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
Wl Ross & Co. LLC
Latest filing Mar 26, 2026
First filing on the tape Mar 30, 2012 · 49 filings
SEC status approved since Apr 25, 2007
RAUM
$225M
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
9
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
49 filings and snapshots on the tape
RAUM$225M as of Mar 26, 2026
Mar 30, 2012$8.6B then
HNW client RAUM$0 as of Mar 26, 2026
Mar 29, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 26, 2026
Apr 1, 20130 then
Employees (5.A)9 as of Mar 26, 2026
Apr 1, 201342 then
Private funds3 as of Mar 26, 2026
Mar 30, 201222 then
RAUM -50% over the last fiscal year-48% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 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
- $56.1MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%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
- -50%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, fixed fees, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$225M100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 4reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixed, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
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
34 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Transportation Recovery Fund L.P. | Private Equity Fund | $523M | 55 | Mar 28, 2014 |
| Taiyo Cypress Fund, LPno longer reported | Private Equity Fund | $456M | 4 | Mar 30, 2012 |
| Wlr Recovery Fund IV, L.P. | Private Equity Fund | $378M | 127 | Mar 30, 2012 |
| Taiyo Pearlno longer reported | Private Equity Fund | $255M | 6 | Mar 30, 2012 |
| Iac North Americano longer reported | Private Equity Fund | $164M | 64 | Mar 30, 2012 |
| Wlr Recovery Fund V, L.P. | Private Equity Fund | $129M | 66 | Mar 30, 2012 |
| Absolute Recovery Hedge Fund, L.P.no longer reported | Hedge Fund | $105M | 3 | Mar 30, 2012 |
| Wlr Select Co-Investment, L.P. | Private Equity Fund | $101M | 2 | Mar 30, 2012 |
| Wlr Navig8 Co-Investment, L.P. | Private Equity Fund | $65.1M | 2 | Mar 31, 2015 |
| Wlr Cardinal Mezzanine Fund, L.P.no longer reported | Private Equity Fund | $51.8M | 15 | Mar 31, 2015 |
| Wlr China Energy Infrastructure Fund, L.P.no longer reported | Private Equity Fund | $51.4M | 26 | Mar 30, 2012 |
| Wlr/Gs Master Co-Investment, L.P. | Private Equity Fund | $39.6M | 3 | Mar 30, 2012 |
| Iac Japanno longer reported | Private Equity Fund | $23.7M | 12 | Mar 30, 2012 |
| Wlr Ago Co-Invest, LPno longer reported | Private Equity Fund | $20.7M | 6 | Mar 30, 2012 |
| Iac Brazilno longer reported | Private Equity Fund | $10.2M | 13 | Mar 30, 2012 |
| Asia Recovery Co-Investment Partners, L.P.no longer reported | Private Equity Fund | $9.5M | 3 | Mar 30, 2012 |
| Ipe Expansion Fund L.P.no longer reported | Private Equity Fund | $8.8M | 15 | Mar 30, 2012 |
| Wlr Whole Loan Fund, L.P. | Private Equity Fund | $4.9M | 1 | Apr 1, 2013 |
| Wlr V Parallel Esc, L.P.no longer reported | Private Equity Fund | $4.2M | 52 | Mar 30, 2017 |
| Wlr IV Parallel Esc, L.P.no longer reported | Private Equity Fund | $4.2M | 117 | Mar 30, 2017 |
| Wlr Recovery Fund III, L.P. | Private Equity Fund | $2.7M | 84 | Mar 30, 2012 |
| Euro Wagon, L.P.no longer reported | Private Equity Fund | $2.6M | 14 | Mar 30, 2012 |
| Wlr Ahm Co-Invest, L.P.no longer reported | Private Equity Fund | $2.3M | 16 | Mar 30, 2012 |
| Euro Wagon II, L.P.no longer reported | Private Equity Fund | $2.0M | 15 | Apr 1, 2013 |
| Wlr Recovery Fund II, L.P. | Private Equity Fund | $1.7M | 30 | Mar 30, 2012 |
| India Asset Recovery Fund, L.P. | Private Equity Fund | $145,210 | 52 | Mar 30, 2012 |
| Wlr Eurobank Investment, L.Pno longer reported | Private Equity Fund | $19,380 | 4 | Mar 31, 2015 |
| Wlr Iac Co-Invest, L.P. | Private Equity Fund | $15,532 | 0 | Apr 28, 2014 |
| Asia Recovery Fund, L.P.no longer reported | Private Equity Fund | $0 | 0 | Mar 30, 2012 |
| Wlr Recovery Fund Vi (Cayman) L.P.no longer reported | Private Equity Fund | $0 | 0 | Aug 2, 2016 |
| Wlr Recovery Fund Ino longer reported | Private Equity Fund | $0 | 39 | Mar 30, 2012 |
| Wlr-Sc Financing Conduit LLCno longer reported | Private Equity Fund | $0 | 0 | Apr 28, 2014 |
| Absolute Recovery Hedge Fund, Ltdno longer reported | Hedge Fund | $0 | 5 | Mar 30, 2012 |
| Wlr Recovery Fund Vi, L.P.no longer reported | Private Equity Fund | $0 | 0 | Mar 8, 2016 |
Owners and control persons
Schedule A and B, latest filing
- Scott Richard Dennis · Senior Managing Directorcontrolsince 03/2020 · owns less than 5%
- Evan Joshua Levit · Chief Compliance Officercontrolsince 09/2018 · owns less than 5%
- Lee Richard Phegley · Chief Financial Officercontrolsince 08/2018 · owns less than 5%
- Michael Antonio Reina · Secretarycontrolsince 03/2021 · owns less than 5%
- Anne Beth Zayicek · Senior Managing Directorcontrolsince 09/2020 · owns less than 5%
Entity owners
- Invesco Private Capital, Inc. · Sole Memberdirect · owns 75% or more
- Invesco Advisers, Inc. · Sole Shareholderindirect · owns 75% or more of Invesco Private Capital, Inc.
