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.
SEC-registered adviser
Exchange Traded Concepts, LLC
Latest filing Feb 11, 2026
First filing on the tape Mar 30, 2012 · 42 filings
SEC status approved since Aug 18, 2009
RAUM
$23B
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
16
13 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
42 filings and snapshots on the tape
RAUM$23B as of Feb 11, 2026
Mar 30, 2012$9.3M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Feb 11, 2026
Mar 30, 20120 then
Employees (5.A)16 as of Feb 11, 2026
Mar 28, 20135 then
Private funds1 as of Mar 29, 2022
Mar 29, 20211 then
RAUM +126% over the last fiscal year+59% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Feb 11, 2026; 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
- $177MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived2 offices incl. principal (1.F.5)
- RAUM growth, one year
- +126%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 investment companies, selection of other advisersreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$23B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 130reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false bd_reps=2.0derived
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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Robert Richard Hogan · Officercontrolsince 07/2011 · owns less than 5%
- Paul Dennis Lowenfels · Chief Compliance Officercontrolsince 05/2018 · owns less than 5%
- Richard Malinowski · General Counselcontrolsince 08/2022 · owns less than 5%
- Paul Andrew Serowik · Officercontrolsince 01/2024 · owns less than 5%
- Garrett James Stevens · Chief Executive Officercontrolsince 07/2009 · owns 10% to 25%
- Kyle Randal Taylor · Chief Financial Officercontrolsince 04/2023 · owns less than 5%
- Robert Richard Hogan · Ownercontrolsince 01/2011 · owns 75% or more of Richard Hogan Revocable Trust
- Alan Todd Stuart · Trusteecontrolsince 06/2019 · owns F of Richard Hogan 2001 Gst Trust
Entity owners
- Cottonwood Etf Holdings, LLC · Memberdirect · owns 50% to 75%
- Richard Hogan 2001 Gst Trust · Ownerindirect · owns 25% to 50% of Cottonwood Etf Holdings, LLC
- Richard Hogan Revocable Trust · Ownerindirect · owns 25% to 50% of Cottonwood Etf Holdings, LLC
Related persons
Schedule D 7.A
No related person reported.
Offices
Schedule D 1.F, the 25 largest
- New York, NY9 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- RAUM up 50 %Change between filings · filing Feb 11, 2026RAUM (Item 5.F) moved from $10,174,416,057 to $22,952,324,758 (+126.0%) between the annual amendments of 2025-03-04 and 2026-02-11; the peer median change was +15.0% (471 comparable advisers, 99.0th percentile of changes)peers: asset managers, $20B and over (471) · 99% percentile
What changed
consecutive filings, newest first
- Accounts · 84 to 130Sep 26, 2025 to Feb 11, 2026
- Advisory employees · 14 to 13Sep 26, 2025 to Feb 11, 2026
- BD registered reps · 3 to 2Sep 26, 2025 to Feb 11, 2026
- Employees · 17 to 16Sep 26, 2025 to Feb 11, 2026
- Discretionary RAUM · $10B to $23BSep 26, 2025 to Feb 11, 2026
- RAUM · $10B to $23BSep 26, 2025 to Feb 11, 2026
- Accounts · 57 to 84Mar 4, 2024 to Mar 4, 2025
- Advisory employees · 12 to 14Mar 4, 2024 to Mar 4, 2025
- Employees · 15 to 17Mar 4, 2024 to Mar 4, 2025
- Financial planning clients · unset to Mar 4, 2024 to Mar 4, 2025
- Discretionary RAUM · $5.5B to $10BMar 4, 2024 to Mar 4, 2025
- RAUM · $5.5B to $10BMar 4, 2024 to Mar 4, 2025
- Accounts · 61 to 57Apr 19, 2023 to Mar 4, 2024
- Advisory employees · 9 to 12Apr 19, 2023 to Mar 4, 2024
- Advisory activities · 3 to 2Apr 19, 2023 to Mar 4, 2024
- Pooled vehicle clients · 1.0 to unsetApr 19, 2023 to Mar 4, 2024
- Employees · 9 to 15Apr 19, 2023 to Mar 4, 2024
- Discretionary RAUM · $5.7B to $5.5BApr 19, 2023 to Mar 4, 2024
- Pooled vehicle RAUM · 63773000.0 to unsetApr 19, 2023 to Mar 4, 2024
- RAUM · $5.7B to $5.5BApr 19, 2023 to Mar 4, 2024
- Accounts · 55 to 61Aug 19, 2022 to Mar 27, 2023
