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

Barclays Asset Management Group LLC

Former SEC-registered adviserSanta Monica, CaliforniaCRD 156230SEC 801-72475IAPD
Latest filing Apr 22, 2013
First filing on the tape Mar 23, 2012 · 7 filings
RAUM
$2.9B
reported, Item 5.F
Discretionary
16%
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
12
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
7 filings and snapshots on the tape
RAUM$2.9B as of Apr 1, 2013
Mar 23, 2012$2.4B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Apr 1, 2013
Mar 23, 20120 then
Employees (5.A): 12
Private funds: no history
RAUM +22% over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Apr 22, 2013; 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
$964MderivedRAUM over accounts (5.F.2.f)
Discretionary
16%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
+22%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, performance-basedreportedItem 5.E
Advisory activities
portfolio management for businesses and institutions, otherreportedItem 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
  • 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)
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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
3reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, 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
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Scott Matthew Barrett · Director, Presidentcontrol
        since 01/2011 · owns less than 5%
      • Joseph Michael Keegan · Directorcontrol
        since 01/2011 · owns less than 5%
      • Hyunjin Holly Kim · Directorcontrol
        since 01/2011 · owns less than 5%
      • Anthony Phillip Nash · Directorcontrol
        since 01/2011 · owns less than 5%
      • John David Poulten · Chief Financial Officer, Chief Operating Officer, Directorcontrol
        since 01/2011 · owns less than 5%
      • Curry Michael Montgomery · Chief Compliance Officer, Director
        since 01/2011 · owns less than 5%
      Entity owners
      • Barclays Bank Plc · Sole Member
        direct · owns 75% or more · public reporting company
      • Barclays Plc · Sole Sharholder
        indirect · owns 75% or more of Barclays Bank Plc · public reporting company
      Related persons
      Schedule D 7.A
      • Barclays Bank Plc
        y
      • Barclays Capital Inc.
        broker-dealerinvestment adviserbanktrust companypooled vehicle sponsornRAUM $13B
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Discretionary RAUM · $2.4B to $450M
        Apr 1, 2013 to Apr 22, 2013
      • Non-discretionary RAUM · $450M to $2.4B
        Apr 1, 2013 to Apr 22, 2013
      • Advisory employees · unset to 10.0
        Jul 6, 2012 to Apr 1, 2013
      • Employees · unset to 12.0
        Jul 6, 2012 to Apr 1, 2013
      • Discretionary RAUM · $300M to $2.4B
        Jul 6, 2012 to Apr 1, 2013
      • Non-discretionary RAUM · $2.1B to $450M
        Jul 6, 2012 to Apr 1, 2013
      • RAUM · $2.4B to $2.9B
        Jul 6, 2012 to Apr 1, 2013
      Signals
      No event on the tape.
      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