- Invesco Group Services, Inc · Sole Shareholderindirect · owns 75% or more of Invesco Advisers, Inc.
- Invesco Holding Company (US), Inc. · Sole Shareholderindirect · owns 75% or more of Oppenheimer Acquisition Corp. (Gatc)
- Invesco Holding Company Limited · Sole Shareholderindirect · owns 75% or more of Invesco Holding Company (US), Inc.
- Invesco Ltd. · Sole Shareholderindirect · owns 75% or more of Invesco Holding Company Limited · public reporting company
- Oppenheimer Acquisition Corp. (Gatc) · Sole Shareholderindirect · owns 75% or more of Oppenheimerfunds, Inc.
- Oppenheimerfunds, Inc. · Sole Shareholderindirect · owns 75% or more of Invesco Group Services, Inc
Related persons
Schedule D 7.A
- Harbourview Asset Management Corporationinvestment adviserbankpooled vehicle sponsornRAUM $386M
- Redblack Advisers, Inc.investment advisernRAUM $824M
- Invesco Advisers, Inc.investment adviserbankpooled vehicle sponsoryRAUM $750B
- Invesco Asset Management (India) Pvt. Ltd.investment advisernRAUM $10B
- Invesco Asset Management (Japan) Limitedinvestment advisernRAUM $76B
- Invesco Management S.A.investment advisernRAUM $49B
- Invesco Asset Management Ltd.investment advisernRAUM $188B
- Invescoinvestment adviserbankpooled vehicle sponsornRAUM $20B
- Invesco Capital Management LLCinvestment adviserbanknRAUM $941B
- Invesco Capital Markets, Inc.broker-dealern
- Invesco Clo Equity Fund 3 L.P.investment adviserpooled vehicle sponsorn
- Invesco Clo Equity Fund IV L.P.investment adviserpooled vehicle sponsorn
- Invesco Distributors, Inc.broker-dealern
- Invesco European Rr L.P.investment advisern
- Invesco Fund Managers Ltdpooled vehicle sponsorn
- Invesco Hong Kong Limitedinvestment advisernRAUM $26B
- Invesco Investment Advisers LLCinvestment advisernRAUM $4.4B
- Invesco Investment Management Ltdpooled vehicle sponsorn
- Invesco Loan Manager, LLCinvestment adviserpooled vehicle sponsornRAUM $18B
- Invesco Managed Accounts, LLCinvestment adviserbanknRAUM $31B
- Invesco Management S.A.pooled vehicle sponsorn
- Invesco Pensions Ltdreal estaten
- Invesco Private Capital, Inc.investment adviserbankpooled vehicle sponsoryRAUM $860M
- Invesco Real Estate Management S.à R.L.investment advisernRAUM $13B
- Invesco Rr Fund L.P.investment advisern
- Invesco Senior Secured Management, Inc.investment adviserbankpooled vehicle sponsornRAUM $29B
- Invesco Specialized Products, LLCpooled vehicle sponsorn
- Invesco Trust Companyn
- Ire (Cayman) Limitedinvestment adviserpooled vehicle sponsorn
- Oppenheimerfunds Incinvestment adviserpooled vehicle sponsoryRAUM $827,684
Advisers that list Wl Ross & Co. LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- discretionary share shiftChange between filings · filing Mar 26, 2026discretionary share of RAUM moved from 70.0% to 100.0% between the annual amendments of 2025-03-26 and 2026-03-26peers: asset managers, $100M to $500M (1,567)
- RAUM down 50 %Change between filings · filing Mar 26, 2026RAUM (Item 5.F) moved from $450,757,720 to $224,585,127 (-50.0%) between the annual amendments of 2025-03-26 and 2026-03-26; the peer median change was +4.0% (1148 comparable advisers, 3.0th percentile of changes)peers: asset managers, $100M to $500M (1,148) · 3.1% percentile
What changed
consecutive filings, newest first
- Accounts · 5 to 4Mar 26, 2025 to Mar 26, 2026
- Advisory employees · 2 to 1Mar 26, 2025 to Mar 26, 2026
- Pooled vehicle clients · 5 to 4Mar 26, 2025 to Mar 26, 2026
- Employees · 12 to 9Mar 26, 2025 to Mar 26, 2026
- Private funds · 4 to 3Mar 26, 2025 to Mar 26, 2026
- Discretionary RAUM · $314M to $225MMar 26, 2025 to Mar 26, 2026
- Non-discretionary RAUM · $136M to $0Mar 26, 2025 to Mar 26, 2026
- Pooled vehicle RAUM · $451M to $225MMar 26, 2025 to Mar 26, 2026
