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
R•• G••••• A•••• M••••••••• ••• L••••••
Latest filing Sep 18, 2026
First filing on the tape Aug 7, 2013 · 50 filings
SEC status approved since Sep 10, 2013
RAUM
$178B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.1%
$236M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
471
123 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
50 filings and snapshots on the tape
RAUM$178B as of Apr 15, 2026
Jan 29, 2014$10.1M then
HNW client RAUM$0 as of Nov 28, 2025
Jan 29, 2018$0 then
State-registered IARs (5.B.3)0 as of Apr 15, 2026
Jan 29, 20140 then
Employees (5.A)471 as of Apr 15, 2026
Jan 29, 201425 then
Private funds7 as of Apr 15, 2026
Jan 29, 20245 then
RAUM +29% over the last fiscal year+48% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Sep 18, 2026; every figure names its basis
Archetypes, each a printed rule
- b••• affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- 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
- $603MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 19%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
- +29%derivedbetween 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, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, 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)
- compensates non-employees for client referrals (8.G.2)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$121B68%
- State and municipal entities$19B11%
- Banks and thrifts$10B5.6%
- Pension and profit-sharing plans$8.1B4.5%
- Investment companies$7.6B4.3%
- Insurance companies$4.0B2.2%
- Other investment advisers$3.8B2.2%
- Sovereign wealth funds$2.3B1.3%
- Corporations and businesses$1.6B0.9%
- Charitable organizations$404M0.2%
- Individuals$236M0.1%
- Individual clients
- 2reported
- HNW clients
- n/areported
- Pension plan clients
- 23reported
- Charitable clients
- 4reported
- Accounts
- 295reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.74 institutional_share=0.19 related_bd=true related_bank=true bd_reps=0.0 bank_owner=truederived
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
8 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| B•••••• G••••• C••••• A•••• L••• S•••• ••••••• F••• L•••••• | Hedge Fund | $496M | 62 | Feb 28, 2013 |
| B•••••• E••••••• M••••• C••••• A•••• ••••••• F••• L•••••• | Hedge Fund | $103M | 29 | Feb 28, 2013 |
| B•••••• G••••• S•••••••• O••••••••• ••••••• F••• L•••••• | Hedge Fund | $103M | 15 | Nov 10, 2017 |
| B•••••• E••••••• M••••• I••••••• C••••• F••• I• S••• | Other Private Fund | $80.9M | 3 | Jun 13, 2023 |
| B•••••• E•••• D••••• C••••• ••••••• F••• L•••••• | Hedge Fund | $80.4M | 12 | Aug 27, 2014 |
| B•••••• G••••• S••••••••• C••••• O••••••••• | Hedge Fund | $62.2M | 8 | Jan 29, 2020 |
| B•••••• E••••••• M••••• I••••••• C••••• F••• I• S••• | Other Private Fund | $0 | 0 | Mar 28, 2024 |
| B•••••• D• S•••••• S••••••••• F••• I• | Other Private Fund | $0 | 0 | Mar 28, 2024 |
Owners and control persons
Schedule A and B, latest filing
- B••••••• A•••• M•••• J•••••••• C• · Director (Independent Non-Executive)since 04/2023 · owns less than 5%
- B•••• J••••••••• C••••••••• P••• · Chief Risk Officersince 04/2023 · owns less than 5%
