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
A•••••• C•••••• P••••••• O• A•••••• L••
Latest filing May 15, 2026
First filing on the tape Feb 15, 2012 · 32 filings
SEC status approved since Mar 30, 2012
RAUM
$6.4B
reported, Item 5.F
Discretionary
75%
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
30
30 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
1
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$6.4B as of May 15, 2026
Jul 11, 2013$2.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 15, 2026
Jul 11, 20130 then
Employees (5.A)30 as of May 15, 2026
Jul 11, 20136 then
Private funds1 as of May 15, 2026
Mar 29, 20241 then
RAUM +23% over the last fiscal year+40% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 15, 2026; every figure names its basis
Archetypes, each a printed rule
- Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $577MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 75%derivedof RAUM
- Institutional
- 98%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
- +23%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- fixed fees, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehicles, otherreportedItem 5.G
- Custody
- $610M, 3 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Insurance companies$6.2B98%
- Pooled investment vehicles$109M1.7%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 11reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $610M for 3 clientsreported
- Compensation
- fixedreported
- Class basis
- private_client_share=0.0 fund_share=0.02 institutional_share=0.98 related_bd=false related_bank=true 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 |
|---|---|---|---|---|
| A•••••• U•• I••••••••• D••• F••• L••• | Other Private Fund | $108M | 2 | Apr 23, 2021 |
Owners and control persons
Schedule A and B, latest filing
- F••••••••• S•••••• · President, Managing Directorcontrolsince 03/2015 · owns less than 5%
- M•••••••• J••••• P•••••• · Chief Compliance Officercontrolsince 04/2023 · owns less than 5%
Entity owners
- A•••••• G••••• I•••••••• U••• H••••••• L•• · Memberdirect · owns 75% or more
- A•••••• O• A••••••• I••• · Sole Stockholderindirect · owns 75% or more of P•• H•••••••• L••
- A•••••• S• · Sole Stockholderindirect · owns 75% or more of A•••••• E••••• B•••
- P•• H•••••••• L•• · Memberindirect · owns 75% or more of A•••••• G••••• I•••••••• U••• H••••••• L••
- A•••••• E••••• B••• · Sole Stockholderindirect · owns 75% or more of A•••••• O• A••••••• I•••
Related persons
Schedule D 7.A
- A•••••• C•••••• P••••••• G•••investment adviserpooled vehicle sponsorn
- A•••••• G••••• I•••••••• G•••investment advisern
- A•••••• G••••• I•••••••• U• L••••••investment advisern
- A•••••• I••••••••• M••••••••• U••• L••pooled vehicle sponsorn
Advisers that list A•••••• C•••••• P••••••• O• A•••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 10 to 11Mar 31, 2025 to Mar 31, 2026
- Advisory employees · 31 to 30Mar 31, 2025 to Mar 31, 2026
- Assets in custody · $103M to $610MMar 31, 2025 to Mar 31, 2026
- Employees · 31 to 30Mar 31, 2025 to Mar 31, 2026
- Discretionary RAUM · $4.1B to $4.8BMar 31, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.1B to $1.6BMar 31, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $103M to $109MMar 31, 2025 to Mar 31, 2026
- RAUM · $5.2B to $6.4BMar 31, 2025 to Mar 31, 2026
- Accounts · 13 to 10Apr 1, 2024 to Mar 31, 2025
- Advisory employees · 32 to 31Apr 1, 2024 to Mar 31, 2025
- Assets in custody · $108M to $103MApr 1, 2024 to Mar 31, 2025
- Employees · 32 to 31Apr 1, 2024 to Mar 31, 2025
- Financial planning clients · unset to Apr 1, 2024 to Mar 31, 2025
- Discretionary RAUM · $4.7B to $4.1BApr 1, 2024 to Mar 31, 2025
- Non-discretionary RAUM · $0 to $1.1BApr 1, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $108M to $103MApr 1, 2024 to Mar 31, 2025
