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

Indexiq Advisors LLC

Former SEC-registered adviserNew York, New YorkCRD 144790SEC 801-68220IAPD
Latest filing Mar 28, 2024
First filing on the tape Mar 30, 2012 · 22 filings
RAUM
$10B
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
8
6 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
22 filings and snapshots on the tape
RAUM$10B as of Mar 28, 2024
Mar 30, 2012$763M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2024
Mar 30, 20120 then
Employees (5.A)8 as of Mar 28, 2024
Mar 28, 201313 then
Private funds: no history
RAUM +16% over the last fiscal year+39% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 28, 2024; 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
$326MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
7.0%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
+16%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 feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$9.7B93%
  • Pension and profit-sharing plans$388M3.7%
  • Insurance companies$339M3.3%
  • Corporations and businesses$33.9M0.3%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
32reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $21.2M managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      • Jack Benintende · Chief Operating Officercontrol
        since 02/2023 · owns less than 5%
      • Michael Kevin Bopp · Chief Compliance Officercontrol
        since 01/2017 · owns less than 5%
      • Vincent Matthew Curtin · Chief Legal Officercontrol
        since 01/2017 · owns less than 5%
      • Michael Francis Harte · Elected Managercontrol
        since 10/2015 · owns less than 5%
      • Alexander Thomas Hendry · Elected Managercontrol
        since 10/2015 · owns less than 5%
      • Christopher Kirk Lehneis · Chief Executive Officercontrol
        since 01/2018 · owns less than 5%
      Entity owners
      • Indexiq LLC · Managing Member
        direct · owns 75% or more
      • New York Life Insurance Company · Indirect Interest Holder
        indirect · owns 75% or more of New York Life Investment Management Holdings LLC
      • New York Life Investment Management Holdings LLC · Member
        indirect · owns 75% or more of Financial Development LLC
      Related persons
      Schedule D 7.A
      Advisers that list Indexiq Advisors LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 38 to 32
        Oct 26, 2023 to Mar 28, 2024
      • Advisory employees · 9 to 6
        Oct 26, 2023 to Mar 28, 2024
      • BD registered reps · 6 to 1
        Oct 26, 2023 to Mar 28, 2024
      • Employees · 14 to 8
        Oct 26, 2023 to Mar 28, 2024
      • Discretionary RAUM · $10B to $10B
        Oct 26, 2023 to Mar 28, 2024
      • Non-discretionary RAUM · $5.3M to $0
        Oct 26, 2023 to Mar 28, 2024
      • Pension RAUM · $364M to $388M
        Oct 26, 2023 to Mar 28, 2024
      • RAUM · $10B to $10B
        Oct 26, 2023 to Mar 28, 2024
      • Wrap assets (manager) · $29.4M to $21.2M
        Oct 26, 2023 to Mar 28, 2024
      • Accounts · 42 to 38
        Mar 29, 2023 to Oct 26, 2023
      • Discretionary RAUM · $9.0B to $10B
        Mar 29, 2023 to Oct 26, 2023
      • Non-discretionary RAUM · $5.4M to $5.3M
        Mar 29, 2023 to Oct 26, 2023
      • Pension RAUM · $307M to $364M
        Mar 29, 2023 to Oct 26, 2023
      • RAUM · $9.0B to $10B
        Mar 29, 2023 to Oct 26, 2023
      • Wrap assets (manager) · $31.8M to $29.4M
        Mar 29, 2023 to Oct 26, 2023
      • Accounts · 31 to 42
        Oct 31, 2022 to Mar 29, 2023
      • Advisory employees · 4 to 9
        Oct 31, 2022 to Mar 29, 2023
