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

Barrett Asset Management, LLC

Former SEC-registered adviserNew York, New YorkCRD 157047SEC 801-72395IAPD
Latest filing Nov 14, 2023
First filing on the tape Feb 24, 2012 · 29 filings
RAUM
$67.1M
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
18
6 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
29 filings and snapshots on the tape
RAUM$67.1M as of Apr 3, 2023
Feb 24, 2012$1.2B then
HNW client RAUM$0 as of Apr 3, 2023
Mar 6, 2018$1.6B then
State-registered IARs (5.B.3)0 as of Apr 3, 2023
Feb 24, 20120 then
Employees (5.A)18 as of Apr 3, 2023
Mar 27, 201317 then
Private funds: no history
RAUM -98% over the last fiscal year-68% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 14, 2023; 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
$33.6MderivedRAUM 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
unknownderived2 offices incl. principal (1.F.5)
RAUM growth, one year
-98%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-100%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for investment companiesreportedItem 5.G
Custody
$2.7B, 719 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
  • 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)
  • 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Investment companies$67.1M100%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
2reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$2.7B for 719 clientsreported
Compensation
% of AUMreported
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
none on the tape
    Every departureEvery arrival
    Teams: two or more advisors moving together within fourteen days, from one state
      Teams outTeams in
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Amy Kong · Chief Investment Officer, Managing Directorcontrol
        since 02/2020 · owns less than 5%
      • Triston Larry Nakamura · Chief Compliance Officercontrol
        since 05/2022 · owns less than 5%
      • Ann Christina Bater · Managing Director
        since 04/2011 · owns less than 5%
      • Wells Edwin Beck · Executive Partner & Managing Director
        since 02/2021 · owns less than 5%
      • Louise Graeme Mariette Campbell · Executive Partner & Managing Director
        since 02/2021 · owns less than 5%
      • Gray John Youngman · Managing Director
        since 04/2011 · owns less than 5%
      Entity owners
      • Corient Private Wealth LLC · Owner
        direct · owns 75% or more
      • Ci Financial Corp. · Owner
        indirect · owns 75% or more of Corient Holdings Inc · public reporting company
      • Corient Holdings Inc · Owner
        indirect · owns 75% or more of Corient Partners LLC
      • Corient Partners LLC · Owner
        indirect · owns 75% or more of Corient Private Wealth LLC
      Related persons
      Schedule D 7.A
      • Corient
        investment adviseryRAUM $165B
      Office movement
      IAPD branch city; joins and departures in 12 months
      OfficeAdvisorsJoinedLeftTeams outForming
      New York, Ny · principal000
      Offices
      Schedule D 1.F, the 25 largest
      • , 1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 738 to 2
        Mar 1, 2023 to Apr 3, 2023
      • Advisory activities · 5 to 1
        Mar 1, 2023 to Apr 3, 2023
      • Charity clients · 14 to 0
        Mar 1, 2023 to Apr 3, 2023
      • HNW clients · 719 to 0
        Mar 1, 2023 to Apr 3, 2023
      • Pension plan clients · unset to 0.0
        Mar 1, 2023 to Apr 3, 2023
      • Pooled vehicle clients · 2 to 0
        Mar 1, 2023 to Apr 3, 2023
      • Financial planning clients · 251-500 to 0
        Mar 1, 2023 to Apr 3, 2023
      • Discretionary RAUM · $2.9B to $67.1M
        Mar 1, 2023 to Apr 3, 2023
      • HNW RAUM · $2.7B to $0
        Mar 1, 2023 to Apr 3, 2023
      • Non-discretionary RAUM · $63.1M to $0
        Mar 1, 2023 to Apr 3, 2023
      • Pension RAUM · unset to 0.0
        Mar 1, 2023 to Apr 3, 2023
      • Pooled vehicle RAUM · $68.1M to $0
        Mar 1, 2023 to Apr 3, 2023
      • RAUM · $2.9B to $67.1M
        Mar 1, 2023 to Apr 3, 2023
      • Charity clients · 12 to 14
        May 27, 2021 to Mar 31, 2022
      • Accounts · 954 to 738
        May 27, 2021 to Mar 31, 2022
