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.
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SEC-registered adviser
I•••••• M•••••• A•••••••• L••
Latest filing Jun 29, 2026
First filing on the tape Mar 30, 2012 · 53 filings
SEC status approved since Jan 28, 2003
RAUM
$31B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
1.9%
$605M individuals and HNW
Advisors
17
registered through the firm on IAPD
RAUM per advisor
$1.8B
derived; firm RAUM over IAPD count
Employees
68
29 advisory (5.B.1)
Offices
6
beyond the principal office
Private funds
0
reported on Schedule D
History
53 filings and snapshots on the tape
RAUM$31B as of Jun 29, 2026
Mar 30, 2012$1.3B then
HNW client RAUM$605M as of Jun 29, 2026
Mar 29, 2018$2.1B then
State-registered IARs (5.B.3)17 as of Jun 29, 2026
Mar 26, 201319 then
Employees (5.A)68 as of Jun 29, 2026
Mar 26, 201323 then
Private funds: no history
RAUM +27% over the last fiscal year+40% a year over threeIARs 17 to 17
Practice profile
derived from the filing of Jun 29, 2026; every figure names its basis
- RAUM per advisor
- $1.8BderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- 3derivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $11.9MderivedHNW RAUM over HNW clients
- Average account
- $1.8MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 6.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.0derivedItem 5.A over advisors
- Advisors per office
- 2.4derived7 offices incl. principal (1.F.5)
- RAUM growth, one year
- +27%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- -89%derived
- Compensation
- percentage of assets, fixed feesreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutionsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Other investment advisers$11B65%
- Corporations and businesses$3.5B20%
- Charitable organizations$1.4B7.7%
- High-net-worth individuals$605M3.4%
- State and municipal entities$534M3.0%
- Pension and profit-sharing plans$155M0.9%
- Insurance companies$6.5M0.0%
- Individual clients
- 0reported
- HNW clients
- 51reported
- Pension plan clients
- 122reported
- Charitable clients
- 366reported
- Accounts
- 17,443reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $18B managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, fixedreported
- Class basis
- private_client_share=0.02 fund_share=0.37 institutional_share=0.07 related_bd=true related_bank=true bd_reps=19.0derived
Advisors registered through the firm
17 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| T•• M•••••• B•••••Chartered Financial Analyst | Seattle, Wa | Oct 21, 2010 | 18 y | 1 |
| G•••• T•••Chartered Financial Analyst | Seattle, Wa | Oct 21, 2010 | 17 y | 1 |
| E••••• B••••••••Chartered Financial Analyst | Portland, Or | Mar 28, 2012 | 26 y | 1 |
| J••••• E•••• M•••••• | Seattle, Wa | Nov 29, 2012 | 14 y | 0 |
| K••• R••••• M••••••• | Tabernash, Co | Feb 22, 2018 | 17 y | 4 |
| R••• J•••• D•••• | Ridgewood, Nj | Mar 16, 2021 | 21 y | 2 |
| C••• A••••• | Seattle, Wa | Mar 31, 2021 | 14 y | 1 |
| S••••• X• R•••Chartered Financial Analyst | Seattle, Wa | Aug 11, 2022 | 10 y | 0 |
| P•••••• M••••••Certified Financial Planner | Johns Island, Sc | Sep 6, 2022 | 30 y | 3 |
| K•••••• M•••••• M••••• | Houston, Tx | Jan 23, 2023 | 12 y | 2 |
| N••••••• A•••••• A••••• | New York, Ny | May 5, 2023 | 13 y | 0 |
| S•••••• M• D••••••• | Milton, Ga | Jun 1, 2023 | 13 y | 2 |
| C••••••• Z•••• | Seattle, Wa | Jan 25, 2024 | 10 y | 0 |
| K••• A••••• V••••• | Richmond, Va | Aug 22, 2024 | 24 y | 0 |
| M••• C••••••••• | Seattle, Wa | Sep 30, 2024 | 12 y | 0 |