      • BD registered reps · 3 to 6
        Oct 31, 2022 to Mar 29, 2023
      • Employees · 9 to 14
        Oct 31, 2022 to Mar 29, 2023
      • Discretionary RAUM · $4.6B to $9.0B
        Oct 31, 2022 to Mar 29, 2023
      • Non-discretionary RAUM · $6.4M to $5.4M
        Oct 31, 2022 to Mar 29, 2023
      • Pension RAUM · unset to 306902719.0
        Oct 31, 2022 to Mar 29, 2023
      • RAUM · $4.6B to $9.0B
        Oct 31, 2022 to Mar 29, 2023
      • Wrap assets (manager) · $51.4M to $31.8M
        Oct 31, 2022 to Mar 29, 2023
      • Accounts · 28 to 31
        Mar 30, 2022 to Jul 18, 2022
      • Discretionary RAUM · $5.1B to $4.6B
        Mar 30, 2022 to Jul 18, 2022
      • Non-discretionary RAUM · $6.2M to $6.4M
        Mar 30, 2022 to Jul 18, 2022
      • RAUM · $5.1B to $4.6B
        Mar 30, 2022 to Jul 18, 2022
      • Accounts · 22 to 28
        Mar 30, 2021 to Mar 30, 2022
      • Advisory employees · 9 to 4
        Mar 30, 2021 to Mar 30, 2022
      • Advisory activities · 4 to 3
        Mar 30, 2021 to Mar 30, 2022
      • BD registered reps · 5 to 3
        Mar 30, 2021 to Mar 30, 2022
      • Employees · 12 to 9
        Mar 30, 2021 to Mar 30, 2022
      • Discretionary RAUM · $3.9B to $5.1B
        Mar 30, 2021 to Mar 30, 2022
      • Non-discretionary RAUM · $7.3M to $6.2M
        Mar 30, 2021 to Mar 30, 2022
      • RAUM · $3.9B to $5.1B
        Mar 30, 2021 to Mar 30, 2022
      • Wrap assets (manager) · $42.6M to $51.4M
        Mar 30, 2021 to Mar 30, 2022
      • Accounts · 28 to 22
        Mar 30, 2020 to Mar 30, 2021
      • Advisory employees · 5 to 9
        Mar 30, 2020 to Mar 30, 2021
      • BD registered reps · 3 to 5
        Mar 30, 2020 to Mar 30, 2021
      Signals
      11 dated events
      • John Salvatore Bruno (Chief Investment Officer) no longer on Schedule A of Indexiq Advisors Llc (listed 2023-03-29, absent 2023-10-26)
        Oct 26, 2023 · Control person left · inference
      • Jomil Guerrero (Chief Operating Officer) no longer on Schedule A of Indexiq Advisors Llc (listed 2022-10-31, absent 2023-03-29)
        Mar 29, 2023 · Control person left · inference
      • Jack Benintende (Chief Operating Officer) appeared on Schedule A of Indexiq Advisors Llc
        Mar 29, 2023 · Control person joined · fact
      • Indexiq Advisors Llc reported RAUM $9.0B, up 93% from $4.6B (2022-10-31 to 2023-03-29)
        Mar 29, 2023 · RAUM change · derived
      • D Ian Forrest (Managing Director) no longer on Schedule A of Indexiq Advisors Llc (listed 2022-10-14, absent 2022-10-31)
        Oct 31, 2022 · Control person left · inference
      • Nmn Yie-Hsin Hung (Elected Manager) no longer on Schedule A of Indexiq Advisors Llc (listed 2022-07-18, absent 2022-10-14)
        Oct 14, 2022 · Control person left · inference
      • Herbert Jonathan Zimmerman (Chief Commercial Officer) no longer on Schedule A of Indexiq Advisors Llc (listed 2022-07-18, absent 2022-10-14)
        Oct 14, 2022 · Control person left · inference
      • Jomil Guerrero (Chief Operating Officer) appeared on Schedule A of Indexiq Advisors Llc
        Mar 30, 2022 · Control person joined · fact
      • Indexiq Advisors Llc reported RAUM $5.1B, up 30% from $3.9B (2021-03-30 to 2022-03-30)
        Mar 30, 2022 · RAUM change · derived
      • D Ian Forrest (Managing Director) appeared on Schedule A of Indexiq Advisors Llc
        Mar 30, 2021 · Control person joined · fact
      • Indexiq Advisors Llc reported RAUM $3.9B, up 66% from $2.4B (2017-03-31 to 2018-03-28)
        Mar 28, 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.
      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