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

Emerging Global Advisors, LLC

Former SEC-registered adviserBoston, MassachusettsCRD 148751SEC 801-69832IAPD
Latest filing Sep 30, 2016
First filing on the tape Mar 27, 2012 · 8 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$908M as of Mar 31, 2016
Mar 27, 2012$683M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 31, 2016
Mar 27, 20120 then
Employees (5.A)19 as of Mar 31, 2016
Mar 28, 201320 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Sep 30, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
-46%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
no PE, bank or public-company owner found on Schedule Aderived
Advisor book size
not public; not estimatedreported
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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      • Augustine Peter Donatio · Chief Compliance Officercontrol
        since 09/2016 · owns less than 5%
      • Shweta Jhanji · Treasurercontrol
        since 09/2016 · owns less than 5%
      • Joseph Brian Mcgrane · Vice Presidentcontrol
        since 09/2016 · owns less than 5%
      • Frederick William Truscott · Presidentcontrol
        since 09/2016 · owns less than 5%
      Entity owners
      • Columbia Management Investment Advisers, LLC · Managing Member Of Registrant
        direct · owns 75% or more
      • Ameriprise Financial, Inc. · Managing Member
        indirect · owns 75% or more of Columbia Mangement Investment Advisers, LLC · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 9.0 to unset
        Mar 31, 2016 to Sep 30, 2016
      • Advisory employees · 5 to 0
        Mar 31, 2016 to Sep 30, 2016
      • BD registered reps · 13 to 0
        Mar 31, 2016 to Sep 30, 2016
      • Employees · 19 to 0
        Mar 31, 2016 to Sep 30, 2016
      • HQ city · NEW YORK to BOSTON
        Mar 31, 2016 to Sep 30, 2016
      • HQ state · NY to MA
        Mar 31, 2016 to Sep 30, 2016
      • Discretionary RAUM · 908055071.0 to unset
        Mar 31, 2016 to Sep 30, 2016
      • Non-discretionary RAUM · 0.0 to unset
        Mar 31, 2016 to Sep 30, 2016
      • RAUM · 908055071.0 to unset
        Mar 31, 2016 to Sep 30, 2016
      • Related adviser · false to true
        Mar 31, 2016 to Sep 30, 2016
      • Related bank · false to true
        Mar 31, 2016 to Sep 30, 2016
      • Related broker-dealer · false to true
        Mar 31, 2016 to Sep 30, 2016
      • Accounts · 11 to 9
        Mar 31, 2015 to Mar 31, 2016
      • Advisory employees · 7 to 5
        Mar 31, 2015 to Mar 31, 2016
      • BD registered reps · 24 to 13
        Mar 31, 2015 to Mar 31, 2016
      • Employees · 28 to 19
        Mar 31, 2015 to Mar 31, 2016
      • Discretionary RAUM · $1.7B to $908M
        Mar 31, 2015 to Mar 31, 2016
      • RAUM · $1.7B to $908M
        Mar 31, 2015 to Mar 31, 2016
      • Accounts · 16 to 11
        Jul 29, 2014 to Mar 31, 2015
      • Advisory employees · 3 to 7
        Jul 29, 2014 to Mar 31, 2015
      • Employees · 29 to 28
        Jul 29, 2014 to Mar 31, 2015
      • State-registered IARs · 23 to 0
        Jul 29, 2014 to Mar 31, 2015
      • Discretionary RAUM · $1.4B to $1.7B
        Jul 29, 2014 to Mar 31, 2015
      • RAUM · $1.4B to $1.7B
        Jul 29, 2014 to Mar 31, 2015
      • Accounts · 22 to 16
        Mar 28, 2013 to Jan 31, 2014
      • Advisory employees · 18 to 3
        Mar 28, 2013 to Jan 31, 2014
      • BD registered reps · 18 to 24
        Mar 28, 2013 to Jan 31, 2014
      • Employees · 20 to 29
        Mar 28, 2013 to Jan 31, 2014
      • State-registered IARs · 18 to 23
        Mar 28, 2013 to Jan 31, 2014
      • Discretionary RAUM · $1.2B to $1.4B
        Mar 28, 2013 to Jan 31, 2014
      • RAUM · $1.2B to $1.4B
        Mar 28, 2013 to Jan 31, 2014
      • Accounts · 1 to 22
        Mar 27, 2012 to Mar 28, 2013
      • Advisory employees · unset to 18.0
        Mar 27, 2012 to Mar 28, 2013
      • BD registered reps · unset to 18.0
        Mar 27, 2012 to Mar 28, 2013
      • Employees · unset to 20.0
        Mar 27, 2012 to Mar 28, 2013
      • HQ city · RIDGEWOOD to NEW YORK
        Mar 27, 2012 to Mar 28, 2013
      • HQ state · NJ to NY
        Mar 27, 2012 to Mar 28, 2013
      • State-registered IARs · 0 to 18
        Mar 27, 2012 to Mar 28, 2013
      • Discretionary RAUM · $683M to $1.2B
        Mar 27, 2012 to Mar 28, 2013
      • RAUM · $683M to $1.2B
        Mar 27, 2012 to Mar 28, 2013
      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