- RAUM · $451M to $225MMar 26, 2025 to Mar 26, 2026
- Accounts · 13 to 5Nov 26, 2024 to Mar 26, 2025
- BD registered reps · 1 to 0Nov 26, 2024 to Mar 26, 2025
- Pooled vehicle clients · 13 to 5Nov 26, 2024 to Mar 26, 2025
- Employees · 17 to 12Nov 26, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Nov 26, 2024 to Mar 26, 2025
- Private funds · 11 to 4Nov 26, 2024 to Mar 26, 2025
- Discretionary RAUM · $1.2B to $314MNov 26, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $101M to $136MNov 26, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $1.3B to $451MNov 26, 2024 to Mar 26, 2025
- RAUM · $1.3B to $451MNov 26, 2024 to Mar 26, 2025
- Accounts · 16 to 13May 10, 2023 to Mar 26, 2024
- Advisory employees · 4 to 2May 10, 2023 to Mar 26, 2024
- Pooled vehicle clients · 16 to 13May 10, 2023 to Mar 26, 2024
- Employees · 19 to 17May 10, 2023 to Mar 26, 2024
- Private funds · 13 to 11May 10, 2023 to Mar 26, 2024
- Discretionary RAUM · $1.5B to $1.2BMay 10, 2023 to Mar 26, 2024
- Non-discretionary RAUM · $109M to $101MMay 10, 2023 to Mar 26, 2024
- Pooled vehicle RAUM · $1.6B to $1.3BMay 10, 2023 to Mar 26, 2024
- RAUM · $1.6B to $1.3BMay 10, 2023 to Mar 26, 2024
- Employees · 21 to 19Dec 21, 2022 to Mar 29, 2023
- Discretionary RAUM · $1.7B to $1.5BDec 21, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $335M to $109MDec 21, 2022 to Mar 29, 2023
- Pooled vehicle RAUM · $2.0B to $1.6BDec 21, 2022 to Mar 29, 2023
- RAUM · $2.0B to $1.6BDec 21, 2022 to Mar 29, 2023
- Accounts · 19 to 16Jun 29, 2021 to Mar 28, 2022
- Advisory employees · 3 to 4Jun 29, 2021 to Mar 28, 2022
- Pooled vehicle clients · 19 to 16Jun 29, 2021 to Mar 28, 2022
- Employees · 25 to 21Jun 29, 2021 to Mar 28, 2022
- Private funds · 15 to 13Jun 29, 2021 to Mar 28, 2022
- Discretionary RAUM · $1.8B to $1.7BJun 29, 2021 to Mar 28, 2022
- Non-discretionary RAUM · $335M to $335MJun 29, 2021 to Mar 28, 2022
Signals
10 dated events
- Wl Ross & Co. Llc reported RAUM $224.6M, down 50% from $450.8M (2025-03-26 to 2026-03-26)Mar 26, 2026 · RAUM change · derived
- Wl Ross & Co. Llc reported RAUM $450.8M, down 64% from $1.3B (2024-11-26 to 2025-03-26)Mar 26, 2025 · RAUM change · derived
- Harris Robert Rigsby (Assistant Secretary) no longer on Schedule A of Wl Ross & Co. Llc (listed 2021-06-29, absent 2022-03-28)Mar 28, 2022 · Control person left · inference
- Michael Antonio Reina (Secretary) appeared on Schedule A of Wl Ross & Co. LlcMar 28, 2022 · Control person joined · fact
- Anne Beth Zayicek (Senior Managing Director) appeared on Schedule A of Wl Ross & Co. LlcMar 28, 2022 · Control person joined · fact
- Harris Robert Rigsby (Assistant Secretary) appeared on Schedule A of Wl Ross & Co. LlcMar 31, 2021 · Control person joined · fact
- James Stephen Toy (Senior Managing Director, Co-Head) no longer on Schedule A of Wl Ross & Co. Llc (listed 2020-11-20, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- William Stephen Swanson (Secretary & General Counsel) no longer on Schedule A of Wl Ross & Co. Llc (listed 2020-11-20, absent 2021-03-31)Mar 31, 2021 · Control person left · inference
- Gregory Stoeckle (Senior Managing Director, Co-Head) no longer on Schedule A of Wl Ross & Co. Llc (listed 2019-12-13, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- Scott Richard Dennis (Senior Managing Director) appeared on Schedule A of Wl Ross & Co. LlcMar 30, 2020 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- WL Ross & Co. LLC · Independent Sponsorsshared crd · capital_provider
- WL Ross & Co. LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Website
- INVESCO.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 972-715-7400reportedpublic record, Form ADV, Mar 26, 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