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

Mcdonnell Investment Management, LLC

Former SEC-registered adviserOakbrook Terrace, IllinoisCRD 166176SEC 801-77394IAPD
Latest filing Jul 26, 2019
First filing on the tape Nov 16, 2012 · 27 filings
RAUM
$12B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
49%
$5.8B individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
50
23 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
27 filings and snapshots on the tape
RAUM$12B as of Mar 25, 2019
Mar 27, 2013$13B then
HNW client RAUM$5.8B as of Mar 25, 2019
Mar 28, 2018$5.6B then
State-registered IARs (5.B.3)3 as of Mar 25, 2019
Mar 27, 20139 then
Employees (5.A)50 as of Mar 25, 2019
Mar 27, 201346 then
Private funds1 as of Mar 28, 2014
Mar 27, 20131 then
RAUM +1.0% over the last fiscal year+1.1% a year over threeIARs 4 to 3
Practice profile
derived from the filing of Jul 26, 2019; every figure names its basis
RAUM per advisor
$3.9BderivedRAUM over IAPD advisors; not a book size
Clients per advisor
unknownderivedindividual and HNW clients (5.D) over advisors
Average HNW client
$636,702derivedHNW RAUM over HNW clients
Average account
$1.2MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
44%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
16.7derivedItem 5.A over advisors
Advisors per office
3.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+1.0%derivedbetween the last two annual amendments
Advisor growth, one year
-25%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for investment companies, otherreportedItem 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)
  • 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
  • High-net-worth individuals$5.8B49%
  • Insurance companies$3.9B33%
  • Corporations and businesses$767M6.6%
  • Pension and profit-sharing plans$479M4.1%
  • State and municipal entities$428M3.7%
  • Charitable organizations$308M2.6%
  • Investment companies$86.5M0.7%
Individual clients
n/areported
HNW clients
9,032reported
Pension plan clients
59reported
Charitable clients
78reported
Accounts
9,478reported
Financial planning clients
n/areported
Wrap fee programs
$0 sponsored, $3.6B managedreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
Joined, latest
none on the tape
    Every departureEvery arrival
    Private funds
    1 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Mcdonnell International Fixed Income Fund, LLCno longer reportedOther Private Fund$39.7M4Mar 29, 2012
    Owners and control persons
    Schedule A and B, latest filing
    • Mills Beverly Bearden · Member / Board Of Managerscontrol
      since 12/2012 · owns less than 5%
    • Patrick Kevin Charleston · Member / Board Of Managerscontrol
      since 03/2019 · owns less than 5%
    • Lawrence David Giunta · Member / Board Of Managerscontrol
      since 05/2013 · owns less than 5%
    • Joseph Mark Giura · Chief Executive Officer, Chief Investment Officer & Member/Board Of Managerscontrol
      since 12/2012 · owns less than 5%
    • Lee Christopher Oswald · Chief Financial Officer & Member/Board Of Managerscontrol
      since 12/2012 · owns less than 5%
    • Joseph Stephen Wlodarski · Member / Board Of Managerscontrol
      since 12/2012 · owns less than 5%
    • Patrick Donald Ryan · Chief Compliance Officer
      since 03/2019 · owns less than 5%
    Entity owners
    • Loomis, Sayles & Company, Incorporated · Corporate Gp
      direct · owns 75% or more
    • Bpce · Shareholder
      indirect · owns 50% to 75% of Natixis
    • Natixis · Shareholder
      indirect · owns 75% or more of Natixis Investment Managers
    • Natixis Investment Managers · Shareholder
      indirect · owns 75% or more of Natixis Investment Managers Participations 1
    • Natixis Investment Managers Holdings, LLC · Shareholder
      indirect · owns 75% or more of Loomis, Sayles & Company, Incorporated
    • Natixis Investment Managers Participations 1 · Shareholder
      indirect · owns 75% or more of Natixis U.S. Holdings, Inc.
    • Natixis Investment Managers, L.P. · Member
      indirect · owns 75% or more of Natixis Investment Managers Holdings, LLC
    • Natixis Investment Managers, LLC · General Partner
      indirect · owns F of Natixis Investment Managers, L.P.
    • Natixis U.S. Holdings, Inc. · Member
      indirect · owns 75% or more of Natixis Investment Managers, LLC
    • Natixis U.S. Holdings, Inc. · Limited Partner
      indirect · owns 75% or more of Natixis Investment Managers, L.P.
