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

Parametric Risk Advisors

Former SEC-registered adviserWestport, ConnecticutCRD 143616SEC 801-67738IAPD
Legal name Parametric Risk Advisors LLC
Latest filing Apr 25, 2016
First filing on the tape Jan 19, 2012 · 15 filings
RAUM
$5.1B
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
13
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM$5.5B as of Nov 30, 2015
Jan 19, 2012$3.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Nov 30, 2015
Apr 1, 20130 then
Employees (5.A)15 as of Nov 30, 2015
Apr 1, 201310 then
Private funds: no history
RAUM +43% over the last fiscal year+12% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 25, 2016; 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
$10.9MderivedRAUM 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
+53%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 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
472reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, 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
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Scott Bradley Berggren · Manager, Co-Managing Director - Investment Strategy And Researchcontrol
        since 11/2015 · owns less than 5%
      • M Lawrence Berman · Manager, Managing Director - Trading, Secretarycontrol
        since 05/2007 · owns less than 5%
      • Young Orison Chaffee · Manager, Managing Principalcontrol
        since 11/2015 · owns less than 5%
      • Lee Kenneth Everding · Manager, Managing Director - Researchcontrol
        since 11/2015 · owns less than 5%
      • Scott Randall Hegarty · Chief Compliance Officercontrol
        since 03/2016 · owns less than 5%
      • Bernard Thomas Lee · Manager, Co-Managing Director - Investment Strategy And Researchcontrol
        since 11/2015 · owns less than 5%
      • Jonathan Orseck · Manager, Managing Director - Operationscontrol
        since 11/2015 · owns less than 5%
      Entity owners
      • Parametric · Shareholder
        direct · owns 75% or more
      • Eaton Vance Acquisitions ("Eva") · Shareholder Of Parametric Portfolio Associates
        indirect · owns 75% or more of Parametric Portfolio Associates
      • Eaton Vance Corp. ("Evc") · Evc Wholly Owns Eva
        indirect · owns 75% or more of Eva · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Parametric Risk Advisors as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 440 to 472
        Nov 30, 2015 to Apr 25, 2016
      • Employees · 15 to 13
        Nov 30, 2015 to Apr 25, 2016
      • Discretionary RAUM · $5.5B to $5.1B
        Nov 30, 2015 to Apr 25, 2016
      • RAUM · $5.5B to $5.1B
        Nov 30, 2015 to Apr 25, 2016
      • Accounts · 371 to 440
        May 4, 2015 to Nov 30, 2015
      • Advisory employees · 9 to 10
        May 4, 2015 to Nov 30, 2015
      • Employees · 13 to 15
        May 4, 2015 to Nov 30, 2015
      • Discretionary RAUM · $3.7B to $5.5B
        May 4, 2015 to Nov 30, 2015
      • RAUM · $3.7B to $5.5B
        May 4, 2015 to Nov 30, 2015
      • Accounts · 349 to 371
        Jan 28, 2015 to May 4, 2015
      • Discretionary RAUM · $3.6B to $3.7B
        Jan 28, 2015 to May 4, 2015
      • RAUM · $3.6B to $3.7B
        Jan 28, 2015 to May 4, 2015
      • Accounts · 303 to 349
        Mar 4, 2014 to Jan 27, 2015
      • Advisory employees · 8 to 9
        Mar 4, 2014 to Jan 27, 2015
      • Employees · 10 to 13
        Mar 4, 2014 to Jan 27, 2015
      • Discretionary RAUM · $3.6B to $3.6B
        Mar 4, 2014 to Jan 27, 2015
      • RAUM · $3.6B to $3.6B
        Mar 4, 2014 to Jan 27, 2015
      • Accounts · 280 to 303
        Apr 1, 2013 to Jan 29, 2014
      • Discretionary RAUM · $3.7B to $3.6B
        Apr 1, 2013 to Jan 29, 2014
      • RAUM · $3.7B to $3.6B
        Apr 1, 2013 to Jan 29, 2014
      • Related bank · false to true
        Apr 1, 2013 to Jan 29, 2014
      • Accounts · 251 to 280
        Jul 30, 2012 to Apr 1, 2013
      • Advisory employees · unset to 8.0
        Jul 30, 2012 to Apr 1, 2013
      • Employees · unset to 10.0
        Jul 30, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 0.0
        Jul 30, 2012 to Apr 1, 2013
      • Discretionary RAUM · $4.0B to $3.7B
        Jul 30, 2012 to Apr 1, 2013
      • RAUM · $4.0B to $3.7B
        Jul 30, 2012 to Apr 1, 2013
      • Accounts · 239 to 251
        Jan 19, 2012 to Jul 30, 2012
      • Discretionary RAUM · $3.5B to $4.0B
        Jan 19, 2012 to Jul 30, 2012
      • RAUM · $3.5B to $4.0B
        Jan 19, 2012 to Jul 30, 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