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
Usaa Asset Management Company
Latest filing May 9, 2019
First filing on the tape Nov 14, 2011 · 25 filings
RAUM
$148B
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
100
71 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$148B as of Mar 29, 2019
Mar 30, 2012$89B then
HNW client RAUM$0 as of Mar 29, 2019
Mar 29, 2018$0 then
State-registered IARs (5.B.3)1 as of Mar 29, 2019
Apr 1, 20135 then
Employees (5.A)100 as of Mar 29, 2019
Apr 1, 201353 then
Private funds: no history
RAUM -2.0% over the last fiscal year+5.1% a year over threeIARs 0 to 1
Practice profile
derived from the filing of May 9, 2019; every figure names its basis
- RAUM per advisor
- $148BderivedRAUM 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
- $2.3BderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 33%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 100.0derivedItem 5.A over advisors
- Advisors per office
- 1.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -2.0%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-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 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
- 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)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$75B50%
- Insurance companies$48B33%
- Banks and thrifts$23B15%
- Corporations and businesses$2.3B1.6%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 64reported
- 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
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Jean Donna Baggerly · Vp, Insurance Company Portfolioscontrolsince 10/2011 · owns less than 5%
- Meharg Julianne Bass · Vice Presidentcontrolsince 03/2017 · owns less than 5%
- Charles John Bonnell · Vice Presidentcontrolsince 03/2017 · owns less than 5%
- Gail Regina Conklin · Vice Presidentcontrolsince 03/2017 · owns less than 5%
- Kevin Charles Craft · Vp, Investment Operationscontrolsince 10/2011 · owns less than 5%
- Laura Diana Dominguez · Senior Financial Officer And Treasurercontrolsince 03/2016 · owns less than 5%
- Brooks Charles Englehardt · Director, Presidentcontrolsince 04/2013 · owns less than 5%
- Michael Anthony Era · Vp, Money Market Fundscontrolsince 10/2011 · owns less than 5%
- James Arnold Espe · Vp, Mutual Fund Portfolioscontrolsince 10/2011 · owns less than 5%
- Sally Fortier Murphy · Assistant Secretarycontrolsince 02/2019 · owns less than 5%
- Ann Stephanie Higby · Chief Compliance Officercontrolsince 03/2012 · owns less than 5%
- Daryl Jeffrey Hill · Vp, Investments Compliancecontrolsince 12/2013 · owns less than 5%
- Ahmad Wasif Latif · Vp, Equity Investmentscontrolsince 10/2011 · owns less than 5%
- Davies Martha Leiper · Senior Vice President, Controllercontrolsince 05/2018 · owns less than 5%
- Sean Daniel Mcnamara · Director, Chairman Of The Boardcontrolsince 04/2013 · owns less than 5%
- Liana Kristen Millan · Secretarycontrolsince 02/2019 · owns less than 5%
- Keith Donald Sloane · Vice Presidentcontrolsince 02/2017 · owns less than 5%
- Charles John Spear · Director, Svp Chief Investment Officercontrolsince 11/2016 · owns less than 5%
- Patrick John Toohey · Vp, Equity Investmentscontrolsince 10/2011 · owns less than 5%
- Alan Patrick Wageman · Vp Taxescontrolsince 08/2011 · owns less than 5%
Entity owners
- Usaa Investment Corporation · Shareholderdirect · owns 75% or more
- United Services Automobile Association · Shareholderindirect · owns 75% or more of Usaa Capital Corporation
- Usaa Capital Corporation · Shareholderindirect · owns 75% or more of Usaa Investment Corporation
Related persons
Schedule D 7.A
- Catastrophe Reinsurance Companyreal estaten
- Enterprise Indemnity Captive Insurance Comapny, Inc.real estaten
