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•••••••• A•••• M••••••••• S• S••••
Latest filing Mar 27, 2026
First filing on the tape Mar 30, 2012 · 31 filings
SEC status approved since Jul 5, 2007
RAUM
$160B
reported, Item 5.F
Discretionary
85%
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
231
118 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
31 filings and snapshots on the tape
RAUM$160B as of Mar 27, 2026
Mar 30, 2012$3.3B then
HNW client RAUM$0 as of Mar 27, 2026
Mar 28, 2018$0 then
State-registered IARs (5.B.3)0 as of Mar 27, 2026
Mar 26, 20130 then
Employees (5.A)231 as of Mar 27, 2026
Mar 26, 2013103 then
Private funds: no history
RAUM +45% over the last fiscal year+23% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 27, 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
- $166MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 85%derivedof RAUM
- Institutional
- 13%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +45%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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$98B61%
- Banks and thrifts$35B22%
- Insurance companies$20B12%
- Corporations and businesses$5.6B3.5%
- Pension and profit-sharing plans$1.6B1.0%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 6reported
- Charitable clients
- 0reported
- Accounts
- 964reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.61 institutional_share=0.13 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
- B••••••••• N•••••• · Director And Chief Executive Officercontrolsince 10/2022 · owns less than 5%
- C••••••••• P•••• · Chief Compliance Officercontrolsince 10/2019 · owns less than 5%
- D• L••••••••• L••••• · Director, President And Chairman Of The Boardcontrolsince 02/2018 · owns less than 5%
- G••••••••• J••• · Chief Financial Officercontrolsince 04/2014 · owns less than 5%
- G•••••• J•••• M•••••• · Independent Director, Board Membercontrolsince 02/2018 · owns less than 5%
- M••••••••• M••••• L•• · Directorcontrolsince 01/2023 · owns less than 5%
- O••••••••• J••••• · Chief Investment Officercontrolsince 04/2018 · owns less than 5%
- P••••••••• I•••••• · Chief Operations Officercontrolsince 04/2014 · owns less than 5%
- U••••••••• M•••• · Chief Legal Officer/Secretarycontrolsince 12/2014 · owns less than 5%
Entity owners
- S•• I••••••••• H••••••• S• · Shareholderdirect · owns 75% or more
- S•••••••• P•••••••• S•• E••• · Shareholderdirect · owns less than 5%
- B•••• S••••••••• S••• · Shareholderindirect · owns 75% or more of S•••••• H•••••• S•
- S•••••• H•••••• S• · Shareholderindirect · owns 50% to 75% of S•• I••••••••• H••••••• S•
Related persons
Schedule D 7.A
- B•••• S••••••••• S•••y
- S•••••••• A•••• M••••••••• U• L••••••investment advisern
- S•••••••• P•••••• B•••••• G••••••• S••• S••••investment advisern
Advisers that list S•••••••• A•••• M••••••••• S• S•••• as a related person
- 156926 n
Offices
Schedule D 1.F, the 25 largest
- Frankfurt Am Main, Germany3 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- affiliate changedChange between filings · filing Mar 27, 2026broker-dealer affiliate (Item 7.A.1): yes on the filing of 2025-03-26, no on the filing of 2026-03-27peers: asset managers, $20B and over (512)
What changed
consecutive filings, newest first
- Accounts · 800 to 964Mar 26, 2025 to Mar 27, 2026
- Advisory employees · 83 to 118Mar 26, 2025 to Mar 27, 2026
- Pooled vehicle clients · 161 to 274Mar 26, 2025 to Mar 27, 2026
- Employees · 210 to 231Mar 26, 2025 to Mar 27, 2026
- Discretionary RAUM · $90B to $135BMar 26, 2025 to Mar 27, 2026
- Non-discretionary RAUM · $21B to $24BMar 26, 2025 to Mar 27, 2026
- Pension RAUM · $1.4B to $1.6BMar 26, 2025 to Mar 27, 2026
- Pooled vehicle RAUM · $75B to $98BMar 26, 2025 to Mar 27, 2026
- RAUM · $110B to $160BMar 26, 2025 to Mar 27, 2026
- Related adviser · true to falseMar 26, 2025 to Mar 27, 2026
- Related broker-dealer · true to falseMar 26, 2025 to Mar 27, 2026
- Accounts · 1,264 to 800Mar 22, 2024 to Mar 26, 2025
- Advisory employees · 84 to 83Mar 22, 2024 to Mar 26, 2025
- Corporate clients · 7 to 4Mar 22, 2024 to Mar 26, 2025
- Pension plan clients · 2 to 6Mar 22, 2024 to Mar 26, 2025
- Pooled vehicle clients · 156 to 161Mar 22, 2024 to Mar 26, 2025