- B••••••• P•••• F•••••••• · Chief Operating Officersince 04/2023 · owns less than 5%
- C•••••••• D•••••• E••••• · Director (Non-Executive)since 07/2004 · owns less than 5%
- C•••••• S••••• R•••••• · Money Laundering Officersince 09/2015 · owns less than 5%
- D••••• P••••• J••• · Chief Financial Officersince 04/2023 · owns less than 5%
- D••••••• M•••• C•••••• D•••• · Director, Chief Investment Officer, Fixed Incomesince 04/2023 · owns less than 5%
- G••••• E••••• P••• · Chief Executive Officer And Directorsince 03/2021 · owns less than 5%
- L••••••••• M•••••• S•••• · Director (Non-Executive)since 04/2023 · owns less than 5%
- P••••••••• J••••• N•••••• · Chairman And Director (Independent Non-Executive)since 04/2023 · owns less than 5%
- P••••••••• A••••••• D•••• · Head Of Business Developmentsince 04/2023 · owns less than 5%
- T•••••• D••••• J••• · Director (Non-Executive)since 10/2010 · owns less than 5%
- W•••••••• D••••• G•••• · Director (Non-Executive)since 04/2023 · owns less than 5%
Entity owners
- R•••• B••• O• C••••• H••••••• ••• L•• · Direct Parentdirect · owns 75% or more
- R•••• B••• O• C••••• · Parent Companyindirect · owns 75% or more of R•••• B••• O• C••••• H••••••• ••• L•• · public reporting company
Related persons
Schedule D 7.A
- B•••••• F•••• M••••••••• C•••••• S•••investment adviserbankn
- R•• C•••••• M••••••• L••broker-dealerinvestment advisertrust companyLP sponsorreal estatecustodiannRAUM $310B
- R•• E••••• L••••••broker-dealern
- R•• G••••• A•••• M••••••••• ••••• L••••••investment advisern
- R•• G••••• A•••• M••••••••• ••••• I•••investment adviserbankpooled vehicle sponsornRAUM $104B
- R•• G••••• A•••• M••••••••• I•••investment adviserbankn
- R•• I••••••• S••••••• B••• S•custodiann
- R•• I••••••• S••••••• T••••insurancecustodiann
- R•• P•••••••• H•••• • N•••• I••••••••• C•••••• I••investment advisern
- R•••• B••• O• C•••••CPO or CTAy
- R•••• B••• O• C••••• ••••••• I••••••• L••••••investment advisern
Advisers that list R•• G••••• A•••• M••••••••• ••• L•••••• as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Financial planning clients · 0 to 0Apr 15, 2026 to Sep 18, 2026
- HQ state · to unsetApr 15, 2026 to Sep 18, 2026
- Private funds · 7 to unsetApr 15, 2026 to Sep 18, 2026
- Succession · false to unsetApr 15, 2026 to Sep 18, 2026
- Accounts · 242 to 295Nov 28, 2025 to Jan 29, 2026
- Advisory employees · 136 to 123Nov 28, 2025 to Jan 29, 2026
- Charity clients · 0 to 4Nov 28, 2025 to Jan 29, 2026
- Corporate clients · 30 to 8Nov 28, 2025 to Jan 29, 2026
- HNW clients · 0.0 to unsetNov 28, 2025 to Jan 29, 2026
- Individual clients · 0 to 2Nov 28, 2025 to Jan 29, 2026
- Pension plan clients · 35 to 23Nov 28, 2025 to Jan 29, 2026
- Pooled vehicle clients · 135 to 182Nov 28, 2025 to Jan 29, 2026
- Employees · 474 to 471Nov 28, 2025 to Jan 29, 2026
- Discretionary RAUM · $138B to $176BNov 28, 2025 to Jan 29, 2026
- HNW RAUM · 0.0 to unsetNov 28, 2025 to Jan 29, 2026
- Individual RAUM · $0 to $236MNov 28, 2025 to Jan 29, 2026
- Non-discretionary RAUM · $0 to $1.9BNov 28, 2025 to Jan 29, 2026
- Pension RAUM · $16B to $8.1BNov 28, 2025 to Jan 29, 2026
- Pooled vehicle RAUM · $88B to $121BNov 28, 2025 to Jan 29, 2026
- RAUM · $138B to $178BNov 28, 2025 to Jan 29, 2026
- Financial planning clients · 0 to 0Jan 29, 2025 to Nov 28, 2025
