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

Capital Group Private Markets, Inc.

Former SEC-registered adviserLos Angeles, CaliforniaCRD 165444SEC 801-77223IAPD
Latest filing Feb 9, 2023
First filing on the tape Oct 1, 2012 · 16 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
2
1 advisory (5.B.1)
Offices
1
beyond the principal office
Private funds
0
reported on Schedule D
History
16 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Sep 28, 2022
Sep 27, 20130 then
Employees (5.A)2 as of Sep 28, 2022
Sep 27, 201313 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Feb 9, 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, 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
unknownderivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 5.E
Advisory activities
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
This filing has no Item 5.D breakdown (filings before 2017 reported ranges, not amounts).
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      • Philip De Toledo · Director And Senior Vice Presidentcontrol
        since 09/2013 · owns less than 5%
      • Hatsuko Naomi Kobayashi · Director, Chief Financial Officer And Secretarycontrol
        since 09/2013 · owns less than 5%
      • Bradley Shaw Wagener · Director And Chairmancontrol
        since 09/2013 · owns less than 5%
      • Moran Jessica Zerges · Chief Compliance Officercontrol
        since 01/2020 · owns less than 5%
      Entity owners
      • Capital Group International, Inc. · Shareholder
        direct · owns 75% or more
      • Capital Research And Management Company · Shareholder
        indirect · owns 75% or more of Capital Group International, Inc.
      • The Capital Group Companies, Inc · Shareholder
        indirect · owns 75% or more of Capital Research And Management Company
      Related persons
      Schedule D 7.A
      Advisers that list Capital Group Private Markets, Inc. as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • London, United Kingdom1 employees
      What changed
      consecutive filings, newest first
      • Related broker-dealer · true to false
        Sep 28, 2020 to Sep 28, 2021
      • Advisory employees · 5 to 1
        Jan 23, 2020 to Sep 28, 2020
      • Employees · 6 to 2
        Jan 23, 2020 to Sep 28, 2020
      • Other offices · 2 to 1
        Jan 23, 2020 to Sep 28, 2020
      • Advisory employees · 8 to 5
        Oct 31, 2018 to Sep 27, 2019
      • Employees · 10 to 6
        Oct 31, 2018 to Sep 27, 2019
      • Advisory employees · 11 to 8
        Sep 28, 2017 to Sep 28, 2018
      • Employees · 14 to 10
        Sep 28, 2017 to Sep 28, 2018
      • Other offices · unset to 2.0
        Sep 28, 2017 to Sep 28, 2018
      • Advisory employees · 13 to 11
        Sep 28, 2016 to Sep 28, 2017
      • Employees · 16 to 14
        Sep 28, 2016 to Sep 28, 2017
      • Advisory employees · 12 to 13
        Sep 25, 2015 to Sep 28, 2016
      • Employees · 15 to 16
        Sep 25, 2015 to Sep 28, 2016
      • Advisory employees · 11 to 12
        Sep 29, 2014 to Sep 25, 2015
      • Employees · 13 to 15
        Sep 29, 2014 to Sep 25, 2015
      • Advisory employees · 10 to 11
        May 19, 2014 to Sep 29, 2014
      • Business name · CIPEF, INC. to CAPITAL GROUP PRIVATE MARKETS, INC.
        May 19, 2014 to Sep 29, 2014
      • Legal name · CIPEF, INC. to CAPITAL GROUP PRIVATE MARKETS, INC.
        May 19, 2014 to Sep 29, 2014
      • Advisory employees · unset to 10.0
        Oct 1, 2012 to Sep 27, 2013
      • BD registered reps · unset to 0.0
        Oct 1, 2012 to Sep 27, 2013
      • Employees · unset to 13.0
        Oct 1, 2012 to Sep 27, 2013
      • State-registered IARs · unset to 0.0
        Oct 1, 2012 to Sep 27, 2013
      • Related bank · false to true
        Oct 1, 2012 to Sep 27, 2013
      Signals
      6 dated events
      • Marie Jane Scofield (Chief Compliance Officer) no longer on Schedule A of Capital Group Private Markets, Inc. (listed 2019-09-27, absent 2020-01-23)
        Jan 23, 2020 · Control person left · inference
      • Moran Jessica Zerges (Chief Compliance Officer) appeared on Schedule A of Capital Group Private Markets, Inc.
        Jan 23, 2020 · Control person joined · fact
      • James Michael Dutton (Director And Principal Financial Officer) no longer on Schedule A of Capital Group Private Markets, Inc. (listed 2018-10-31, absent 2019-09-27)
        Sep 27, 2019 · Control person left · inference
      • Whitney Robert Lovelace (Director) no longer on Schedule A of Capital Group Private Markets, Inc. (listed 2018-10-31, absent 2019-09-27)
        Sep 27, 2019 · Control person left · inference
      • John Ashley Dunster (Director) no longer on Schedule A of Capital Group Private Markets, Inc. (listed 2018-10-31, absent 2019-09-27)
        Sep 27, 2019 · Control person left · inference
      • Cipef, Inc. filed its initial SEC registration (Form ADV)
        Oct 1, 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