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

Dbx Strategic Advisors LLC

Former SEC-registered adviserNew York, New YorkCRD 141392SEC 801-67166IAPD
Latest filing Mar 5, 2021
First filing on the tape Mar 30, 2012 · 44 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$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
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$127M as of Mar 30, 2015
Mar 30, 2012$122M then
HNW client RAUM$0 as of Mar 30, 2020
Mar 21, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 30, 20120 then
Employees (5.A)5 as of Mar 30, 2020
Mar 27, 20137 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 5, 2021; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
Advisor book size
not public; not estimatedreported
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Joseph Michael Gilligan · Elected Manager/Chief Financial Officercontrol
        since 09/2012 · owns less than 5%
      • Freddi Klassen · Elected Manager / Chief Operating Officercontrol
        since 11/2016 · owns less than 5%
      • Joseph Frank Gecsedi · Chief Compliance Officer
        since 08/2010 · owns less than 5%
      • Caroline Pearson · Chief Legal Officer
        since 03/2020 · owns less than 5%
      Entity owners
      • Dws USA Corporation · Direct Owner
        direct · owns 75% or more
      • Db Beteiligungs Holding Gmbh · Shareholder
        indirect · owns 75% or more of Dws Group Gmbh & Co. Kgaa
      • Deutsche Bank Ag · Shareholder
        indirect · owns 75% or more of Db Beteiligungs Holding Gmbh · public reporting company
      • Dws Group Gmbh & Co. Kgaa · Shareholder
        indirect · owns 75% or more of Dws USA Corporation
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Other offices · 1 to 0
        Dec 6, 2019 to Mar 30, 2020
      • BD registered reps · 4 to 2
        Feb 15, 2018 to Mar 21, 2018
      • Charity clients · unset to 0.0
        Feb 15, 2018 to Mar 21, 2018
      • Corporate clients · unset to 0.0
        Feb 15, 2018 to Mar 21, 2018
      • HNW clients · unset to 0.0
        Feb 15, 2018 to Mar 21, 2018
      • Individual clients · unset to 0.0
        Feb 15, 2018 to Mar 21, 2018
      • Pension plan clients · unset to 0.0
        Feb 15, 2018 to Mar 21, 2018
      • Pooled vehicle clients · unset to 0.0
        Feb 15, 2018 to Mar 21, 2018
      • Employees · 21 to 5
        Feb 15, 2018 to Mar 21, 2018
      • HNW RAUM · unset to 0.0
        Feb 15, 2018 to Mar 21, 2018
      • Individual RAUM · unset to 0.0
        Feb 15, 2018 to Mar 21, 2018
      • Pension RAUM · unset to 0.0
        Feb 15, 2018 to Mar 21, 2018
      • Pooled vehicle RAUM · unset to 0.0
        Feb 15, 2018 to Mar 21, 2018
      • Other offices · unset to 1.0
        Aug 17, 2017 to Feb 15, 2018
      • BD registered reps · 10 to 4
        Feb 28, 2017 to Mar 30, 2017
      • Employees · 13 to 21
        Feb 28, 2017 to Mar 30, 2017
      • Accounts · 5.0 to unset
        Nov 24, 2015 to Mar 30, 2016
      • Advisory employees · 8 to 0
        Nov 24, 2015 to Mar 30, 2016
      • BD registered reps · 6 to 10
        Nov 24, 2015 to Mar 30, 2016
      • Employees · 10 to 13
        Nov 24, 2015 to Mar 30, 2016
      • Discretionary RAUM · 126664862.0 to unset
        Nov 24, 2015 to Mar 30, 2016
      • Non-discretionary RAUM · 0.0 to unset
        Nov 24, 2015 to Mar 30, 2016
      • RAUM · 126664862.0 to unset
        Nov 24, 2015 to Mar 30, 2016
      • Advisory employees · 4 to 8
        Dec 22, 2014 to Mar 30, 2015
      • BD registered reps · 7 to 6
        Dec 22, 2014 to Mar 30, 2015
      • Discretionary RAUM · $116M to $127M
        Dec 22, 2014 to Mar 30, 2015
      • RAUM · $116M to $127M
        Dec 22, 2014 to Mar 30, 2015
      • BD registered reps · 5 to 7
        Aug 26, 2013 to Mar 28, 2014
      • Employees · 7 to 10
        Aug 26, 2013 to Mar 28, 2014
      • Discretionary RAUM · $114M to $116M
        Aug 26, 2013 to Mar 28, 2014
      • RAUM · $114M to $116M
        Aug 26, 2013 to Mar 28, 2014
      • Advisory employees · unset to 4.0
        Sep 28, 2012 to Mar 27, 2013
      • BD registered reps · unset to 5.0
        Sep 28, 2012 to Mar 27, 2013
      • Employees · unset to 7.0
        Sep 28, 2012 to Mar 27, 2013
      • Discretionary RAUM · $122M to $114M
        Sep 28, 2012 to Mar 27, 2013
      • RAUM · $122M to $114M
        Sep 28, 2012 to Mar 27, 2013
      Signals
      3 dated events
      • Antony Luke Oliver (Elected Manager / Chief Executive Officer / Chief Investment Officer) no longer on Schedule A of Dbx Strategic Advisors Llc (listed 2020-07-17, absent 2021-02-05)
        Feb 5, 2021 · Control person left · inference
      • Antony Luke Oliver (Elected Manager / Chief Executive Officer / Chief Investment Officer) appeared on Schedule A of Dbx Strategic Advisors Llc
        Aug 6, 2019 · Control person joined · fact
      • Teresa Fiona Bassett (Elected Manager/Chief Executive Officer/Chief Investment Officer) no longer on Schedule A of Dbx Strategic Advisors Llc (listed 2019-03-28, absent 2019-06-28)
        Jun 28, 2019 · Control person left · inference
      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