- Advisory employees · 18 to 9Aug 19, 2022 to Mar 27, 2023
- Pooled vehicle clients · 2 to 1Aug 19, 2022 to Mar 27, 2023
- Employees · 21 to 9Aug 19, 2022 to Mar 27, 2023
- Private funds · 1 to unsetAug 19, 2022 to Mar 27, 2023
- Discretionary RAUM · $8.6B to $5.7BAug 19, 2022 to Mar 27, 2023
- Pooled vehicle RAUM · $105M to $63.8MAug 19, 2022 to Mar 27, 2023
- RAUM · $8.6B to $5.7BAug 19, 2022 to Mar 27, 2023
- Accounts · 38 to 55Nov 11, 2021 to Mar 29, 2022
- Advisory employees · 14 to 18Nov 11, 2021 to Mar 29, 2022
- BD registered reps · 4 to 3Nov 11, 2021 to Mar 29, 2022
- Employees · 17 to 21Nov 11, 2021 to Mar 29, 2022
- Discretionary RAUM · $7.3B to $8.6BNov 11, 2021 to Mar 29, 2022
- Pooled vehicle RAUM · $91.4M to $105MNov 11, 2021 to Mar 29, 2022
- RAUM · $7.3B to $8.6BNov 11, 2021 to Mar 29, 2022
- Accounts · 26 to 38Jul 29, 2020 to Mar 29, 2021
- Advisory employees · 13 to 14Jul 29, 2020 to Mar 29, 2021
- Advisory activities · 2 to 3Jul 29, 2020 to Mar 29, 2021
- BD registered reps · 2 to 4Jul 29, 2020 to Mar 29, 2021
- Pooled vehicle clients · 1 to 2Jul 29, 2020 to Mar 29, 2021
Signals
17 dated events
- Exchange Traded Concepts, Llc reported RAUM $23.0B, up 126% from $10.2B (2025-09-26 to 2026-02-11)Feb 11, 2026 · RAUM change · derived
- Exchange Traded Concepts, Llc reported RAUM $10.2B, up 85% from $5.5B (2024-03-04 to 2025-03-04)Mar 4, 2025 · RAUM change · derived
- Johnston James Baker (Officer) no longer on Schedule A of Exchange Traded Concepts, Llc (listed 2023-04-19, absent 2024-03-04)Mar 4, 2024 · Control person left · inference
- Paul Andrew Serowik (Officer) appeared on Schedule A of Exchange Traded Concepts, LlcMar 4, 2024 · Control person joined · fact
- Wesley David Mills (Chief Financial Officer) no longer on Schedule A of Exchange Traded Concepts, Llc (listed 2023-03-27, absent 2023-04-19)Apr 19, 2023 · Control person left · inference
- Kyle Randal Taylor (Chief Financial Officer) appeared on Schedule A of Exchange Traded Concepts, LlcApr 19, 2023 · Control person joined · fact
- Exchange Traded Concepts, Llc reported RAUM $5.7B, down 34% from $8.6B (2022-08-19 to 2023-03-27)Mar 27, 2023 · RAUM change · derived
- Richard Malinowski (General Counsel) appeared on Schedule A of Exchange Traded Concepts, LlcAug 19, 2022 · Control person joined · fact
- Law Robert Griffith (General Counsel) no longer on Schedule A of Exchange Traded Concepts, Llc (listed 2022-03-29, absent 2022-08-19)Aug 19, 2022 · Control person left · inference
- Law Robert Griffith (General Counsel) appeared on Schedule A of Exchange Traded Concepts, LlcMar 29, 2022 · Control person joined · fact
- Lynn Abigail Bertumen (General Counsel) no longer on Schedule A of Exchange Traded Concepts, Llc (listed 2021-06-24, absent 2021-07-28)Jul 28, 2021 · Control person left · inference
- Exchange Traded Concepts, Llc reported RAUM $7.3B, up 142% from $3.0B (2020-07-29 to 2021-03-29)Mar 29, 2021 · RAUM change · derived
- Exchange Traded Concepts, Llc reported RAUM $3.0B, up 28% from $2.4B (2020-03-24 to 2020-07-29)Jul 29, 2020 · RAUM change · derived
- Exchange Traded Concepts, Llc reported RAUM $2.4B, down 45% from $4.3B (2020-02-13 to 2020-03-24)Mar 24, 2020 · RAUM change · derived
- Alan Todd Stuart (Trustee) appeared on Schedule A of Exchange Traded Concepts, LlcMar 24, 2020 · Control person joined · fact
- Ann Maureen Sherry (Trustee) no longer on Schedule A of Exchange Traded Concepts, Llc (listed 2020-02-13, absent 2020-03-24)Mar 24, 2020 · Control person left · inference
- Exchange Traded Concepts, Llc reported RAUM $5.5B, up 146% from $2.2B (2017-11-16 to 2018-03-30)Mar 30, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/exchange-traded-concepts/aboutreportedpublic record, Form ADV, Sep 17, 2026
- Website
- EXCHANGETRADEDCONCEPTS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 405-778-8377reportedpublic record, Form ADV, Feb 11, 2026
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
- Asset manager (funds and pooled vehicles)deriveda 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