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

Delaware Capital Management Advisers, Inc

Former SEC-registered adviserPhiladelphia, PennsylvaniaCRD 152237SEC 801-70846IAPD
Latest filing Jun 24, 2020
First filing on the tape Nov 9, 2011 · 15 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
0
beyond the principal office
Private funds
0
reported on Schedule D
History
15 filings and snapshots on the tape
RAUM: no history
HNW client RAUM$0 as of Jun 24, 2020
Jun 27, 2018$0 then
State-registered IARs (5.B.3)0 as of Jun 24, 2020
Jun 29, 20120 then
Employees (5.A)0 as of Jun 24, 2020
Jun 24, 20136 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 24, 2020; 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
unknownderivedbetween 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
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
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
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Forrester David Connor · Senior Vice President/General Counsel/Secretary/Trusteecontrol
    since 06/2015 · owns less than 5%
  • Keith Shawn Lytle · Chief Executive Officer, President/ Trusteecontrol
    since 06/2015 · owns less than 5%
  • Lawrence Brian Murray · Svp/Global Chief Compliance Officercontrol
    since 09/2004 · owns less than 5%
  • Richard Salus · Svp/Global Head Of Fund Administrationcontrol
    since 10/2009 · owns less than 5%
  • L Patricia Bakely · Chief Financial Officer
    since 08/2018 · owns less than 5%
  • Joseph Stephen Busch · Trustee
    since 06/2016 · owns less than 5%
  • Francis Michael Capuzzi · U.S. Chief Operations Officer
    since 06/2018 · owns less than 5%
Entity owners
  • Macquarie Management Holdings, Inc. · Corporate Parent Of Registrant
    direct · owns 75% or more
  • Macquarie Affiliated Managers (USA) Inc. · Parent
    indirect · owns 75% or more of Macquarie Management Holdings, Inc.
  • Macquarie Affiliated Managers Holdings (USA) Inc. · Parent
    indirect · owns 75% or more of Macquarie Affiliated Managers (USA) Inc.
  • Macquarie Corporate Holdings Pty Limited · Parent
    indirect · owns 75% or more of Macquarie Corporate International Holdings Pty Limited
  • Macquarie Corporate International Holdings Pty Limited · Parent
    indirect · owns 75% or more of Macquarie Group (US) Holdings No.1 Pty Ltd
  • Macquarie Equities (US) Holdings Pty Limited · Parent
    indirect · owns 75% or more of Macquarie Fg Holdings Inc.
  • Macquarie Fg Holdings Inc. · Parent
    indirect · owns 75% or more of Macquarie Affiliated Managers Holdings (USA) Inc.
  • Macquarie Financial Holdings Pty Limited · Parent
    indirect · owns 75% or more of Macquarie Corporate Holdings Pty Limited
  • Macquarie Group (US) Holdings No.1 Pty Ltd · Parent
    indirect · owns 75% or more of Macquarie Equities (US) Holdings Pty Limited
  • Macquarie Group Limited · Parent
    indirect · owns 75% or more of Macquarie Financial Holdings Pty Limited
Related persons
Schedule D 7.A
Advisers that list Delaware Capital Management Advisers, Inc as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
  • Charity clients · unset to 0.0
    Jun 22, 2017 to Jun 27, 2018
  • Corporate clients · unset to 0.0
    Jun 22, 2017 to Jun 27, 2018
  • HNW clients · unset to 0.0
    Jun 22, 2017 to Jun 27, 2018
  • Individual clients · unset to 0.0
    Jun 22, 2017 to Jun 27, 2018
  • Pension plan clients · unset to 0.0
    Jun 22, 2017 to Jun 27, 2018
  • Pooled vehicle clients · unset to 0.0
    Jun 22, 2017 to Jun 27, 2018
  • Other offices · unset to 0.0
    Jun 22, 2017 to Jun 27, 2018
  • HNW RAUM · unset to 0.0
    Jun 22, 2017 to Jun 27, 2018
  • Individual RAUM · unset to 0.0
    Jun 22, 2017 to Jun 27, 2018
  • Pension RAUM · unset to 0.0
    Jun 22, 2017 to Jun 27, 2018
  • Pooled vehicle RAUM · unset to 0.0
    Jun 22, 2017 to Jun 27, 2018
  • BD registered reps · 4 to 0
    Mar 30, 2017 to Jun 22, 2017
  • Employees · 6 to 0
    Mar 30, 2017 to Jun 22, 2017
  • BD registered reps · unset to 4.0
    Aug 24, 2012 to Jun 24, 2013
  • Employees · unset to 6.0
    Aug 24, 2012 to Jun 24, 2013
  • Insurance-licensed employees · unset to 0.0
    Nov 9, 2011 to Mar 30, 2012
  • Financial planning clients · 0 to unset
    Nov 9, 2011 to Mar 30, 2012
  • Related bank · false to true
    Nov 9, 2011 to Mar 30, 2012
Signals
2 dated events
  • Allen Roger Early (Executive Vice President/Head Of Fixed Income, Mim Americas) no longer on Schedule A of Delaware Capital Management Advisers, Inc (listed 2019-06-26, absent 2020-06-24)
    Jun 24, 2020 · Control person left · inference
  • Bernardanthony Dominic Janssens (Evp Global Chief Operations Officer) no longer on Schedule A of Delaware Capital Management Advisers, Inc (listed 2019-06-26, absent 2020-06-24)
    Jun 24, 2020 · Control person left · inference
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