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

Rampart Investment Management

Former SEC-registered adviserHartford, ConnecticutCRD 165089SEC 801-77244IAPD
Legal name Rampart Investment Management Company, LLC
Latest filing Jun 29, 2020
First filing on the tape Oct 4, 2012 · 19 filings
RAUM
$1.2B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
13%
$164M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
4
4 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
19 filings and snapshots on the tape
RAUM$1.2B as of Mar 31, 2020
Apr 1, 2013$1.3B then
HNW client RAUM$56.6M as of Mar 31, 2020
Mar 29, 2018$108M then
State-registered IARs (5.B.3)0 as of Mar 31, 2020
Apr 1, 20130 then
Employees (5.A)4 as of Mar 31, 2020
Apr 1, 201311 then
Private funds: no history
RAUM -27% over the last fiscal year+18% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jun 29, 2020; 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
$2.5MderivedHNW RAUM over HNW clients
Average account
$20.3MderivedRAUM 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
unknownderived3 offices incl. principal (1.F.5)
RAUM growth, one year
-27%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
-16%derived
Compensation
percentage of assetsreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companiesreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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$1.1B86%
  • Individuals$107M8.6%
  • High-net-worth individuals$56.6M4.6%
  • Corporations and businesses$6.8M0.5%
Individual clients
28reported
HNW clients
23reported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
61reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $107M managedreported
Custody of client assets
noreported
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
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
      • Aaron Michael Angerthal · Executive Vice President And Chief Financial Officercontrol
        since 10/2012 · owns less than 5%
      • Robert George Aylward · President And Chief Executive Officercontrol
        since 10/2012 · owns less than 5%
      • Jacqueline Wendy Hills · Executive Vice President, General Counsel And Secretarycontrol
        since 09/2019 · owns less than 5%
      • Nmn Warun Kumar · Senior Managing Director And Chief Investment Officercontrol
        since 10/2015 · owns less than 5%
      • George Francis Waltman · Executive Vice Presidentcontrol
        since 10/2012 · owns less than 5%
      • John Kevin Carr · Vice President, Legal & Assistant Secretary
        since 10/2015 · owns less than 5%
      • Robert James Sena · Chief Compliance Officer
        since 10/2015 · owns less than 5%
      Entity owners
      • Virtus Partners, Inc. · Sole Member
        direct · owns 75% or more
      • Virtus Investment Partners, Inc. · Shareholder
        indirect · owns 75% or more of Virtus Partners, Inc. · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Rampart Investment Management as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • New York, NY3 employees
      • Rockland, MA1 employees
      What changed
      consecutive filings, newest first
      • Accounts · 72 to 61
        Oct 16, 2019 to Mar 31, 2020
      • HNW clients · 30 to 23
        Oct 16, 2019 to Mar 31, 2020
      • Individual clients · 31 to 28
        Oct 16, 2019 to Mar 31, 2020
      • Employees · 7 to 4
        Oct 16, 2019 to Mar 31, 2020
      • Discretionary RAUM · $1.7B to $1.2B
        Oct 16, 2019 to Mar 31, 2020
      • HNW RAUM · $54.3M to $56.6M
        Oct 16, 2019 to Mar 31, 2020
      • Individual RAUM · $118M to $107M
        Oct 16, 2019 to Mar 31, 2020
      • RAUM · $1.7B to $1.2B
