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.
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SEC-registered adviser
S•• F•••• M••••••••• L••••••
Latest filing Jun 27, 2026
First filing on the tape Jun 8, 2012 · 17 filings
SEC status approved since Apr 9, 2007
RAUM
$220B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
0.1%
$151M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2,463
71 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
17 filings and snapshots on the tape
RAUM$220B as of Jun 27, 2026
Jun 8, 2012$2.1B then
HNW client RAUM$151M as of Jun 27, 2026
Jun 29, 2018$10.9M then
State-registered IARs (5.B.3)0 as of Jun 27, 2026
Jul 5, 20130 then
Employees (5.A)2,463 as of Jun 27, 2026
Jul 5, 2013508 then
Private funds: no history
RAUM +56% over the last fiscal year+29% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 27, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
- 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
- $78,848derivedHNW RAUM over HNW clients
- Average account
- $110MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 78%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
- +11%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- State and municipal entities$133B60%
- Pooled investment vehicles$46B21%
- Pension and profit-sharing plans$38B17%
- Banks and thrifts$2.7B1.2%
- Corporations and businesses$163M0.1%
- High-net-worth individuals$151M0.1%
- Individual clients
- n/areported
- HNW clients
- 1,916reported
- Pension plan clients
- 23reported
- Charitable clients
- n/areported
- Accounts
- 1,993reported
- 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=0.21 institutional_share=0.78 related_bd=false related_bank=false 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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- D••••• V••••• · Chief Compliance Officer & Company Secretarycontrolsince 01/2009 · owns less than 5%
- D• C••••••••• D•••• · Deputy Chief Executive Officercontrolsince 03/2020 · owns less than 5%
- R••••••••• R••••• · Chief Investment Officer - Fixed Incomecontrolsince 02/2021 · owns less than 5%
- R••• I•••• S••••••••• · Chief Investment Officer - Equitycontrolsince 02/2021 · owns less than 5%
- S••••• D•••••••• P•• · Deputy Managing Director And Joint Ceocontrolsince 11/2012 · owns less than 5%
- S••••• S••••••• · Managing Director And Ceocontrolsince 12/2022 · owns less than 5%
- S••••••••• G•••••• · Chief Operating Officercontrolsince 06/2020 · owns less than 5%
- S••••••••• S•••••••• J••• R••••••• · Chief Of Strategy, Digital And Technologycontrolsince 11/2012 · owns less than 5%
Entity owners
- A••••• I•••• H•••••• · Beneficial Ownerdirect · owns 25% to 50%
- S•••• B••• O• I•••• · Beneficial Ownerdirect · owns 50% to 75%
- A••••• · Shareholderindirect · owns 75% or more of A••••• A•••• M•••••••••
- A••••• A•••• M••••••••• · Shareholderindirect · owns 75% or more of A••••• I•••• H••••••
- C••••• A••••••• S• · Shareholderindirect · owns 50% to 75% of A•••••
- G••••••••• O• I•••• · Indirect Ownerindirect · owns 50% to 75% of S•••• B••• O• I••••
Related persons
Schedule D 7.A
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 1,907 to 1,993Jun 27, 2025 to Jun 27, 2026
- Advisory employees · 68 to 71Jun 27, 2025 to Jun 27, 2026
- Corporate clients · 43 to 40Jun 27, 2025 to Jun 27, 2026
- HNW clients · 1,817 to 1,916Jun 27, 2025 to Jun 27, 2026
- Pooled vehicle clients · 1 to 2Jun 27, 2025 to Jun 27, 2026
- Employees · 2,229 to 2,463Jun 27, 2025 to Jun 27, 2026
- Discretionary RAUM · $168B to $215BJun 27, 2025 to Jun 27, 2026
- HNW RAUM · $138M to $151MJun 27, 2025 to Jun 27, 2026
- Non-discretionary RAUM · $6.8B to $4.7BJun 27, 2025 to Jun 27, 2026
- Pension RAUM · $32B to $38BJun 27, 2025 to Jun 27, 2026
- Pooled vehicle RAUM · $32.8M to $46BJun 27, 2025 to Jun 27, 2026