- Employees · 201 to 210Mar 22, 2024 to Mar 26, 2025
- Financial planning clients · 0 to 0Mar 22, 2024 to Mar 26, 2025
- HQ state · unset to Mar 22, 2024 to Mar 26, 2025
- Discretionary RAUM · $83B to $90BMar 22, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $22B to $21BMar 22, 2024 to Mar 26, 2025
- Pension RAUM · $1.3B to $1.4BMar 22, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $70B to $75BMar 22, 2024 to Mar 26, 2025
- RAUM · $105B to $110BMar 22, 2024 to Mar 26, 2025
- Accounts · 1,163 to 1,264Mar 29, 2023 to Mar 22, 2024
- Advisory employees · 104 to 84Mar 29, 2023 to Mar 22, 2024
- Corporate clients · 1 to 7Mar 29, 2023 to Mar 22, 2024
- Pooled vehicle clients · 135 to 156Mar 29, 2023 to Mar 22, 2024
- Employees · 240 to 201Mar 29, 2023 to Mar 22, 2024
- Discretionary RAUM · $70B to $83BMar 29, 2023 to Mar 22, 2024
- Non-discretionary RAUM · $17B to $22BMar 29, 2023 to Mar 22, 2024
- Pension RAUM · $1.2B to $1.3BMar 29, 2023 to Mar 22, 2024
- Pooled vehicle RAUM · $58B to $70BMar 29, 2023 to Mar 22, 2024
- RAUM · $87B to $105BMar 29, 2023 to Mar 22, 2024
- Accounts · 1,115 to 1,163Mar 29, 2022 to Mar 29, 2023
- Advisory employees · 90 to 104Mar 29, 2022 to Mar 29, 2023
- Employees · 212 to 240Mar 29, 2022 to Mar 29, 2023
- Discretionary RAUM · $78B to $70BMar 29, 2022 to Mar 29, 2023
- Non-discretionary RAUM · $20B to $17BMar 29, 2022 to Mar 29, 2023
- Pension RAUM · $1.3B to $1.2BMar 29, 2022 to Mar 29, 2023
Signals
15 dated events
- S•••••••• A•••• M••••••••• S• S•••• reported RAUM $159.9B, up 45% from $110.2B (2025-03-26 to 2026-03-27)Mar 27, 2026 · RAUM change · derived
- Luz Maria Medina-Vazquez (Director) appeared on Schedule A of S•••••••• A•••• M••••••••• S• S••••Mar 29, 2023 · Control person joined · fact
- Nicolas Barquero-Aranda (Director And Chief Executive Officer) appeared on Schedule A of S•••••••• A•••• M••••••••• S• S••••Mar 29, 2023 · Control person joined · fact
- Angel Miguel Sanchez-Lozano (Director, President And Chief Executive Officer) no longer on Schedule A of S•••••••• A•••• M••••••••• S• S•••• (listed 2022-03-29, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Jesus Ruiz-Castaneda (Director) no longer on Schedule A of S•••••••• A•••• M••••••••• S• S•••• (listed 2022-03-29, absent 2023-03-29)Mar 29, 2023 · Control person left · inference
- Alberto Delgado-Moreno (Director) no longer on Schedule A of S•••••••• A•••• M••••••••• S• S•••• (listed 2020-08-31, absent 2021-03-25)Mar 25, 2021 · Control person left · inference
- Pablo Corton-Cerro (Chief Compliance Officer) appeared on Schedule A of S•••••••• A•••• M••••••••• S• S••••Mar 26, 2020 · Control person joined · fact
- Alberto Delgado-Moreno (Director) appeared on Schedule A of S•••••••• A•••• M••••••••• S• S••••Mar 26, 2020 · Control person joined · fact
- Ignacio Juan Sobera Leboreiro (Chief Compliance Officer) no longer on Schedule A of S•••••••• A•••• M••••••••• S• S•••• (listed 2019-03-27, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
- Gonzalo Milans Del Bosch (Director) no longer on Schedule A of S•••••••• A•••• M••••••••• S• S•••• (listed 2019-03-27, absent 2020-03-26)Mar 26, 2020 · Control person left · inference
- Manuel J••• Perez Jofre (Chief Investment Officer) no longer on Schedule A of S•••••••• A•••• M••••••••• S• S•••• (listed 2019-01-11, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- J•••• M••••••••• (Director) no longer on Schedule A of S•••••••• A•••• M••••••••• S• S•••• (listed 2019-01-11, absent 2019-03-27)Mar 27, 2019 · Control person left · inference
- Angel Miguel Sanchez-Lozano (Director, President And Chief Executive Officer) appeared on Schedule A of S•••••••• A•••• M••••••••• S• S••••Mar 27, 2019 · Control person joined · fact
- Jacobo Ortega-Vich (Chief Investment Officer) appeared on Schedule A of S•••••••• A•••• M••••••••• S• S••••Mar 27, 2019 · Control person joined · fact
- Jesus Ruiz-Castaneda (Director) appeared on Schedule A of S•••••••• A•••• M••••••••• S• S••••Mar 27, 2019 · Control person joined · fact
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
- 34 912574020reportedpublic record, Form ADV, Mar 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
- 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