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

Arx Investimentos Ltda

Former SEC-registered adviserRio De Janeiro, CRD 148403SEC 801-69636IAPD
Latest filing Mar 30, 2016
First filing on the tape Dec 23, 2011 · 15 filings
RAUM
$1.9B
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
38
16 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
1
$63.6M gross assets
History
15 filings and snapshots on the tape
RAUM$1.9B as of Mar 30, 2016
Mar 30, 2012$5.5B then
HNW client RAUM: no history
State-registered IARs (5.B.3)1 as of Mar 30, 2016
Mar 28, 20130 then
Employees (5.A)38 as of Mar 30, 2016
Mar 28, 201339 then
Private funds1 as of Mar 30, 2016
Mar 30, 20122 then
RAUM -53% over the last fiscal year-33% a year over threeIARs 1 to 1
Practice profile
derived from the filing of Mar 30, 2016; every figure names its basis
RAUM per advisor
$1.9BderivedRAUM 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
$25.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
38.0derivedItem 5.A over advisors
Advisors per office
1.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
-53%derivedbetween the last two annual amendments
Advisor growth, one year
+0.0%derivedItem 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 vehicles, otherreportedItem 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)
  • 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)
  • a related person acts as qualified custodian (9.D.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
77reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      2 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Bny Mellon Arx Brazil Fund, SpcHedge Fund$63.6M50Mar 30, 2012
      Bny Mellon Arx, Spcno longer reportedHedge Fund$3.7M4Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Nascimento Legey Guilherme Abry · Investment Risk Manager - Statutory Directorcontrol
        since 09/2013 · owns less than 5%
      • Tovar Barreto Jose Alberto De Melo · Ceocontrol
        since 07/2013 · owns less than 5%
      • De Godoy Bruno Garcia · Ciocontrol
        since 01/2008 · owns less than 5%
      • David Christopher Rexworthy · Chief Compliance Officercontrol
        since 07/2015 · owns less than 5%
      Entity owners
      • Mellon International Limited · Shareholder
        direct · owns less than 5%
      • The Bank Of New York Mellon Corporation · Shareholder
        direct · owns 75% or more · public reporting company
      Related persons
      Schedule D 7.A
      • Benefit Street Partners Limited
        investment adviserbankpooled vehicle sponsornRAUM $23B
      • Bsp Ny LLC
        investment adviserbankpooled vehicle sponsornRAUM $14B
      • Amherst Capital Management LLC
        investment adviserbanknRAUM $545M
      • Bny Mellon Investor Solutions, LLC
        investment advisernRAUM $853M
      • Bny Mellon Administracao De Ativos Ltda
        investment advisern
      • Bny Mellon Alocacao De Patrimonio Ltda
        investment advisery
      • Bny Mellon Asset Management Canada Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Management Japan Limited
        investment advisernRAUM $32B
      • Bny Mellon Banco S.A.
        n
      • Bny Mellon Capital Markets Emea Limited
        broker-dealerinvestment adviserbankn
      • Bny Mellon Capital Markets, LLC
        broker-dealern
      • Bny Mellon Fund Managers Limited
        investment adviserpooled vehicle sponsorn
      • Bny Mellon Global Management Limited
        investment adviserpooled vehicle sponsorn
      • Bny Mellon Im Korea Limited
        investment advisern
      • Bny Mellon International Management Limited
        investment adviserpooled vehicle sponsory
      • Bny Mellon Investment Management Australia Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Management Cayman Ltd
        investment adviserpooled vehicle sponsornRAUM $10B
      • Bny Mellon Investment Management Emea Limited
        broker-dealerinvestment adviserpooled vehicle sponsory
      • Bny Mellon Investment Management Hong Kong Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Management Singapore Pte. Limited
        investment advisernRAUM $78.5M
      • Bny Mellon Managed Investments Limited
        investment advisern
      • Bny Mellon National Association
        investment advisern
      • Bny Mellon Servicos Financeiros Dtvm S.A.