- RAUM · $175B to $220BJun 27, 2025 to Jun 27, 2026
- Accounts · 1,531 to 1,907Jun 28, 2024 to Jun 27, 2025
- Advisory employees · 72 to 68Jun 28, 2024 to Jun 27, 2025
- Corporate clients · 67 to 43Jun 28, 2024 to Jun 27, 2025
- HNW clients · 1,424 to 1,817Jun 28, 2024 to Jun 27, 2025
- Pension plan clients · 22 to 23Jun 28, 2024 to Jun 27, 2025
- Employees · 2,035 to 2,229Jun 28, 2024 to Jun 27, 2025
- Financial planning clients · 0 to 0Jun 28, 2024 to Jun 27, 2025
- HQ state · unset to Jun 28, 2024 to Jun 27, 2025
- Discretionary RAUM · $144B to $168BJun 28, 2024 to Jun 27, 2025
- HNW RAUM · $136M to $138MJun 28, 2024 to Jun 27, 2025
- Non-discretionary RAUM · $13B to $6.8BJun 28, 2024 to Jun 27, 2025
- Pension RAUM · $34B to $32BJun 28, 2024 to Jun 27, 2025
- Pooled vehicle RAUM · $31.3M to $32.8MJun 28, 2024 to Jun 27, 2025
- RAUM · $157B to $175BJun 28, 2024 to Jun 27, 2025
- Accounts · 805 to 1,531Jun 22, 2023 to Jun 28, 2024
- Advisory employees · 75 to 72Jun 22, 2023 to Jun 28, 2024
- Corporate clients · 25 to 67Jun 22, 2023 to Jun 28, 2024
- HNW clients · 738 to 1,424Jun 22, 2023 to Jun 28, 2024
- Pension plan clients · 18 to 22Jun 22, 2023 to Jun 28, 2024
- Employees · 1,968 to 2,035Jun 22, 2023 to Jun 28, 2024
- Discretionary RAUM · $132B to $144BJun 22, 2023 to Jun 28, 2024
- HNW RAUM · $57.7M to $136MJun 22, 2023 to Jun 28, 2024
- Non-discretionary RAUM · $8.3B to $13BJun 22, 2023 to Jun 28, 2024
- Pension RAUM · $29B to $34BJun 22, 2023 to Jun 28, 2024
- Pooled vehicle RAUM · $31.2M to $31.3MJun 22, 2023 to Jun 28, 2024
- RAUM · $141B to $157BJun 22, 2023 to Jun 28, 2024
- Accounts · 491 to 805Jun 28, 2022 to Jun 22, 2023
- Advisory employees · 69 to 75Jun 28, 2022 to Jun 22, 2023
Signals
12 dated events
- S•• F•••• M••••••••• L•••••• reported RAUM $219.9B, up 26% from $174.9B (2025-06-27 to 2026-06-27)Jun 27, 2026 · RAUM change · derived
- Muralidhar Vinay Tonse (Managing Director & Ceo) no longer on Schedule A of S•• F•••• M••••••••• L•••••• (listed 2022-06-28, absent 2023-06-22)Jun 22, 2023 · Control person left · inference
- Shamsher Singh (Managing Director And Ceo) appeared on Schedule A of S•• F•••• M••••••••• L••••••Jun 22, 2023 · Control person joined · fact
- Muralidhar Vinay Tonse (Managing Director & Ceo) appeared on Schedule A of S•• F•••• M••••••••• L••••••Jun 29, 2021 · Control person joined · fact
- Srinivasan Rama Iyer (Chief Investment Officer - Equity) appeared on Schedule A of S•• F•••• M••••••••• L••••••Jun 29, 2021 · Control person joined · fact
- Rajeev Radhakrishnan (Chief Investment Officer - Fixed Income) appeared on Schedule A of S•• F•••• M••••••••• L••••••Jun 29, 2021 · Control person joined · fact
- Navneet Munot (Chief Investment Officer) no longer on Schedule A of S•• F•••• M••••••••• L•••••• (listed 2020-06-29, absent 2021-06-29)Jun 29, 2021 · Control person left · inference
- Ashwani Bhatia (Managing Director & Ceo) no longer on Schedule A of S•• F•••• M••••••••• L•••••• (listed 2020-06-29, absent 2021-06-29)Jun 29, 2021 · Control person left · inference
- S•• F•••• M••••••••• L•••••• reported RAUM $93.5B, up 1455% from $6.0B (2019-06-28 to 2020-06-29)Jun 29, 2020 · RAUM change · derived
- Anuradha Rao (Managing Director & Ceo) no longer on Schedule A of S•• F•••• M••••••••• L•••••• (listed 2018-06-29, absent 2019-06-28)Jun 28, 2019 · Control person left · inference
- Ashwani Bhatia (Managing Director & Ceo) appeared on Schedule A of S•• F•••• M••••••••• L••••••Jun 28, 2019 · Control person joined · fact
- S•• F•••• M••••••••• L•••••• reported RAUM $5.4B, up 1084% from $458.4M (2017-06-28 to 2018-06-29)Jun 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 9122-6179-3000reportedpublic record, Form ADV, Jun 27, 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
- Institutional managerderiveda 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