    Related persons
    Schedule D 7.A
    Advisers that list Mcdonnell Investment Management, LLC as a related person
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 9,601 to 9,478
      Jan 18, 2019 to Mar 25, 2019
    • Advisory employees · 25 to 23
      Jan 18, 2019 to Mar 25, 2019
    • Charity clients · 85 to 78
      Jan 18, 2019 to Mar 25, 2019
    • Corporate clients · 266 to 231
      Jan 18, 2019 to Mar 25, 2019
    • HNW clients · 9,086 to 9,032
      Jan 18, 2019 to Mar 25, 2019
    • Pension plan clients · 72 to 59
      Jan 18, 2019 to Mar 25, 2019
    • Employees · 45 to 50
      Jan 18, 2019 to Mar 25, 2019
    • State-registered IARs · 4 to 3
      Jan 18, 2019 to Mar 25, 2019
    • Discretionary RAUM · $12B to $12B
      Jan 18, 2019 to Mar 25, 2019
    • HNW RAUM · $5.6B to $5.8B
      Jan 18, 2019 to Mar 25, 2019
    • Non-discretionary RAUM · $4.6M to $2.0M
      Jan 18, 2019 to Mar 25, 2019
    • Pension RAUM · $622M to $479M
      Jan 18, 2019 to Mar 25, 2019
    • RAUM · $12B to $12B
      Jan 18, 2019 to Mar 25, 2019
    • Wrap assets (manager) · $4.0B to $3.6B
      Jan 18, 2019 to Mar 25, 2019
    • Accounts · 9,379 to 9,601
      May 25, 2017 to Mar 28, 2018
    • Charity clients · unset to 85.0
      May 25, 2017 to Mar 28, 2018
    • Corporate clients · unset to 266.0
      May 25, 2017 to Mar 28, 2018
    • HNW clients · unset to 9086.0
      May 25, 2017 to Mar 28, 2018
    • Pension plan clients · unset to 72.0
      May 25, 2017 to Mar 28, 2018
    • Pooled vehicle clients · unset to 0.0
      May 25, 2017 to Mar 28, 2018
    • Employees · 43 to 45
      May 25, 2017 to Mar 28, 2018
    • Other offices · unset to 0.0
      May 25, 2017 to Mar 28, 2018
    • Discretionary RAUM · $11B to $12B
      May 25, 2017 to Mar 28, 2018
    • HNW RAUM · unset to 5586430387.0
      May 25, 2017 to Mar 28, 2018
    • Individual RAUM · unset to 0.0
      May 25, 2017 to Mar 28, 2018
    • Non-discretionary RAUM · $4.7M to $4.6M
      May 25, 2017 to Mar 28, 2018
    • Pension RAUM · unset to 621619914.0
      May 25, 2017 to Mar 28, 2018
    • Pooled vehicle RAUM · unset to 0.0
      May 25, 2017 to Mar 28, 2018
    • RAUM · $11B to $12B
      May 25, 2017 to Mar 28, 2018
    • Wrap assets (manager) · unset to 3994938891.0
      May 25, 2017 to Mar 28, 2018
    • Wrap assets (sponsor) · unset to 0.0
      May 25, 2017 to Mar 28, 2018
    • Accounts · 9,097 to 9,379
      Aug 26, 2016 to Mar 29, 2017
    • Advisory employees · 22 to 25
      Aug 26, 2016 to Mar 29, 2017
    • Discretionary RAUM · $12B to $11B
      Aug 26, 2016 to Mar 29, 2017
    • Non-discretionary RAUM · $3.6M to $4.7M
      Aug 26, 2016 to Mar 29, 2017
    • RAUM · $12B to $11B
      Aug 26, 2016 to Mar 29, 2017
    • Accounts · 8,757 to 9,097
      Mar 24, 2016 to Aug 26, 2016
    • State-registered IARs · 5 to 4
      Mar 24, 2016 to Aug 26, 2016
    • Discretionary RAUM · $11B to $12B
      Mar 24, 2016 to Aug 26, 2016
    • Non-discretionary RAUM · $3.6M to $3.6M
      Mar 24, 2016 to Aug 26, 2016
    Signals
    4 dated events
    • Michael Daniel Santaniello (Member / Board Of Managers) no longer on Schedule A of Mcdonnell Investment Management, Llc (listed 2019-01-18, absent 2019-03-25)
      Mar 25, 2019 · Control person left · inference
    • Charles Mark Doyle (Member / Board Of Managers) no longer on Schedule A of Mcdonnell Investment Management, Llc (listed 2019-01-18, absent 2019-03-25)
      Mar 25, 2019 · Control person left · inference
    • Patrick Kevin Charleston (Member / Board Of Managers) appeared on Schedule A of Mcdonnell Investment Management, Llc
      Mar 25, 2019 · Control person joined · fact
    • Ngam Midway Acquisition, Llc filed its initial SEC registration (Form ADV)
      Nov 16, 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