| T••••••• G••••••• | Atlanta, Ga | Aug 5, 2025 | 12 y | 0 |
| S•••• M•••••• W••••••••Chartered Financial Analyst | New York, Ny | Sep 2, 2026 | 10 y | 1 |
Advisor movement
0 left, 1 joined in 12 months
net +1 in 12 months0 left in 90 days1 joined in 90 daysdeparture rate 0.0% of current headcount2 left over 36 months
Left, latest
- A•••••• L•••••• to C•••• L•••••••• L••Aug 26, 2024 · Other
- S•••••••• K••••••• B•••• to B••••• P••••• A•••••••• L••Jan 5, 2024 · Other
- H•••• R•••••••• E••••••• to C••••••••• A••••••• I••Oct 21, 2019 · Other
- R•••••• M•••• to H••••••• P•••••• W••••• M•••••••••May 28, 2019 · Other
- T••••• W••• L••••• to P•••• J•••••• I••••••••• M••••••••• L••Aug 2, 2013 · Other
- A•••••• L••••••• B•••••• to M••••••• • C••••••• I•••Jun 18, 2013 · Other
- K•• L••••• M•••• to S•••••••• A••••••• L••Sep 15, 2011 · Other
- M••• K•••••• M••••••• to R•••••• J•••• • A••••••••• I•••Jan 3, 2011 · Other
Joined, latest
- S•••• M•••••• W•••••••• from I•••••• A•••••••• I•••Sep 2, 2026 · Other
- K•••••• M•••••• M••••• from T••••••••• A••••••• I••Jan 23, 2023 · Other
- P•••••• M•••••• from M•••••• L••••• P•••••• F••••• • S•••• I•••••••••Sep 6, 2022 · Other
- C••• A••••• from B•• C•••••• A••••••• L••Mar 31, 2021 · Other
- R••• J•••• D•••• from U•• F•••••••• S••••••• I•••Mar 16, 2021 · Other
- K••• R••••• M••••••• from M•• A•••••••• A• D••••••• O• F•••••••• M••• L••Feb 22, 2018 · Other
- R•••••• M•••• from N••••••••• M••••• I••••••••• S•••••••••Mar 18, 2016 · Other
- E••••• B•••••••• from S••••••••• S••••••••• C•••••••••Mar 28, 2012 · Other
- T••••• W••• L••••• from M••••• S••••••Feb 6, 2012 · Other
- M••• K•••••• M••••••• from S••••••••• S••••••••• C•••••••••Oct 25, 2010 · Other
- A•••••• L••••••• B•••••• from S••••••••• S••••••••• C•••••••••Oct 22, 2010 · Other
- G•••• T••• from S••••••••• S••••••••• C•••••••••Oct 21, 2010 · Other
- K•• L••••• M•••• from S••••••••• S••••••••• C•••••••••Oct 21, 2010 · Other
- T•• M•••••• B••••• from N•••••••• B••••• B• L••Oct 21, 2010 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- B•••••• T••• M•••••• · Head Of Fixed Income Smas And Vice Presidentcontrolsince 11/2020 · owns less than 5%
- B••••••••• E••••• · Head Of Smas And S••••• Vice Presidentcontrolsince 05/2019 · owns less than 5%
- D••••• L••••• A•••••• · Chief Executive Officercontrolsince 11/2020 · owns less than 5%
- G••••••• M•••• W•••••• · Chief Financial Officercontrolsince 03/2022 · owns less than 5%
- K•••••• G••• · Treasurercontrolsince 03/2022 · owns less than 5%
- M••••••• J•••••• E•••• · Chief Operating Officercontrolsince 03/2024 · owns less than 5%
- N•••••••• A••• L••• · Chief Compliance Officer And S••••• Vice Presidentcontrolsince 02/2021 · owns less than 5%
- W•••• T•••• L•• · Presidentcontrolsince 03/2023 · owns less than 5%
Entity owners
- S•• A•••• M••••••••• C••••••••• · Sole Shareholderdirect · owns 75% or more
- I•••••• A•••••••• I••• · Sole Shareholderindirect · owns 75% or more of S•• A•••• M••••••••• C•••••••••
- I•••••• G•••• S•••••••• I••• · Sole Shareholderindirect · owns 75% or more of I•••••• A•••••••• I•••
- I•••••• H•••••• C•••••• •••• I••• · Sole Shareholderindirect · owns 75% or more of O••••••••• A••••••••• C••••
- I•••••• H•••••• C•••••• L•••••• · Sole Shareholderindirect · owns 75% or more of I•••••• H•••••• C•••••• •••• I•••
- I•••••• L••• · Sole Shareholderindirect · owns 75% or more of I•••••• H•••••• C•••••• L••••••
- O••••••••• A••••••••• C•••• · Sole Shareholderindirect · owns 75% or more of O••••••••• I•••
- O••••••••• I••• · Sole Shareholderindirect · owns 75% or more of I•••••• G•••• S•••••••• I•••
