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

American Equity Advisors, Inc.

Former SEC-registered adviserWest Des Moines, IowaCRD 150403SEC 801-70730IAPD
Latest filing Feb 13, 2014
First filing on the tape Mar 12, 2012 · 5 filings
RAUM
$29B
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
19
19 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
5 filings and snapshots on the tape
RAUM$29B as of Feb 13, 2014
Mar 12, 2012$24B then
HNW client RAUM: no history
State-registered IARs (5.B.3)7 as of Feb 13, 2014
Mar 12, 20120 then
Employees (5.A)19 as of Feb 13, 2014
Mar 28, 201314 then
Private funds: no history
RAUM +8.3% over the last fiscal yearIARs 5 to 7
Practice profile
derived from the filing of Feb 13, 2014; every figure names its basis
RAUM per advisor
$4.2BderivedRAUM 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
$4.2BderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
2.7derivedItem 5.A over advisors
Advisors per office
7.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+8.3%derivedbetween the last two annual amendments
Advisor growth, one year
+40%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, otherreportedItem 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)
  • 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
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
7reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
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
    • David Jeffrey Lorenzen · President And Chief Compliance Officercontrol
      since 04/2009 · owns less than 5%
    Entity owners
    • American Equity Investment Life Holding Company · Owner
      direct · owns 75% or more · 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
    • Advisory employees · 14 to 19
      Mar 28, 2013 to Feb 13, 2014
    • Employees · 14 to 19
      Mar 28, 2013 to Feb 13, 2014
    • State-registered IARs · 5 to 7
      Mar 28, 2013 to Feb 13, 2014
    • Discretionary RAUM · $27B to $29B
      Mar 28, 2013 to Feb 13, 2014
    • RAUM · $27B to $29B
      Mar 28, 2013 to Feb 13, 2014
    • Advisory employees · unset to 14.0
      Apr 18, 2012 to Mar 28, 2013
    • Employees · unset to 14.0
      Apr 18, 2012 to Mar 28, 2013
    • State-registered IARs · 0 to 5
      Apr 18, 2012 to Mar 28, 2013
    • Discretionary RAUM · $24B to $27B
      Apr 18, 2012 to Mar 28, 2013
    • RAUM · $24B to $27B
      Apr 18, 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