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
R••••••••• A•• C• W••••• M••••••••• U• L••••••
Latest filing Jul 30, 2026
First filing on the tape Mar 28, 2012 · 35 filings
SEC status approved since Oct 4, 2011
RAUM
$28B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
38%
$11B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
304
46 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
35 filings and snapshots on the tape
RAUM$28B as of Jul 30, 2026
Jul 5, 2012$5.0B then
HNW client RAUM$11B as of Jul 30, 2026
Mar 29, 2018$9.0B then
State-registered IARs (5.B.3)0 as of Jul 30, 2026
Jul 30, 20130 then
Employees (5.A)304 as of Jul 30, 2026
Jul 30, 201375 then
Private funds1 as of Mar 29, 2018
Jun 16, 20161 then
RAUM +16% over the last fiscal year+16% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Dual wealth and asset manager · private-client share 20 to 60 percent and fund or institutional share at least 30 percent
- 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
- $2.6MderivedHNW RAUM over HNW clients
- Average account
- $6.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 2.4%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
- +8.5%derived
- Compensation
- percentage of assets, commissionsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$17B59%
- High-net-worth individuals$11B38%
- Charitable organizations$633M2.2%
- Pension and profit-sharing plans$51.8M0.2%
- Corporations and businesses$51.5M0.2%
- Individual clients
- 0reported
- HNW clients
- 4,220reported
- Pension plan clients
- 60reported
- Charitable clients
- 96reported
- Accounts
- 4,441reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, commissionsreported
- Class basis
- private_client_share=0.38 fund_share=0.59 institutional_share=0.02 related_bd=false related_bank=false bd_reps=0.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| R• W••••• M••••••••• P••••••••• L•• • N•• C•••• A•••••• F•••no longer reported | Other Private Fund | $7.8M | 3 | Jun 16, 2016 |
Owners and control persons
Schedule A and B, latest filing
- B••••• C••••••••• L•••• R••• · Directorcontrolsince 11/2019 · owns less than 5%
- C••••••• C••••••••• L•••• · Directorcontrolsince 08/2016 · owns less than 5%
- C•••••• B•••••••• J••• S•••••• · Directorcontrolsince 05/2024 · owns less than 5%
- H•••••• S••••• B•••••• · Directorcontrolsince 07/2023 · owns less than 5%
- K•••• J•••• A••••• · Directorcontrolsince 03/2022 · owns less than 5%
- M••••••• A••••••••• A••••• · Directorcontrolsince 01/2020 · owns less than 5%
- M••••••• J••••• K••• · Directorcontrolsince 02/2025 · owns less than 5%
- O••••••• T•••• K•••••• · Chief Compliance Officercontrolsince 06/2023 · owns less than 5%
- P•••••• G•••• A••• · Directorcontrolsince 01/2013 · owns less than 5%
- W•••••• H••••• J•••• · Directorcontrolsince 09/2015 · owns less than 5%
- W•••••••• J••••••• · Directorcontrolsince 01/2020 · owns less than 5%
- D• R••••••••• A••••••••• G•• F•••••••• · Elected Managercontrolsince 10/2023 · owns F of R••••••••• • C• S••
Entity owners
- R••••••••• • C• W••••• • A•••• M••••••••• S•• · Direct Ownerdirect · owns 75% or more
- R••••••••• • C• S•• · Shareholderindirect · owns 75% or more of R••••••••• • C• W••••• • A•••• M••••••••• S••
Related persons
Schedule D 7.A
- R••••• ••••••• •••••••••investment advisern
- R••••••••• • C• B••• A• Z•••••investment advisern
- R••••••••• • C• B••• I••••••••• L••••••investment advisern
- R••••••••• • C• M••••• M••••• S•investment advisern
- R••••••••• • C• V••••••••• G•••investment advisern
- R••••••••• • C• W••••• M••••••••• I•••• S•• S•••••investment advisern