Related persons
Schedule D 7.A
- H••••••••• A•••• M••••••••• C•••••••••investment adviserbankpooled vehicle sponsornRAUM $386M
- Redblack Advisers, Inc.investment advisernRAUM $824M
- I•••••• A•••••••• I•••investment adviserbankyRAUM $750B
- I•••••• A•••• M••••••••• •••••• P••• L•••investment advisernRAUM $10B
- I•••••• A•••• M••••••••• •••••• L••••••investment advisernRAUM $76B
- I•••••• M••••••••• S•••investment advisernRAUM $49B
- I•••••• A•••• M••••••••• L•••investment adviserbanknRAUM $188B
- I••••••investment adviserbankpooled vehicle sponsornRAUM $20B
- I•••••• C•••••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $941B
- I•••••• C•••••• M••••••• I•••broker-dealern
- I•••••• C•• E••••• F••• 3• L•••investment adviserpooled vehicle sponsorn
- I•••••• C•• E••••• F••• I• L•••investment adviserpooled vehicle sponsorn
- I•••••• D••••••••• I•••broker-dealern
- I•••••• E••••••• Rr L.Pinvestment advisernRAUM $1.4B
- I•••••• F••• M••••••• L••pooled vehicle sponsorn
- I•••••• H••• K••• L••••••investment advisernRAUM $26B
- I•••••• I••••••••• A••••••• L••investment advisernRAUM $4.4B
- I•••••• I••••••••• M••••••••• L••pooled vehicle sponsorn
- I•••••• L••• M••••••• L••investment adviserpooled vehicle sponsornRAUM $18B
- I•••••• M••••••••• S•••pooled vehicle sponsorn
- I•••••• P••••••• L••real estaten
- I•••••• P•••••• C••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $860M
- I•••••• R••• E••••• Management S.à R.L.investment advisernRAUM $13B
- I•••••• Rr Fund L.Pinvestment adviserpooled vehicle sponsornRAUM $3.6B
- I•••••• S••••• S•••••• M••••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $29B
- I•••••• S••••••••• P•••••••• L••pooled vehicle sponsorn
- I•••••• T•••• C••••••n
- I•• ••••••• L••••••investment adviserpooled vehicle sponsorn
- O••••••••• I••investment adviserpooled vehicle sponsoryRAUM $827,684
- W• R••• • C•• L••investment adviserbankpooled vehicle sponsornRAUM $225M
Advisers that list I•••••• M•••••• A•••••••• L•• as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Seattle, Wa · principal | 7 | 0 | 0 | ||
| New York, Ny | 2 | 1 | 0 | ||
| West Chicago, Il | 0 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
- New York, NY8 employees
- Downers Grove, IL5 employees
- Atlanta, GA3 employees
- Rochester, NY1 employees
- Houston, TX
- Boston, MA
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- clients down average size upCombination · filing Mar 30, 2026private clients fell 20 percent or more while RAUM per client rose 30 percent or more: a move up-market or the departure of small accounts. RAUM $24,606,305,138 to $31,275,474,511, advisors 17 to 17, private clients 481 to 51, offices 6 to 6 (2025-03-27 to 2026-03-30)peers: other advisers, $20B and over (120)
- client count collapseChange between filings · filing Mar 30, 2026individual and HNW clients (Item 5.D) moved from 481.0 to 51.0 (-89.0%) between the annual amendments of 2025-03-27 and 2026-03-30; the peer median change was +6.0% (26 comparable advisers, 0.0th percentile of changes)peers: other advisers, $20B and over (26) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 12,544 to 17,443Jan 15, 2026 to Mar 30, 2026
- Advisory employees · 30 to 29Jan 15, 2026 to Mar 30, 2026
- BD registered reps · 14 to 19Jan 15, 2026 to Mar 30, 2026
- Charity clients · 284 to 366Jan 15, 2026 to Mar 30, 2026
- Corporate clients · 829 to 1,133Jan 15, 2026 to Mar 30, 2026
- HNW clients · 481 to 51Jan 15, 2026 to Mar 30, 2026
- Pension plan clients · 100 to 122Jan 15, 2026 to Mar 30, 2026
- Employees · 60 to 68Jan 15, 2026 to Mar 30, 2026