        Oct 16, 2019 to Mar 31, 2020
      • Wrap assets (manager) · $172M to $107M
        Oct 16, 2019 to Mar 31, 2020
      • Accounts · 176 to 72
        Mar 29, 2018 to Jan 30, 2019
      • Corporate clients · 1 to 2
        Mar 29, 2018 to Jan 30, 2019
      • HNW clients · 39 to 30
        Mar 29, 2018 to Jan 30, 2019
      • Individual clients · 126 to 31
        Mar 29, 2018 to Jan 30, 2019
      • Discretionary RAUM · $1.9B to $1.7B
        Mar 29, 2018 to Jan 30, 2019
      • HNW RAUM · $108M to $54.3M
        Mar 29, 2018 to Jan 30, 2019
      • Individual RAUM · $547M to $118M
        Mar 29, 2018 to Jan 30, 2019
      • RAUM · $1.9B to $1.7B
        Mar 29, 2018 to Jan 30, 2019
      • Wrap assets (manager) · $655M to $172M
        Mar 29, 2018 to Jan 30, 2019
      • Accounts · 138 to 176
        Mar 30, 2017 to Mar 29, 2018
      • Advisory employees · 5 to 4
        Mar 30, 2017 to Mar 29, 2018
      • BD registered reps · 1 to 3
        Mar 30, 2017 to Mar 29, 2018
      • Corporate clients · unset to 1.0
        Mar 30, 2017 to Mar 29, 2018
      • HNW clients · unset to 39.0
        Mar 30, 2017 to Mar 29, 2018
      • Individual clients · unset to 126.0
        Mar 30, 2017 to Mar 29, 2018
      • Employees · 10 to 7
        Mar 30, 2017 to Mar 29, 2018
      • Insurance-licensed employees · 0 to 3
        Mar 30, 2017 to Mar 29, 2018
      • Other offices · unset to 2.0
        Mar 30, 2017 to Mar 29, 2018
      • Discretionary RAUM · $751M to $1.9B
        Mar 30, 2017 to Mar 29, 2018
      • HNW RAUM · unset to 108300000.0
        Mar 30, 2017 to Mar 29, 2018
      • Individual RAUM · unset to 547000000.0
        Mar 30, 2017 to Mar 29, 2018
      • RAUM · $751M to $1.9B
        Mar 30, 2017 to Mar 29, 2018
      • Wrap assets (manager) · unset to 655300000.0
        Mar 30, 2017 to Mar 29, 2018
      • Wrap assets (sponsor) · unset to 0.0
        Mar 30, 2017 to Mar 29, 2018
      • Accounts · 127 to 138
        Mar 30, 2016 to Mar 30, 2017
      • Advisory employees · 3 to 5
        Mar 30, 2016 to Mar 30, 2017
      • BD registered reps · 3 to 1
        Mar 30, 2016 to Mar 30, 2017
      • HQ city · BOSTON to HARTFORD
        Mar 30, 2016 to Mar 30, 2017
      • HQ state · MA to CT
        Mar 30, 2016 to Mar 30, 2017
      • Discretionary RAUM · $652M to $751M
        Mar 30, 2016 to Mar 30, 2017
      • RAUM · $652M to $751M
        Mar 30, 2016 to Mar 30, 2017
      Signals
      7 dated events
      • Rampart Investment Management reported RAUM $1.2B, down 27% from $1.7B (2019-10-16 to 2020-03-31)
        Mar 31, 2020 · RAUM change · derived
      • Jacqueline Wendy Hills (Executive Vice President, General Counsel And Secretary) appeared on Schedule A of Rampart Investment Management
        Oct 16, 2019 · Control person joined · fact
      • Stephen Mark Flynn (Executive Vice President And General Counsel) no longer on Schedule A of Rampart Investment Management (listed 2019-03-19, absent 2019-10-16)
        Oct 16, 2019 · Control person left · inference
      • J Kevin Carr (Senior Vice President, Legal & Assistant Secretary) no longer on Schedule A of Rampart Investment Management (listed 2019-03-05, absent 2019-03-19)
        Mar 19, 2019 · Control person left · inference
      • Rampart Investment Management reported RAUM $1.9B, up 154% from $750.7M (2017-03-30 to 2018-03-29)
        Mar 29, 2018 · RAUM change · derived
      • 100 Pearl Street, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
        Oct 4, 2012 · Succession (Item 4) · fact
      • 100 Pearl Street, Llc filed its initial SEC registration (Form ADV)
        Oct 4, 2012 · First SEC registration · 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