- R••••••••• • C• W••••• M••••••••• M••••• S••investment advisern
- R••••••••• • C• W••••• M••••••••• S••••• A•••• S•••investment advisern
Advisers that list R••••••••• A•• C• W••••• M••••••••• U• L•••••• as a related person
- 157707 y
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- control person changedChange between filings · filing Jul 30, 2026C•••••• B•••••••• J••• S•••••• (DIRECTOR) appeared on Schedule A between the filings of 2024-03-18 and 2026-07-30peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 30, 2026M••••••• J••••• K••• (CHIEF EXECUTIVE OFFICER) appeared on Schedule A between the filings of 2024-03-18 and 2026-07-30peers: independent wealth managers, $20B and over (84)
- control person changedChange between filings · filing Jul 30, 2026D• R••••••••• A••••••••• G•• F•••••••• (ELECTED MANAGER) left Schedule A between the filings of 2024-03-18 and 2026-07-30peers: independent wealth managers, $20B and over (84)
What changed
consecutive filings, newest first
- Accounts · 4,109 to 4,441Mar 28, 2025 to Mar 30, 2026
- Advisory employees · 44 to 46Mar 28, 2025 to Mar 30, 2026
- Charity clients · 94 to 96Mar 28, 2025 to Mar 30, 2026
- Corporate clients · 29 to 27Mar 28, 2025 to Mar 30, 2026
- HNW clients · 3,891 to 4,220Mar 28, 2025 to Mar 30, 2026
- Pooled vehicle clients · 25 to 27Mar 28, 2025 to Mar 30, 2026
- Employees · 264 to 304Mar 28, 2025 to Mar 30, 2026
- Discretionary RAUM · $24B to $28BMar 28, 2025 to Mar 30, 2026
- HNW RAUM · $10B to $11BMar 28, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $391M to $445MMar 28, 2025 to Mar 30, 2026
- Pension RAUM · $49.6M to $51.8MMar 28, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $14B to $17BMar 28, 2025 to Mar 30, 2026
- RAUM · $24B to $28BMar 28, 2025 to Mar 30, 2026
- Accounts · 3,646 to 4,109Mar 18, 2024 to Mar 28, 2025
- Advisory employees · 42 to 44Mar 18, 2024 to Mar 28, 2025
- Charity clients · 89 to 94Mar 18, 2024 to Mar 28, 2025
- Corporate clients · 25 to 29Mar 18, 2024 to Mar 28, 2025
- HNW clients · 3,437 to 3,891Mar 18, 2024 to Mar 28, 2025
- Pension plan clients · 59 to 60Mar 18, 2024 to Mar 28, 2025
- Employees · 274 to 264Mar 18, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 18, 2024 to Mar 28, 2025
- HQ state · unset to Mar 18, 2024 to Mar 28, 2025
- Discretionary RAUM · $22B to $24BMar 18, 2024 to Mar 28, 2025
- HNW RAUM · $10.0B to $10BMar 18, 2024 to Mar 28, 2025
- Non-discretionary RAUM · $336M to $391MMar 18, 2024 to Mar 28, 2025
- Pension RAUM · $51.2M to $49.6MMar 18, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $12B to $14BMar 18, 2024 to Mar 28, 2025
- RAUM · $23B to $24BMar 18, 2024 to Mar 28, 2025
- Accounts · 3,197 to 3,646Jun 29, 2023 to Mar 18, 2024
- Advisory employees · 44 to 42Jun 29, 2023 to Mar 18, 2024
- Charity clients · 81 to 89Jun 29, 2023 to Mar 18, 2024
- Corporate clients · 16 to 25Jun 29, 2023 to Mar 18, 2024
- HNW clients · 2,527 to 3,437Jun 29, 2023 to Mar 18, 2024
- Pension plan clients · 55 to 59Jun 29, 2023 to Mar 18, 2024
- Pooled vehicle clients · 24 to 25Jun 29, 2023 to Mar 18, 2024
- Commission compensation · false to trueJun 29, 2023 to Mar 18, 2024
- Employees · 209 to 274Jun 29, 2023 to Mar 18, 2024
- Discretionary RAUM · $18B to $22BJun 29, 2023 to Mar 18, 2024
- HNW RAUM · $7.0B to $10.0BJun 29, 2023 to Mar 18, 2024
- Non-discretionary RAUM · $265M to $336MJun 29, 2023 to Mar 18, 2024
Signals
17 dated events
- Beverly Susan Hudson (Director) appeared on Schedule A of R••••••••• A•• C• W••••• M••••••••• U• L••••••Mar 18, 2024 · Control person joined · fact
