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

Bny Mellon Transition Management Advisors, LLC

Former SEC-registered adviserSan Francisco, CaliforniaCRD 168024SEC 801-78172IAPD
Latest filing May 31, 2013
First filing on the tape May 31, 2013 · 1 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
25
10 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
1 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): 0
Employees (5.A): 25
Private funds: no history
Practice profile
derived from the filing of May 31, 2013; 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
unknownderived4 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
percentage of assets, fixed fees, commissionsreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
a bank, bancorp or trust company is a 50 percent or greater ownerderived
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)
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
% of AUM, fixed, commissionsreported
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
      • Scott Robert Brinker · Chief Sales Officer, Managercontrol
        since 05/2013 · owns less than 5%
      • Andrew Mark Keleher · Chief Executive Officer, Managercontrol
        since 05/2013 · owns less than 5%
      • Ross Keith Wilson · Chief Investment Officer, Managercontrol
        since 05/2013 · owns less than 5%
      • Kristofer Yrrizarry · Chief Compliance Officercontrol
        since 05/2013 · owns less than 5%
      Entity owners
      • The Bank Of New York Mellon Corporation · Sole Member
        direct · owns 75% or more · public reporting company
      Related persons
      Schedule D 7.A
      • Acn 003 231 829 Limited
        broker-dealern
      • Benefit Street Partners Limited
        investment adviserpooled vehicle sponsornRAUM $23B
      • Alcentra Management (Ireland) Limited
        investment advisern
      • Bsp Ny LLC
        investment adviserpooled vehicle sponsornRAUM $14B
      • Bank Of New York Mellon
        investment advisern
      • Bny Mellon Administraco De Ativos Ltda.
        investment advisern
      • Bny Mellon Alocacao De Patrimonio Ltda
        investment advisern
      • Arx Investimentos Ltda
        investment adviserbanknRAUM $1.9B
      • Bny Mellon Asset Management (Uk) Limited
        investment advisern
      • Bny Mellon Asset Management Australia Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Asset Management Canada Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Asset Management Hong Kong Limited
        broker-dealerinvestment advisern
      • Bny Mellon Asset Management International Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Asset Management Japan Limited
        investment advisern
      • Bny Mellon Asset Management Korea Limited
        investment advisern
      • Bny Mellon Banco S.A.
        n
      • Bny Mellon Capital Markets Emea Limited
        broker-dealerinvestment advisern
      • Bny Mellon Capital Markets, LLC
        broker-dealern
      • Bny Mellon Fund Managers Limited
        investment adviserpooled vehicle sponsorn
      • Bny Mellon Global Management Limited
        investment adviserpooled vehicle sponsorn
      • Bny Mellon International Management Limited
        investment adviserpooled vehicle sponsorn
      • Bny Mellon National Association
        investment advisern
      • Bny Mellon Services Financeiros Distribuidora De Titulos E Valores Mobiliarios (Dvtm) S.A.
        broker-dealerinvestment advisern
      • Bny Mellon Trust Company Of Illinois
        n
      • Bny Mellon Trust Of Delaware
        investment advisern
      • Bny Mellon Wealth Management, Advisory Services, Inc.
        broker-dealerinvestment adviserbankpooled vehicle sponsorn
      • Bny Mellon Western Fund Management Co., Ltd
        investment adviserpooled vehicle sponsorn
      • Cibc Mellon Global Securities Services Company
        n
      • Cibc Mellon Trust Company
        n
      • Convergex Execution Solutions LLC
        broker-dealerinvestment adviserbankn
      Advisers that list Bny Mellon Transition Management Advisors, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      • Everett, MA
      • New York, NY
      • Pittsburgh, PA
      What changed
      consecutive filings, newest first
      One filing, no change to show.
      Signals
      1 dated events
      • Bny Mellon Transition Management Advisors, Llc filed its initial SEC registration (Form ADV)
        May 31, 2013 · 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