging Growth Partners, L.P.no longer reportedOther Private Fund$19.0M6Jan 30, 2012
      Rs Focus Fund, LLCno longer reportedHedge Fund$1.6M6Jan 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Eve Marianne Clark · Chief Compliance Officercontrol
        since 03/2016 · owns less than 5%
      • Marc Costantini · Directorcontrol
        since 03/2014 · owns less than 5%
      • Scott D. Dolfi · Directorcontrol
        since 01/2012 · owns less than 5%
      • L. Deborah Duncan · Directorcontrol
        since 01/2013 · owns less than 5%
      • Todd Jonathan Fayman · Chief Financial Officercontrol
        since 09/2014 · owns less than 5%
      • Nina Gupta · General Counselcontrol
        since 04/2013 · owns less than 5%
      • Marie Deanna Mulligan · Chairman & Directorcontrol
        since 07/2011 · owns less than 5%
      • Howard Matthew Scanlan · Ceo & Directorcontrol
        since 01/2012 · owns less than 5%
      • George Thomas Sorell · Directorcontrol
        since 08/2006 · owns less than 5%
      • Scott Bryan Tutor · Chief Operating Officercontrol
        since 04/2012 · owns less than 5%
      Entity owners
      • Guardian Investor Services LLC · Member
        direct · owns 75% or more
      • The Guardian Life Insurance Company Of America · Owner
        indirect · owns 75% or more of Guardian Investor Services LLC
      Related persons
      Schedule D 7.A
      • Park Avenue Institutional Advisers LLC
        investment advisernRAUM $82B
      • Park Avenue Securities LLC
        broker-dealerinvestment advisernRAUM $20B
      • Rs Funds Distributor LLC
        broker-dealery
      • Rs Investment Management (Singapore) Pte. Ltd.
        investment advisery
      • Rs Investments (Hong Kong) Limited
        investment advisery
      • Rs Investments (Uk) Limited
        investment advisery
      • The Guardian Insurance & Annuity Company, Inc.
        real estaten
      • The Guardian Life Insurance Company Of America
        real estatey
      Advisers that list Rs Investments as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Des Moines, IA
      What changed
      consecutive filings, newest first
      • Accounts · 79 to 77
        Sep 8, 2015 to Mar 14, 2016
      • Advisory employees · 34 to 35
        Sep 8, 2015 to Mar 14, 2016
      • BD registered reps · 73 to 69
        Sep 8, 2015 to Mar 14, 2016
      • Employees · 199 to 165
        Sep 8, 2015 to Mar 14, 2016
      • Discretionary RAUM · $20B to $18B
        Sep 8, 2015 to Mar 14, 2016
      • RAUM · $20B to $18B
        Sep 8, 2015 to Mar 14, 2016
      • Accounts · 162 to 79
        Jan 5, 2015 to Mar 30, 2015
      • Advisory employees · 37 to 34
        Jan 5, 2015 to Mar 30, 2015
      • BD registered reps · 76 to 73
        Jan 5, 2015 to Mar 30, 2015
      • Employees · 204 to 199
        Jan 5, 2015 to Mar 30, 2015
      • Discretionary RAUM · $28B to $20B
        Jan 5, 2015 to Mar 30, 2015
      • RAUM · $28B to $20B
        Jan 5, 2015 to Mar 30, 2015
      • Accounts · 150 to 162
        Dec 20, 2013 to Mar 31, 2014
      • Advisory employees · 35 to 37
        Dec 20, 2013 to Mar 31, 2014
      • BD registered reps · 83 to 76
        Dec 20, 2013 to Mar 31, 2014
      • Employees · 189 to 204
        Dec 20, 2013 to Mar 31, 2014
      • Discretionary RAUM · $25B to $28B
        Dec 20, 2013 to Mar 31, 2014
      • Non-discretionary RAUM · $1.4M to $0
        Dec 20, 2013 to Mar 31, 2014
      • RAUM · $25B to $28B
        Dec 20, 2013 to Mar 31, 2014
      • Accounts · 154 to 150
        Mar 4, 2013 to Mar 28, 2013
      • Advisory employees · 28 to 35
        Mar 4, 2013 to Mar 28, 2013
      • BD registered reps · 22 to 83
        Mar 4, 2013 to Mar 28, 2013
      • Employees · 107 to 189
        Mar 4, 2013 to Mar 28, 2013
      • State-registered IARs · 0 to 1
        Mar 4, 2013 to Mar 28, 2013
      • Private funds · 1 to unset
        Mar 4, 2013 to Mar 28, 2013
      • Discretionary RAUM · $20B to $25B
        Mar 4, 2013 to Mar 28, 2013
      • Non-discretionary RAUM · $2.6M to $1.4M
        Mar 4, 2013 to Mar 28, 2013
      • RAUM · $20B to $25B
        Mar 4, 2013 to Mar 28, 2013
      • Advisory employees · unset to 28.0
        Oct 19, 2012 to Jan 18, 2013
      • BD registered reps · unset to 22.0
        Oct 19, 2012 to Jan 18, 2013
      • Assets in custody · 1829139.0 to unset
        Oct 19, 2012 to Jan 18, 2013
      • Custody of client assets · true to false
        Oct 19, 2012 to Jan 18, 2013
      • Employees · unset to 107.0
        Oct 19, 2012 to Jan 18, 2013
      • Private funds · 2 to 1
        Oct 19, 2012 to Jan 18, 2013
      • Assets in custody · $20.6M to $1.8M
        Apr 5, 2012 to Oct 19, 2012
      • Private funds · 3 to 2
        Apr 5, 2012 to Oct 19, 2012
      Signals
      No event on the tape.
      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