- Guy Francesco Alexandre De Rothschild (Elected Manager) appeared on Schedule A of R••••••••• A•• C• W••••• M••••••••• U• L••••••Mar 18, 2024 · Control person joined · fact
- Kumar J••• Malik (Director, Coo) no longer on Schedule A of R••••••••• A•• C• W••••• M••••••••• U• L•••••• (listed 2023-06-29, absent 2024-03-18)Mar 18, 2024 · Control person left · inference
- J••• W•••••• N•••••• (Director) no longer on Schedule A of R••••••••• A•• C• W••••• M••••••••• U• L•••••• (listed 2023-06-29, absent 2024-03-18)Mar 18, 2024 · Control person left · inference
- K•••••• T••• O•••••• (Chief Compliance Officer) appeared on Schedule A of R••••••••• A•• C• W••••• M••••••••• U• L••••••Jun 29, 2023 · Control person joined · fact
- Kaur Hardeep Chana (Cco) no longer on Schedule A of R••••••••• A•• C• W••••• M••••••••• U• L•••••• (listed 2023-03-16, absent 2023-06-29)Jun 29, 2023 · Control person left · inference
- A••••• J••• K••• (Director) appeared on Schedule A of R••••••••• A•• C• W••••• M••••••••• U• L••••••Mar 23, 2022 · Control person joined · fact
- J••• W•••••• N•••••• (Director) appeared on Schedule A of R••••••••• A•• C• W••••• M••••••••• U• L••••••Mar 23, 2022 · Control person joined · fact
- Ann Melanie Troop (Cco) no longer on Schedule A of R••••••••• A•• C• W••••• M••••••••• U• L•••••• (listed 2020-12-21, absent 2021-03-26)Mar 26, 2021 · Control person left · inference
- Kaur Hardeep Chana (Cco) appeared on Schedule A of R••••••••• A•• C• W••••• M••••••••• U• L••••••Mar 26, 2021 · Control person joined · fact
- Louis Rene Christian Bouet (Director) appeared on Schedule A of R••••••••• A•• C• W••••• M••••••••• U• L••••••Dec 21, 2020 · Control person joined · fact
- Ann Melanie Troop (Cco) appeared on Schedule A of R••••••••• A•• C• W••••• M••••••••• U• L••••••Jun 29, 2020 · Control person joined · fact
- Elaine Kim Trueman (Cco) no longer on Schedule A of R••••••••• A•• C• W••••• M••••••••• U• L•••••• (listed 2020-04-17, absent 2020-06-29)Jun 29, 2020 · Control person left · inference
- R••••••••• A•• C• W••••• M••••••••• U• L•••••• reported RAUM $13.9B, up 37% from $10.2B (2019-04-01 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Elaine Kim Trueman (Cco) appeared on Schedule A of R••••••••• A•• C• W••••• M••••••••• U• L••••••Mar 30, 2020 · Control person joined · fact
- Edward Morgan Gareth J•••son (Director) no longer on Schedule A of R••••••••• A•• C• W••••• M••••••••• U• L•••••• (listed 2018-11-01, absent 2019-03-28)Mar 28, 2019 · Control person left · inference
- Kumar J••• Malik (Chief Operations Officer) appeared on Schedule A of R••••••••• A•• C• W••••• M••••••••• U• L••••••Mar 28, 2019 · 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.
How to reach
public business contact points only, each with its source
- Business email
- gawebsiteemails@rothschildandco.comreportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 210-720-9520reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-300-1900reportedpublished by the firm, firm site, Sep 17, 2026
- Business phone
- 212-403-3500reportedpublished by the firm, firm site, Sep 17, 2026
- Firm profile
- linkedin.com/company/rothschildandcoreportedpublic record, Form ADV, Sep 18, 2026
- Website
- H•••••••••reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- +44 20 7280 5000reportedpublic record, Form ADV, Jul 30, 2026
- Contact form
- rothschildandco.com/en/contact-usreportedpublished by the firm, firm site, Sep 17, 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
- Wealth manager with institutional or fund businessderiveda 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