- Discretionary RAUM · $25B to $31BJan 15, 2026 to Mar 30, 2026
- HNW RAUM · $728M to $605MJan 15, 2026 to Mar 30, 2026
- Non-discretionary RAUM · $0 to $42.8MJan 15, 2026 to Mar 30, 2026
- Pension RAUM · $152M to $155MJan 15, 2026 to Mar 30, 2026
- RAUM · $25B to $31BJan 15, 2026 to Mar 30, 2026
- Wrap assets (manager) · $13B to $18BJan 15, 2026 to Mar 30, 2026
- Accounts · 7,462 to 12,544Nov 25, 2024 to Mar 27, 2025
- Advisory employees · 29 to 30Nov 25, 2024 to Mar 27, 2025
- BD registered reps · 15 to 14Nov 25, 2024 to Mar 27, 2025
- Charity clients · 182 to 284Nov 25, 2024 to Mar 27, 2025
- Corporate clients · 253 to 829Nov 25, 2024 to Mar 27, 2025
- HNW clients · 684 to 481Nov 25, 2024 to Mar 27, 2025
- Pension plan clients · 28 to 100Nov 25, 2024 to Mar 27, 2025
- Employees · 55 to 60Nov 25, 2024 to Mar 27, 2025
- Insurance-licensed employees · 1 to 0Nov 25, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Nov 25, 2024 to Mar 27, 2025
- Discretionary RAUM · $18B to $25BNov 25, 2024 to Mar 27, 2025
- HNW RAUM · $1.1B to $728MNov 25, 2024 to Mar 27, 2025
- Pension RAUM · $14.7M to $152MNov 25, 2024 to Mar 27, 2025
- RAUM · $18B to $25BNov 25, 2024 to Mar 27, 2025
- Wrap assets (manager) · $7.6B to $13BNov 25, 2024 to Mar 27, 2025
- Accounts · 3,496 to 7,462Oct 30, 2023 to Mar 25, 2024
- Advisory employees · 14 to 29Oct 30, 2023 to Mar 25, 2024
- BD registered reps · 12 to 15Oct 30, 2023 to Mar 25, 2024
- Charity clients · 114 to 182Oct 30, 2023 to Mar 25, 2024
- Corporate clients · 123 to 253Oct 30, 2023 to Mar 25, 2024
- HNW clients · 722 to 684Oct 30, 2023 to Mar 25, 2024
- Pension plan clients · 21 to 28Oct 30, 2023 to Mar 25, 2024
- Employees · 42 to 55Oct 30, 2023 to Mar 25, 2024
- Insurance-licensed employees · 3 to 1Oct 30, 2023 to Mar 25, 2024
- State-registered IARs · 15 to 17Oct 30, 2023 to Mar 25, 2024
- Other offices · 4 to 6Oct 30, 2023 to Mar 25, 2024
Signals
30 dated events
- I•••••• M•••••• A•••••••• L•• reported RAUM $31.3B, up 27% from $24.6B (2026-01-15 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- I•••••• M•••••• A•••••••• L•• reported RAUM $24.6B, up 40% from $17.5B (2024-11-25 to 2025-03-27)Mar 27, 2025 · RAUM change · derived
- A•••••• L•••••• left I•••••• M•••••• A•••••••• L•• for C•••• L•••••••• L•• (registered 2025-03-25)Aug 26, 2024 · Advisor changed firm · fact
- Brittany Russo (Head Of Sma Client Services And Assistant Vice President) no longer on Schedule A of I•••••• M•••••• A•••••••• L•• (listed 2024-03-25, absent 2024-07-22)Jul 22, 2024 · Control person left · inference
- I•••••• M•••••• A•••••••• L•• reported RAUM $17.5B, up 54% from $11.4B (2023-10-30 to 2024-03-25)Mar 25, 2024 · RAUM change · derived
- Elyse Jordan Mixsell (Chief Operating Officer) appeared on Schedule A of I•••••• M•••••• A•••••••• L••Mar 25, 2024 · Control person joined · fact
- S•••••••• K••••••• B•••• left I•••••• M•••••• A•••••••• L•• for B••••• P••••• A•••••••• L•• (registered 2024-01-17)Jan 5, 2024 · Advisor changed firm · fact
- I•••••• M•••••• A•••••••• L•• reported RAUM $11.4B, up 56% from $7.3B (2022-09-08 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Lik Tony Wong (President) appeared on Schedule A of I•••••• M•••••• A•••••••• L••Mar 30, 2023 · Control person joined · fact
- Gerard G•••ory Mcgreevey (President) no longer on Schedule A of I•••••• M•••••• A•••••••• L•• (listed 2022-09-08, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Janecka Annette Lege (Chief Financial Officer And Treasurer) no longer on Schedule A of I•••••• M•••••• A•••••••• L•• (listed 2021-12-17, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- G••• K••••• (Treasurer) appeared on Schedule A of I•••••• M•••••• A•••••••• L••Mar 30, 2022 · Control person joined · fact
