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
Secor Investment Advisors, LP
Latest filing Apr 28, 2026
First filing on the tape Nov 7, 2011 · 30 filings
SEC status approved since Oct 13, 2010
RAUM
$13B
reported, Item 5.F
Discretionary
1.7%
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
44
24 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
3
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$13B as of Apr 28, 2026
Mar 30, 2012$7.1B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 28, 2026
Mar 30, 20120 then
Employees (5.A)44 as of Apr 28, 2026
Mar 26, 201315 then
Private funds3 as of Apr 28, 2026
Mar 29, 20182 then
RAUM +0.5% over the last fiscal year-0.1% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Apr 28, 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
- $798MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 1.7%derivedof RAUM
- Institutional
- 88%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
- +0.5%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 fees, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $703M, 1 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pension and profit-sharing plans$11B88%
- Pooled investment vehicles$1.4B11%
- Charitable organizations$65.8M0.5%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 12reported
- Charitable clients
- 1reported
- Accounts
- 16reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $703M for 1 clientsreported
- Compensation
- % of AUM, fixed, performancereported
- 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
none on the tape
Joined, latest
none on the tape
Private funds
2 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Global Value Property Fund Scsp Sicav-Sif | Other Private Fund | $752M | 7 | Mar 29, 2018 |
| Mars Evolution Fund Spc | Other Private Fund | $577M | 4 | Sep 29, 2017 |
Owners and control persons
Schedule A and B, latest filing
- Dawn Drakeford · Director Of Financecontrolsince 01/2023 · owns less than 5%
- Leigh Pattie Hand · Chief Compliance Officercontrolsince 12/2015 · owns less than 5%
- Tony Duen-Li Kao · Chief Investment Officer/Chief Executive Officercontrolsince 08/2010 · owns less than 5%
- Joseph Raymond Iwanowski · Non-Managing Membercontrolsince 01/2022 · owns 50% to 75% of Secor Partners, LLC
- Tony Duen-Li Kao · Managing Member And Chief Executive Officercontrolsince 08/2010 · owns 50% to 75% of Secor Partners, LLC
- Tony Duen-Li Kao · Limited Partnercontrolsince 08/2010 · owns 50% to 75% of Secor Asset Management, LP
Entity owners
- Secor Asset Management, LP · Limited Partnerdirect · owns 75% or more
- Secor Partners III, LLC · General Partnerdirect · owns less than 5%
- Secor Partners, LLC · General Partnerindirect · owns F of Secor Asset Management, LP
Related persons
Schedule D 7.A
- Secor Gp S.A R.L.pooled vehicle sponsorn
- Mercer Investment Solutions LLCinvestment adviserbanknRAUM $2.2B
- Secor Multi-Asset Real Trust, LLCpooled vehicle sponsorn
- Secor Pe Partners, LLCpooled vehicle sponsorn
Advisers that list Secor Investment Advisors, LP as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Private funds · 2 to 3Mar 30, 2026 to Apr 28, 2026
- Non-discretionary RAUM · $13B to $13BMar 30, 2026 to Apr 28, 2026
- Pooled vehicle RAUM · $1.4B to $1.4BMar 30, 2026 to Apr 28, 2026
- RAUM · $13B to $13BMar 30, 2026 to Apr 28, 2026
- Accounts · 17 to 16Jun 30, 2025 to Mar 30, 2026
- Advisory employees · 25 to 24Jun 30, 2025 to Mar 30, 2026
- Charity clients · unset to 1.0Jun 30, 2025 to Mar 30, 2026
- Pooled vehicle clients · 4 to 2Jun 30, 2025 to Mar 30, 2026
- Assets in custody · $695M to $703MJun 30, 2025 to Mar 30, 2026
- Employees · 43 to 44Jun 30, 2025 to Mar 30, 2026
- Discretionary RAUM · $268M to $215MJun 30, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $12B to $13BJun 30, 2025 to Mar 30, 2026
- Pension RAUM · $11B to $11BJun 30, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.4B to $1.4BJun 30, 2025 to Mar 30, 2026
- RAUM · $13B to $13BJun 30, 2025 to Mar 30, 2026
- Financial planning clients · unset to Mar 24, 2025 to Jun 30, 2025
- Advisory employees · 23 to 25Mar 25, 2024 to Mar 24, 2025
- Assets in custody · $635M to $695MMar 25, 2024 to Mar 24, 2025
- Employees · 41 to 43Mar 25, 2024 to Mar 24, 2025
- Discretionary RAUM · $292M to $268MMar 25, 2024 to Mar 24, 2025
- Non-discretionary RAUM · $13B to $12BMar 25, 2024 to Mar 24, 2025
- Pension RAUM · $12B to $11BMar 25, 2024 to Mar 24, 2025
- Pooled vehicle RAUM · $1.4B to $1.4BMar 25, 2024 to Mar 24, 2025
- RAUM · $13B to $13BMar 25, 2024 to Mar 24, 2025
- Advisory employees · 24 to 23Mar 30, 2023 to Mar 25, 2024
- Charity clients · 1.0 to unsetMar 30, 2023 to Mar 25, 2024
- Assets in custody · $779M to $635MMar 30, 2023 to Mar 25, 2024
- Employees · 39 to 41Mar 30, 2023 to Mar 25, 2024
- Discretionary RAUM · $254M to $292MMar 30, 2023 to Mar 25, 2024
- Non-discretionary RAUM · $13B to $13BMar 30, 2023 to Mar 25, 2024
- Pension RAUM · $11B to $12BMar 30, 2023 to Mar 25, 2024
- Pooled vehicle RAUM · $1.4B to $1.4BMar 30, 2023 to Mar 25, 2024
- RAUM · $13B to $13BMar 30, 2023 to Mar 25, 2024
- Accounts · 16 to 17Jan 24, 2023 to Mar 30, 2023
- Advisory employees · 25 to 24Jan 24, 2023 to Mar 30, 2023
- Charity clients · unset to 1.0Jan 24, 2023 to Mar 30, 2023
- Assets in custody · $714M to $779MJan 24, 2023 to Mar 30, 2023
- Employees · 36 to 39Jan 24, 2023 to Mar 30, 2023
- Discretionary RAUM · $307M to $254MJan 24, 2023 to Mar 30, 2023
- Non-discretionary RAUM · $17B to $13BJan 24, 2023 to Mar 30, 2023
Signals
4 dated events
- Secor Investment Advisors, Lp no longer on the SEC adviser roster (last listed 2026-06-01, RAUM $12.8B)Jul 1, 2026 · Left the SEC roster · derived
- Dawn Drakeford (Director Of Finance) appeared on Schedule A of Secor Investment Advisors, LpMar 25, 2024 · Control person joined · fact
- Secor Investment Advisors, Lp reported RAUM $12.8B, down 27% from $17.5B (2023-01-24 to 2023-03-30)Mar 30, 2023 · RAUM change · derived
- Pinar Saide Ilgar (Chief Financial Officer) no longer on Schedule A of Secor Investment Advisors, Lp (listed 2022-04-29, absent 2023-01-24)Jan 24, 2023 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Secor Investment Advisors, LP · Family Officesshared crd · office
- Secor Investment Advisors, LP · Independent Sponsorsshared crd · capital_provider
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