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
Dbx Advisors LLC
Latest filing Sep 16, 2026
First filing on the tape Mar 30, 2012 · 92 filings
SEC status approved since Sep 27, 2010
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
53
10 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
92 filings and snapshots on the tape
RAUM$29B as of May 28, 2026
Mar 30, 2012$44.0M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 28, 2026
Mar 30, 20120 then
Employees (5.A)53 as of May 28, 2026
Mar 27, 20137 then
Private funds: no history
RAUM +16% over the last fiscal year+17% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 16, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- 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
- $29BderivedRAUM 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
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +16%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- marketing includes testimonials (5.L.1.c)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$29B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 1reported
- Financial planning clients
- n/areported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=20.0 bank_owner=truederived
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
- Joseph Michael Gilligan · Elected Manager/Chief Financial Officercontrolsince 09/2012 · owns less than 5%
- Freddi Klassen · Elected Manager / Chief Operating Officercontrolsince 11/2016 · owns less than 5%
- Frederick Arne Noack · Chief Executive Officer & Elected Managercontrolsince 09/2023 · owns less than 5%
- Hepsen Uzcan · Elected Managercontrolsince 07/2023 · owns less than 5%
- Joseph Frank Gecsedi · Chief Compliance Officersince 08/2010 · owns less than 5%
- Caroline Pearson · Chief Legal Officersince 03/2020 · owns less than 5%
Entity owners
- Dws USA Corporation · Direct Ownerdirect · owns 75% or more
- Db Beteiligungs Holding Gmbh · Shareholderindirect · owns 75% or more of Dws Group Gmbh & Co. Kgaa
- Deutsche Bank Ag · Shareholderindirect · owns 75% or more of Db Beteiligungs Holding Gmbh · public reporting company
- Dws Group Gmbh & Co. Kgaa · Shareholderindirect · owns 75% or more of Dws USA Corporation
Related persons
Schedule D 7.A
- Deutsche Bank Agbroker-dealerpooled vehicle sponsorCPO or CTAy
- Deutsche Bank Securities Inc.broker-dealerinvestment adviserbanktrust companyn
- Dws Distributors, Inc.broker-dealern
- Dws Investment Management Americas, Inc.investment adviserbanknRAUM $200B
- Rreef America L.L.C.investment adviserbanknRAUM $34B
Advisers that list Dbx Advisors LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · to unsetMay 28, 2026 to Sep 16, 2026
- Succession · false to unsetMay 28, 2026 to Sep 16, 2026
- Advisory employees · 11 to 10Dec 12, 2025 to Mar 30, 2026
- BD registered reps · 23 to 20Dec 12, 2025 to Mar 30, 2026
- Discretionary RAUM · $25B to $29BDec 12, 2025 to Mar 30, 2026
- RAUM · $25B to $29BDec 12, 2025 to Mar 30, 2026
- Financial planning clients · unset to Jun 24, 2025 to Jul 11, 2025
- BD registered reps · 22 to 23Mar 5, 2025 to Apr 30, 2025
- Employees · 37 to 53Mar 5, 2025 to Apr 30, 2025
- Discretionary RAUM · $20B to $25BMar 5, 2025 to Apr 30, 2025
- RAUM · $20B to $25BMar 5, 2025 to Apr 30, 2025
- Advisory employees · 9 to 11Mar 7, 2024 to Mar 28, 2024
- BD registered reps · 14 to 22Mar 7, 2024 to Mar 28, 2024
- Employees · 23 to 37Mar 7, 2024 to Mar 28, 2024
- Discretionary RAUM · $18B to $20BMar 7, 2024 to Mar 28, 2024
- RAUM · $18B to $20BMar 7, 2024 to Mar 28, 2024
- Advisory employees · 7 to 9Mar 20, 2023 to Mar 31, 2023
- BD registered reps · 8 to 14Mar 20, 2023 to Mar 31, 2023
- Employees · 18 to 23Mar 20, 2023 to Mar 31, 2023
- Discretionary RAUM · $24B to $18BMar 20, 2023 to Mar 31, 2023
- RAUM · $24B to $18BMar 20, 2023 to Mar 31, 2023
- Advisory employees · 10 to 7Jan 11, 2022 to Mar 31, 2022
- BD registered reps · 11 to 8Jan 11, 2022 to Mar 31, 2022
- Employees · 23 to 18Jan 11, 2022 to Mar 31, 2022
- Discretionary RAUM · $20B to $24BJan 11, 2022 to Mar 31, 2022
- RAUM · $20B to $24BJan 11, 2022 to Mar 31, 2022
- Accounts · 33 to 1Mar 5, 2021 to Mar 31, 2021
- Advisory employees · 12 to 10Mar 5, 2021 to Mar 31, 2021
- BD registered reps · 12 to 11Mar 5, 2021 to Mar 31, 2021
- Discretionary RAUM · $16B to $20BMar 5, 2021 to Mar 31, 2021
- RAUM · $16B to $20BMar 5, 2021 to Mar 31, 2021
- Accounts · 38 to 33Dec 6, 2019 to Mar 30, 2020
- Advisory employees · 14 to 12Dec 6, 2019 to Mar 30, 2020
- BD registered reps · 19 to 12Dec 6, 2019 to Mar 30, 2020
- Employees · 37 to 23Dec 6, 2019 to Mar 30, 2020
- Other offices · 1 to 0Dec 6, 2019 to Mar 30, 2020
- Discretionary RAUM · $11B to $16BDec 6, 2019 to Mar 30, 2020
- RAUM · $11B to $16BDec 6, 2019 to Mar 30, 2020
- Accounts · 35 to 38Nov 15, 2018 to Mar 28, 2019
- Advisory employees · 15 to 14Nov 15, 2018 to Mar 28, 2019
Signals
6 dated events
- Hepsen Uzcan (Elected Manager) appeared on Schedule A of Dbx Advisors LlcJul 27, 2023 · Control person joined · fact
- Frederick Arne Noack (Chief Executive Officer) appeared on Schedule A of Dbx Advisors LlcJun 17, 2021 · Control person joined · fact
- Antony Luke Oliver (Elected Manager / Chief Executive Officer / Chief Investment Officer) no longer on Schedule A of Dbx Advisors Llc (listed 2020-07-17, absent 2021-02-05)Feb 5, 2021 · Control person left · inference
- Dbx Advisors Llc reported RAUM $16.4B, up 54% from $10.7B (2019-12-06 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Antony Luke Oliver (Elected Manager / Chief Executive Officer / Chief Investment Officer) appeared on Schedule A of Dbx Advisors LlcAug 6, 2019 · Control person joined · fact
- Teresa Fiona Bassett (Elected Manager/Chief Executive Officer/Chief Investment Officer) no longer on Schedule A of Dbx Advisors Llc (listed 2019-03-28, absent 2019-06-28)Jun 28, 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
- Firm profile
- linkedin.com/company/dwsgroupreportedpublic record, Form ADV, Sep 17, 2026
- Website
- DWS.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-454-4500reportedpublic record, Form ADV, Sep 16, 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