- RAUM · $4.7B to $5.2BApr 1, 2024 to Mar 31, 2025
- Accounts · 12 to 13May 26, 2023 to Mar 29, 2024
- Advisory employees · 17 to 32May 26, 2023 to Mar 29, 2024
- Pooled vehicle clients · 3 to 2May 26, 2023 to Mar 29, 2024
- Assets in custody · $42.0M to $108MMay 26, 2023 to Mar 29, 2024
- Employees · 18 to 32May 26, 2023 to Mar 29, 2024
- Discretionary RAUM · $2.3B to $4.7BMay 26, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $54.9M to $0May 26, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $148M to $108MMay 26, 2023 to Mar 29, 2024
- RAUM · $2.3B to $4.7BMay 26, 2023 to Mar 29, 2024
- Related broker-dealer · true to falseMay 17, 2023 to May 26, 2023
- Private funds · unset to 1Apr 3, 2023 to May 17, 2023
- Accounts · 9 to 12Jan 30, 2023 to Apr 3, 2023
- Advisory employees · 12 to 17Jan 30, 2023 to Apr 3, 2023
- Pooled vehicle clients · 9 to 3Jan 30, 2023 to Apr 3, 2023
- Employees · 12 to 18Jan 30, 2023 to Apr 3, 2023
- Discretionary RAUM · $0 to $2.3BJan 30, 2023 to Apr 3, 2023
- Pooled vehicle RAUM · $54.9M to $148MJan 30, 2023 to Apr 3, 2023
- RAUM · $54.9M to $2.3BJan 30, 2023 to Apr 3, 2023
- Employees · 7 to 12Sep 16, 2021 to Mar 31, 2022
- Accounts · 8 to 9Sep 16, 2021 to Mar 31, 2022
- Advisory employees · 7 to 12Sep 16, 2021 to Mar 31, 2022
- Pooled vehicle clients · 8 to 9Sep 16, 2021 to Mar 31, 2022
- Assets in custody · $30.0M to $42.0MSep 16, 2021 to Mar 31, 2022
Signals
11 dated events
- A•••••• C•••••• P••••••• O• A•••••• L•• reported RAUM $4.7B, up 103% from $2.3B (2023-05-26 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Patrick James Mcnamara (Chief Compliance Officer) appeared on Schedule A of A•••••• C•••••• P••••••• O• A•••••• L••May 17, 2023 · Control person joined · fact
- S•••• M•••••• (Chief Compliance Officer) no longer on Schedule A of A•••••• C•••••• P••••••• O• A•••••• L•• (listed 2023-04-03, absent 2023-05-17)May 17, 2023 · Control person left · inference
- Wortham William Groome (Director) no longer on Schedule A of A•••••• C•••••• P••••••• O• A•••••• L•• (listed 2023-01-30, absent 2023-04-03)Apr 3, 2023 · Control person left · inference
- A•••••• C•••••• P••••••• O• A•••••• L•• reported RAUM $2.3B, up 4112% from $54.9M (2023-01-30 to 2023-04-03)Apr 3, 2023 · RAUM change · derived
- Paul Koo (Chief Compliance Officer) no longer on Schedule A of A•••••• C•••••• P••••••• O• A•••••• L•• (listed 2022-12-16, absent 2023-01-30)Jan 30, 2023 · Control person left · inference
- S•••• M•••••• (Chief Compliance Officer) appeared on Schedule A of A•••••• C•••••• P••••••• O• A•••••• L••Jan 30, 2023 · Control person joined · fact
- A•••••• B••••• (Chief Compliance Officer) no longer on Schedule A of A•••••• C•••••• P••••••• O• A•••••• L•• (listed 2021-07-30, absent 2021-09-16)Sep 16, 2021 · Control person left · inference
- Paul Koo (Chief Compliance Officer) appeared on Schedule A of A•••••• C•••••• P••••••• O• A•••••• L••Sep 16, 2021 · Control person joined · fact
- Jon Gregor Bobowick (Chief Operating Officer) no longer on Schedule A of A•••••• C•••••• P••••••• O• A•••••• L•• (listed 2020-03-30, absent 2020-03-30)Mar 30, 2020 · Control person left · inference
- A•••••• C•••••• P••••••• O• A•••••• L•• reported RAUM $148.7M, down 95% from $3.2B (2017-03-31 to 2018-03-29)Mar 29, 2018 · RAUM change · derived
Across DFX
shared identifiers only, never a name match
- A•••••• C•••••• P••••••• o• A•••••• L•• · Independent Sponsorsshared crd · capital_provider
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/allianz-global-investorsreportedpublic record, Form ADV, Sep 18, 2026
- Website
- allianzgi.comreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-739-3000reportedpublic record, Form ADV, May 15, 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
- Institutional managerderiveda 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