      • HNW clients · 697 to 719
        May 27, 2021 to Mar 31, 2022
      • Assets in custody · $2.4B to $2.7B
        May 27, 2021 to Mar 31, 2022
      • Employees · 19 to 18
        May 27, 2021 to Mar 31, 2022
      • Other offices · 0 to 1
        May 27, 2021 to Mar 31, 2022
      • Discretionary RAUM · $2.4B to $2.9B
        May 27, 2021 to Mar 31, 2022
      • HNW RAUM · $2.5B to $2.7B
        May 27, 2021 to Mar 31, 2022
      • Non-discretionary RAUM · $324M to $63.1M
        May 27, 2021 to Mar 31, 2022
      • Pension RAUM · 2935240.0 to unset
        May 27, 2021 to Mar 31, 2022
      • Pooled vehicle RAUM · $63.4M to $68.1M
        May 27, 2021 to Mar 31, 2022
      • RAUM · $2.7B to $2.9B
        May 27, 2021 to Mar 31, 2022
      • Accounts · 935 to 954
        Mar 26, 2021 to May 27, 2021
      • Advisory employees · 8 to 6
        Mar 26, 2021 to May 27, 2021
      • Charity clients · 14 to 12
        Mar 26, 2021 to May 27, 2021
      • Corporate clients · 3 to 0
        Mar 26, 2021 to May 27, 2021
      • HNW clients · 910 to 697
        Mar 26, 2021 to May 27, 2021
      • Pension plan clients · 3.0 to unset
        Mar 26, 2021 to May 27, 2021
      • Assets in custody · $2.4B to $2.4B
        Mar 26, 2021 to May 27, 2021
      • Discretionary RAUM · $2.2B to $2.4B
        Mar 26, 2021 to May 27, 2021
      • HNW RAUM · $2.3B to $2.5B
        Mar 26, 2021 to May 27, 2021
      • Non-discretionary RAUM · $302M to $324M
        Mar 26, 2021 to May 27, 2021
      • Pension RAUM · $2.7M to $2.9M
        Mar 26, 2021 to May 27, 2021
      • Pooled vehicle RAUM · $59.7M to $63.4M
        Mar 26, 2021 to May 27, 2021
      • RAUM · $2.5B to $2.7B
        Mar 26, 2021 to May 27, 2021
      • Related adviser · false to true
        Mar 26, 2021 to May 27, 2021
      • Accounts · 861 to 935
        Jul 1, 2020 to Mar 26, 2021
      Signals
      14 dated events
      • John Gray Youngman left Barrett Asset Management, Llc for Corient (registered 2023-02-16)
        Dec 6, 2023 · Advisor changed firm · fact
      • Christina Ann Bater left Barrett Asset Management, Llc for Corient (registered 2023-02-16)
        Dec 6, 2023 · Advisor changed firm · fact
      • Mariette Louise Graeme Campbell left Barrett Asset Management, Llc for Corient (registered 2023-02-16)
        Dec 6, 2023 · Advisor changed firm · fact
      • Edwin Wells Beck left Barrett Asset Management, Llc for Corient (registered 2023-02-16)
        Dec 6, 2023 · Advisor changed firm · fact
      • Amy Kong left Barrett Asset Management, Llc for Corient (registered 2023-02-16)
        Dec 6, 2023 · Advisor changed firm · fact
      • Barrett Asset Management, LLC's advisors moved to Corient (New York, NY): 5 of 5 registered, on the same day
        Dec 6, 2023 · Firm absorbed (people side) · derived
      • Owen Gilmore left Barrett Asset Management, Llc for Corient (registered 2023-02-16)
        Jul 7, 2023 · Advisor changed firm · fact
      • Barrett Asset Management, Llc reported RAUM $67.1M, down 98% from $2.9B (2023-03-01 to 2023-04-03)
        Apr 3, 2023 · RAUM change · derived
      • Triston Larry Nakamura (Chief Compliance Officer) appeared on Schedule A of Barrett Asset Management, Llc
        May 27, 2022 · Control person joined · fact
      • Amy Kong (Chief Investment Officer, Managing Director) appeared on Schedule A of Barrett Asset Management, Llc
        May 27, 2022 · Control person joined · fact
      • David John Barrett Ii (Chairman Of The Board) no longer on Schedule A of Barrett Asset Management, Llc (listed 2021-03-26, absent 2021-05-27)
        May 27, 2021 · Control person left · inference
      • Joseph Robert Milnamow (President) no longer on Schedule A of Barrett Asset Management, Llc (listed 2021-03-26, absent 2021-05-27)
        May 27, 2021 · Control person left · inference
      • Hepburn Peter Shriver (Ceo) no longer on Schedule A of Barrett Asset Management, Llc (listed 2021-03-26, absent 2021-05-27)
        May 27, 2021 · Control person left · inference
      • Amy Kong (Chief Investment Officer, Managing Director) appeared on Schedule A of Barrett Asset Management, Llc
        Mar 18, 2020 · Control person joined · fact
      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