- Accounts · 273 to 242Jun 16, 2024 to Jan 29, 2025
- Advisory employees · 145 to 136Jun 16, 2024 to Jan 29, 2025
- Corporate clients · 43 to 30Jun 16, 2024 to Jan 29, 2025
- Pension plan clients · 44 to 35Jun 16, 2024 to Jan 29, 2025
- Pooled vehicle clients · 123 to 135Jun 16, 2024 to Jan 29, 2025
- Employees · 475 to 474Jun 16, 2024 to Jan 29, 2025
- HQ state · unset to Jun 16, 2024 to Jan 29, 2025
- Private funds · 8 to 7Jun 16, 2024 to Jan 29, 2025
- Discretionary RAUM · $121B to $138BJun 16, 2024 to Jan 29, 2025
- Non-discretionary RAUM · $1.1B to $0Jun 16, 2024 to Jan 29, 2025
- Pension RAUM · $15B to $16BJun 16, 2024 to Jan 29, 2025
- Pooled vehicle RAUM · $74B to $88BJun 16, 2024 to Jan 29, 2025
- RAUM · $122B to $138BJun 16, 2024 to Jan 29, 2025
- Related insurance company · true to falseJun 16, 2024 to Jan 29, 2025
- Private funds · 7 to 8Jun 12, 2024 to Jun 16, 2024
- Private funds · 5 to 7Jan 29, 2024 to Mar 28, 2024
- Accounts · 267 to 273Nov 10, 2023 to Jan 29, 2024
- Advisory employees · 131 to 145Nov 10, 2023 to Jan 29, 2024
- Pooled vehicle clients · 117 to 123Nov 10, 2023 to Jan 29, 2024
Signals
10 dated events
- R•• G••••• A•••• M••••••••• ••• L•••••• reported RAUM $178.0B, up 29% from $137.8B (2025-11-28 to 2026-01-29)Jan 29, 2026 · RAUM change · derived
- R•• G••••• A•••• M••••••••• ••• L•••••• reported RAUM $129.8B, up 138% from $54.5B (2023-05-17 to 2023-06-13)Jun 13, 2023 · RAUM change · derived
- Alexander Christopher Wiksyk (Director/Chief Executive Officer) no longer on Schedule A of R•• G••••• A•••• M••••••••• ••• L•••••• (listed 2023-01-27, absent 2023-04-28)Apr 28, 2023 · Control person left · inference
- R•• G••••• A•••• M••••••••• ••• L•••••• reported RAUM $67.0B, up 55% from $43.4B (2021-10-26 to 2022-01-26)Jan 26, 2022 · RAUM change · derived
- R•• G••••• A•••• M••••••••• ••• L•••••• reported RAUM $43.4B, up 26% from $34.5B (2020-11-19 to 2021-01-29)Jan 29, 2021 · RAUM change · derived
- Stuart Clive Brown (Director/Chief Executive Officer) no longer on Schedule A of R•• G••••• A•••• M••••••••• ••• L•••••• (listed 2020-01-30, absent 2020-11-19)Nov 19, 2020 · Control person left · inference
- R•• G••••• A•••• M••••••••• ••• L•••••• reported RAUM $34.5B, up 34% from $25.8B (2019-10-10 to 2020-01-30)Jan 30, 2020 · RAUM change · derived
- D•••• Matthew Graham (Director) no longer on Schedule A of R•• G••••• A•••• M••••••••• ••• L•••••• (listed 2019-10-10, absent 2020-01-30)Jan 30, 2020 · Control person left · inference
- R•• G••••• A•••• M••••••••• ••• L•••••• reported RAUM $23.3B, up 3728% from $609.8M (2017-07-28 to 2018-01-29)Jan 29, 2018 · RAUM change · derived
- R•• G••••• A•••• M••••••••• ••• L•••••• filed its initial SEC registration (Form ADV)Aug 7, 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/rbc-global-asset-managementreportedpublic record, Form ADV, Sep 19, 2026
- Firm profile
- linkedin.com/company/rbc-bluebay-asset-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- rbcbluebay.comreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 44 207 389 3700reportedpublic record, Form ADV, Sep 18, 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
- Asset manager (funds and pooled vehicles)deriveda 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