- Garrison Property And Casualty Insurance Companyreal estaten
- United Services Automobile Associationreal estatey
- Usaa Annuity Services Corporationreal estaten
- Usaa Capital Coporationy
- Usaa Casualty Insurance Companyreal estaten
- Usaa County Mutual Insurancereal estaten
- Usaa Federal Savings Bankn
- Usaa Financial Advisors, Inc.broker-dealern
- Usaa Financial Planning Services Insurance Agency, Inc.real estaten
- Usaa General Indemnity Companyreal estaten
- Usaa Insurance Agency, Inc.real estaten
- Usaa Investment Services Companybroker-dealerinvestment advisern
- Usaa Life Insurance Companyreal estaten
- Usaa Life Insurance Company Of New Yorkreal estaten
- Usaa Real Estate Companyinvestment companypooled vehicle sponsorn
- Usaa Savings Bankn
Advisers that list Usaa Asset Management Company as a related person
- 106352 n
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 68 to 64Feb 20, 2019 to Mar 29, 2019
- Advisory employees · 74 to 71Feb 20, 2019 to Mar 29, 2019
- BD registered reps · 0 to 2Feb 20, 2019 to Mar 29, 2019
- Employees · 109 to 100Feb 20, 2019 to Mar 29, 2019
- Insurance-licensed employees · 0 to 1Feb 20, 2019 to Mar 29, 2019
- State-registered IARs · 0 to 1Feb 20, 2019 to Mar 29, 2019
- Discretionary RAUM · $151B to $148BFeb 20, 2019 to Mar 29, 2019
- RAUM · $151B to $148BFeb 20, 2019 to Mar 29, 2019
- Accounts · 65 to 68Sep 29, 2017 to Mar 29, 2018
- Advisory employees · 0 to 74Sep 29, 2017 to Mar 29, 2018
- Advisory activities · 3 to 5Sep 29, 2017 to Mar 29, 2018
- Charity clients · unset to 0.0Sep 29, 2017 to Mar 29, 2018
- Corporate clients · unset to 0.0Sep 29, 2017 to Mar 29, 2018
- HNW clients · unset to 0.0Sep 29, 2017 to Mar 29, 2018
- Individual clients · unset to 0.0Sep 29, 2017 to Mar 29, 2018
- Pension plan clients · unset to 0.0Sep 29, 2017 to Mar 29, 2018
- Pooled vehicle clients · unset to 0.0Sep 29, 2017 to Mar 29, 2018
- Employees · 74 to 109Sep 29, 2017 to Mar 29, 2018
- Other offices · unset to 0.0Sep 29, 2017 to Mar 29, 2018
- Discretionary RAUM · $136B to $151BSep 29, 2017 to Mar 29, 2018
- HNW RAUM · unset to 0.0Sep 29, 2017 to Mar 29, 2018
- Individual RAUM · unset to 0.0Sep 29, 2017 to Mar 29, 2018
- Pension RAUM · unset to 0.0Sep 29, 2017 to Mar 29, 2018
- Pooled vehicle RAUM · unset to 0.0Sep 29, 2017 to Mar 29, 2018
- RAUM · $136B to $151BSep 29, 2017 to Mar 29, 2018
- Accounts · 66 to 65Nov 16, 2016 to Mar 31, 2017
- Advisory employees · 63 to 0Nov 16, 2016 to Mar 31, 2017
- Employees · 71 to 74Nov 16, 2016 to Mar 31, 2017
- Discretionary RAUM · $128B to $136BNov 16, 2016 to Mar 31, 2017
- RAUM · $128B to $136BNov 16, 2016 to Mar 31, 2017
- Related bank · true to falseMar 31, 2015 to Mar 30, 2016
- Accounts · 63 to 66Mar 31, 2015 to Mar 30, 2016
- Advisory employees · 54 to 63Mar 31, 2015 to Mar 30, 2016
- Employees · 64 to 71Mar 31, 2015 to Mar 30, 2016
- Discretionary RAUM · $126B to $128BMar 31, 2015 to Mar 30, 2016
- RAUM · $126B to $128BMar 31, 2015 to Mar 30, 2016
- Accounts · 68 to 63Mar 31, 2014 to Mar 31, 2015
- Advisory employees · 51 to 54Mar 31, 2014 to Mar 31, 2015
- Employees · 60 to 64Mar 31, 2014 to Mar 31, 2015
- State-registered IARs · 5 to 0Mar 31, 2014 to Mar 31, 2015
Signals
3 dated events
- P Seba Kurian (Assistant Secretary) no longer on Schedule A of Usaa Asset Management Company (listed 2019-03-29, absent 2019-05-09)May 9, 2019 · Control person left · inference
- Koven Jon Hadfield (Secretary) no longer on Schedule A of Usaa Asset Management Company (listed 2018-07-23, absent 2019-02-20)Feb 20, 2019 · Control person left · inference
- Sally Fortier Murphy (Assistant Secretary) appeared on Schedule A of Usaa Asset Management CompanyFeb 20, 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.
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