- William Mark G•••son (Chief Financial Officer) appeared on Schedule A of I•••••• M•••••• A•••••••• L••Mar 30, 2022 · Control person joined · fact
- Christopher Stephen Volpe (Chief Compliance Officer) no longer on Schedule A of I•••••• M•••••• A•••••••• L•• (listed 2020-11-13, absent 2021-03-02)Mar 2, 2021 · Control person left · inference
- Lynn Amy Nazimiec (Chief Compliance Officer) appeared on Schedule A of I•••••• M•••••• A•••••••• L••Mar 2, 2021 · Control person joined · fact
- Janecka Annette Lege (Chief Financial Officer And Treasurer) appeared on Schedule A of I•••••• M•••••• A•••••••• L••Nov 13, 2020 · Control person joined · fact
- Brittany Russo (Head Of Client Services) appeared on Schedule A of I•••••• M•••••• A•••••••• L••Nov 13, 2020 · Control person joined · fact
- M•••••• Tim Benzel (Sr. Portfolio Manager) appeared on Schedule A of I•••••• M•••••• A•••••••• L••Nov 13, 2020 · Control person joined · fact
- A•••••• L•••• D•••• (Chief Executive Officer) appeared on Schedule A of I•••••• M•••••• A•••••••• L••Nov 13, 2020 · Control person joined · fact
- Marie Kristie Feinberg (Chief Financial Officer & Treasurer) no longer on Schedule A of I•••••• M•••••• A•••••••• L•• (listed 2020-06-29, absent 2020-11-13)Nov 13, 2020 · Control person left · inference
- Ann Lisa Cook (Chief Operating Officer) no longer on Schedule A of I•••••• M•••••• A•••••••• L•• (listed 2020-06-29, absent 2020-11-13)Nov 13, 2020 · Control person left · inference
- M•••••• Loren Starr (Chief Executive Officer) no longer on Schedule A of I•••••• M•••••• A•••••••• L•• (listed 2020-06-29, absent 2020-11-13)Nov 13, 2020 · Control person left · inference
- M•••••• Loren Starr (Chief Executive Officer) appeared on Schedule A of I•••••• M•••••• A•••••••• L••Mar 9, 2020 · Control person joined · fact
- I•••••• M•••••• A•••••••• L•• reported RAUM $5.1B, up 49% from $3.4B (2019-06-06 to 2019-12-17)Dec 17, 2019 · RAUM change · derived
- Ann Mary Picciotto (Chief Compliance Officer) no longer on Schedule A of I•••••• M•••••• A•••••••• L•• (listed 2019-06-06, absent 2019-12-17)Dec 17, 2019 · Control person left · inference
- Christopher Stephen Volpe (Chief Compliance Officer) appeared on Schedule A of I•••••• M•••••• A•••••••• L••Dec 17, 2019 · Control person joined · fact
- Gerard G•••ory Mcgreevey (President) appeared on Schedule A of I•••••• M•••••• A•••••••• L••Jun 6, 2019 · Control person joined · fact
- Philip Arthur Steinmetz (President) no longer on Schedule A of I•••••• M•••••• A•••••••• L•• (listed 2019-03-29, absent 2019-06-06)Jun 6, 2019 · Control person left · inference
- Matthew David Pfeffer (Chief Financial Officer) no longer on Schedule A of I•••••• M•••••• A•••••••• L•• (listed 2019-03-29, absent 2019-06-06)Jun 6, 2019 · Control person left · inference
- Cynthia Lo Bessette (Chief Legal Officer) no longer on Schedule A of I•••••• M•••••• A•••••••• L•• (listed 2019-03-29, absent 2019-06-06)Jun 6, 2019 · 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.
How to reach
public business contact points only, each with its source
- Website
- invesco.com/IMAreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 1-866-769-2773reportedpublic record, Form ADV, Jun 29, 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
- Other adviserderiveda rule over Items 5.D and 7.A
- RAUM per advisor
- $1.8Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026