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

Macquarie Infrastructure And Real Assets Inc.

Former SEC-registered adviserNew York, New YorkCRD 146690SEC 801-69047IAPD
Latest filing Aug 6, 2014
First filing on the tape Dec 20, 2011 · 9 filings
RAUM
$3.9B
reported, Item 5.F
Discretionary
0.0%
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
85
60 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$19.2M gross assets
History
9 filings and snapshots on the tape
RAUM$3.9B as of Jun 26, 2014
Jun 29, 2012$2.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 26, 2014
Jun 28, 20130 then
Employees (5.A)85 as of Jun 26, 2014
Jun 28, 201368 then
Private funds1 as of Jun 26, 2014
Jun 28, 20131 then
RAUM +2.8% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Aug 6, 2014; 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
$435MderivedRAUM over accounts (5.F.2.f)
Discretionary
0.0%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived4 offices incl. principal (1.F.5)
RAUM growth, one year
+2.8%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
performance-based, otherreportedItem 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)
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
9reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
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
      • Edward William Dermody · Chief Operating Officercontrol
        since 12/2013 · owns less than 5%
      • Conway Graeme · Chief Executive Officercontrol
        since 12/2013 · owns less than 5%
      • James Hooke · Directorcontrol
        since 12/2010 · owns less than 5%
      • John Christopher Leslie · Director/Presidentcontrol
        since 05/2007 · owns less than 5%
      • Francis Charles Glorioso · Chief Compliance Officer
        since 07/2014 · owns less than 5%
      • Edward Michael Kernan · General Counsel
        since 07/2009 · owns less than 5%
      • Todd Weintraub · Treasurer
        since 08/2013 · owns less than 5%
      Entity owners
      • Macquarie Holdings (U.S.A.) Inc. · Direct 100% Owner
        direct · owns 75% or more
      • Macquarie Capital Group Limited · Owner
        indirect · owns 75% or more of Macquarie Capital International Holdings Pty Limited
      • Macquarie Capital International Holdings Pty Limited · Owner
        indirect · owns 75% or more of Macquarie Group Holdings No. 1 Pty Limited
      • Macquarie Equities (US) Holding Pty Limited · Owner
        indirect · owns 50% to 75% of Macquarie Holdings (USA) Inc.
      • Macquarie Financial Holdings Limited · Owner
        indirect · owns 75% or more of Macquarie Capital Group Limited
      • Macquarie Group Holdings No. 1 Pty Limited · Owner
        indirect · owns 75% or more of Macquarie Equities (US) Holding Pty Limited
      • Macquarie Group Limited · Owner
        indirect · owns 75% or more of Macquarie Financial Holdings Limited
      • Macquarie Holdings (USA) Inc. · Owner
        indirect · owns 75% or more of Macquarie Infastructure And Real Assets Inc.
      Related persons
      Schedule D 7.A
      • Commerce And Industry Brokerage Inc
        real estaten
      • Macquarie Advanced Investment Management Ltd
        investment advisern
      • Macquarie Agricultural Funds Management Limited
        investment advisern
      • Macquarie Capital (USA) Inc.
        broker-dealern
      • Macquarie Capital Investment Management LLC
        investment advisernRAUM $1.9B
      • Macquarie Capital Markets North America Ltd.
        broker-dealern
      • Macquarie Capital Securities Ltd
        broker-dealern
      • Macquarie Funds Advisers Pty Limited
        investment advisern
      • Macquarie Infrastructure And Real Assets (Europe) Limited
        investment advisern
      • Macquarie Infrastructure And Real Assets (Sales) Canada Ltd
        broker-dealern
      • Macquarie Infrastructure And Real Assets (Singapore) Pte Ltd.
        broker-dealern
      • Macquarie Infrastructure Management (Asia) Limited
        investment advisern
      • Macquarie Infrastructure Partners
        investment adviseryRAUM $49B
      • Macquarie Investment Advisory (Beijing) Co. Ltd
        investment advisern
      • Macquarie Middle East Management Ltd
        investment advisern
      • Macquarie Securities Korea Ltd
        broker-dealern
      • Macquarie Securities Thailand Limited
        broker-dealern
      • Macquarie Specialised Asset Management 2 Limited
        investment advisern
      • Macquarie Specialised Asset Management Limited
        investment advisern
      Advisers that list Macquarie Infrastructure And Real Assets Inc. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Houston, TX
      • San Francisco, CA
      • Toronto, Canada
      What changed
      consecutive filings, newest first
      • Advisory employees · 56 to 60
        Feb 12, 2014 to Jun 26, 2014
      • Advisory activities · 1 to 2
        Feb 12, 2014 to Jun 26, 2014
      • BD registered reps · 11 to 12
        Feb 12, 2014 to Jun 26, 2014
      • Employees · 68 to 85
        Feb 12, 2014 to Jun 26, 2014
      • Non-discretionary RAUM · $3.8B to $3.9B
        Feb 12, 2014 to Jun 26, 2014
      • RAUM · $3.8B to $3.9B
        Feb 12, 2014 to Jun 26, 2014
      • Accounts · 8 to 9
        Jun 29, 2012 to Jun 28, 2013
      • Advisory employees · unset to 56.0
        Jun 29, 2012 to Jun 28, 2013
      • BD registered reps · unset to 11.0
        Jun 29, 2012 to Jun 28, 2013
      • Employees · unset to 68.0
        Jun 29, 2012 to Jun 28, 2013
      • State-registered IARs · unset to 0.0
        Jun 29, 2012 to Jun 28, 2013
      • Private funds · unset to 1
        Jun 29, 2012 to Jun 28, 2013
      • Non-discretionary RAUM · $2.7B to $3.8B
        Jun 29, 2012 to Jun 28, 2013
      • RAUM · $2.7B to $3.8B
        Jun 29, 2012 to Jun 28, 2013
      • Non-discretionary RAUM · $2.7B to $2.7B
        Mar 29, 2012 to Jun 29, 2012
      • RAUM · $2.7B to $2.7B
        Mar 29, 2012 to Jun 29, 2012
      • Accounts · 9 to 8
        Dec 20, 2011 to Mar 29, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 20, 2011 to Mar 29, 2012
      • Non-discretionary RAUM · $2.5B to $2.7B
        Dec 20, 2011 to Mar 29, 2012
      • RAUM · $2.5B to $2.7B
        Dec 20, 2011 to Mar 29, 2012
      • Related bank · false to true
        Dec 20, 2011 to Mar 29, 2012
      Signals
      No event on the tape.
      Across DFX
      shared identifiers only, never a name match
      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