        broker-dealerinvestment advisern
      • Bny Mellon Trust Company (Ireland) Limited
        n
      • Bny Mellon Trust Company Of Illinois
        n
      • Bny Mellon Trust Of Delaware
        investment advisern
      • Bny Mellon Wealth Management, Advisory Services, Inc.
        broker-dealerinvestment adviserbankpooled vehicle sponsorn
      • Centersquare Investment Management Holdings, Inc.
        investment adviserpooled vehicle sponsornRAUM $577M
      • Centersquare Investment Management, Inc.
        investment adviserpooled vehicle sponsornRAUM $7.9B
      • Cibc Mellon Global Securities Services Company
        n
      Advisers that list Arx Investimentos Ltda as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 85 to 77
        Nov 27, 2015 to Mar 30, 2016
      • Advisory employees · 17 to 16
        Nov 27, 2015 to Mar 30, 2016
      • Advisory activities · 4 to 3
        Nov 27, 2015 to Mar 30, 2016
      • Employees · 42 to 38
        Nov 27, 2015 to Mar 30, 2016
      • Discretionary RAUM · $4.2B to $1.9B
        Nov 27, 2015 to Mar 30, 2016
      • RAUM · $4.2B to $1.9B
        Nov 27, 2015 to Mar 30, 2016
      • Accounts · 84 to 85
        Apr 22, 2014 to Mar 31, 2015
      • Advisory activities · 5 to 4
        Apr 22, 2014 to Mar 31, 2015
      • Employees · 40 to 42
        Apr 22, 2014 to Mar 31, 2015
      • Discretionary RAUM · $6.1B to $4.2B
        Apr 22, 2014 to Mar 31, 2015
      • RAUM · $6.1B to $4.2B
        Apr 22, 2014 to Mar 31, 2015
      • Accounts · 73 to 84
        Oct 7, 2013 to Mar 28, 2014
      • Advisory employees · 15 to 17
        Oct 7, 2013 to Mar 28, 2014
      • Employees · 39 to 40
        Oct 7, 2013 to Mar 28, 2014
      • State-registered IARs · 0 to 1
        Oct 7, 2013 to Mar 28, 2014
      • Discretionary RAUM · $6.3B to $6.1B
        Oct 7, 2013 to Mar 28, 2014
      • RAUM · $6.3B to $6.1B
        Oct 7, 2013 to Mar 28, 2014
      • Business name · BNY MELLON ARX INVESTIMENTOS LTDA to ARX INVESTIMENTOS LTDA
        Sep 23, 2013 to Oct 7, 2013
      • Legal name · BNY MELLON ARX INVESTIMENTOS LTDA to ARX INVESTIMENTOS LTDA
        Sep 23, 2013 to Oct 7, 2013
      • Accounts · 68 to 73
        May 14, 2012 to Mar 28, 2013
      • Advisory employees · unset to 15.0
        May 14, 2012 to Mar 28, 2013
      • Advisory activities · 4 to 5
        May 14, 2012 to Mar 28, 2013
      • Employees · unset to 39.0
        May 14, 2012 to Mar 28, 2013
      • State-registered IARs · unset to 0.0
        May 14, 2012 to Mar 28, 2013
      • Discretionary RAUM · $5.5B to $6.3B
        May 14, 2012 to Mar 28, 2013
      • RAUM · $5.5B to $6.3B
        May 14, 2012 to Mar 28, 2013
      • Related bank · false to true
        May 14, 2012 to Mar 28, 2013
      • Private funds · 2 to 1
        Mar 30, 2012 to May 14, 2012
      • Advisory activities · 3 to 4
        Dec 23, 2011 to Mar 30, 2012
      • Insurance-licensed employees · unset to 0.0
        Dec 23, 2011 to Mar 30, 2012
      • Financial planning clients · unset to 0
        Dec 23, 2011 to Mar 30, 2012
      • Private funds · unset to 2
        Dec 23, 2011 to Mar 30, 2012
      • Discretionary RAUM · $7.1B to $5.5B
        Dec 23, 2011 to Mar 30, 2012
      • RAUM · $7.1B to $5.5B
        Dec 23, 2011 to Mar 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