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.
SEC-registered adviser
Ark Invest
Legal name Ark Investment Management LLC
Latest filing Aug 24, 2026
First filing on the tape Jan 9, 2014 · 36 filings
SEC status approved since Jan 21, 2014
RAUM
$16B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
58
20 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
reported on Schedule D
History
36 filings and snapshots on the tape
RAUM$16B as of Aug 24, 2026
Mar 31, 2015$34.3M then
HNW client RAUM$0 as of Aug 24, 2026
Mar 30, 2018$51.1M then
State-registered IARs (5.B.3)0 as of Aug 24, 2026
Mar 31, 20150 then
Employees (5.A)58 as of Aug 24, 2026
Mar 31, 201515 then
Private funds7 as of Aug 24, 2026
Mar 30, 20201 then
RAUM +23% over the last fiscal year+4.8% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Aug 24, 2026; 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
- $470MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 2.8%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
- +23%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, publicationsreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Custody
- $903M, 10 clientsreportedItem 9.A
- 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)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$14B87%
- Pooled investment vehicles$1.6B9.7%
- State and municipal entities$414M2.6%
- Pension and profit-sharing plans$33.8M0.2%
- Other investment advisers$3.3M0.0%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 34reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $3.3M managedreported
- Custody of client assets
- $903M for 10 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.97 institutional_share=0.03 related_bd=false related_bank=false bd_reps=4.0derived
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
3 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Ark Cryptocurrency Master Fund LLC | Hedge Fund | $31.6M | 14 | Mar 30, 2020 |
| Ark Crypto Revolutions Master Fund LLC | Hedge Fund | $24.8M | 12 | Mar 31, 2023 |
| Ark Creative Destruction And Innovation Strategy Equity Fund LPno longer reported | Hedge Fund | $981,387 | 9 | Mar 31, 2022 |
Owners and control persons
Schedule A and B, latest filing
- Kellen Carter · Chief Compliance Officer; Corporate Counselcontrolsince 03/2016 · owns less than 5%
- Gregory Thomas Staudt · Chief Operating Officer; Presidentcontrolsince 10/2023 · owns less than 5%
- Edward Paul Wilson · Chief Financial Officer; Chief Strategy Officercontrolsince 10/2023 · owns less than 5%
- Forest Dana Wolfe · General Counselcontrolsince 08/2021 · owns less than 5%
- Duddy Catherine Wood · Chief Executive Officer & Chief Investment Officercontrolsince 06/2014 · owns less than 5%
- Duddy Catherine Wood · Managing Membercontrolsince 06/2014 · owns 75% or more of Ark Invest LLC
Entity owners
- Ark Investment Management LP · Managing Memeberdirect · owns 75% or more
- Ark Invest Holdings LLC · Limited Partnerindirect · owns 75% or more of Ark Investment Management LP
- Ark Invest LLC · Managing Memberindirect · owns 75% or more of Ark Invest Holdings LLC
Related persons
Schedule D 7.A
- Ark Cryptocurrency Fund Managing Member LLCpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Private funds · 6 to 7Apr 1, 2026 to Aug 24, 2026
- Accounts · 33 to 34May 5, 2025 to Mar 31, 2026
- Advisory employees · 19 to 20May 5, 2025 to Mar 31, 2026
- Pooled vehicle clients · 23 to 22May 5, 2025 to Mar 31, 2026
- Assets in custody · $339M to $903MMay 5, 2025 to Mar 31, 2026
- Employees · 50 to 58May 5, 2025 to Mar 31, 2026
- Discretionary RAUM · $13B to $16BMay 5, 2025 to Mar 31, 2026
- Pension RAUM · $25.4M to $33.8MMay 5, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $1.0B to $1.6BMay 5, 2025 to Mar 31, 2026
- RAUM · $13B to $16BMay 5, 2025 to Mar 31, 2026
- Wrap assets (manager) · $2.7M to $3.3MMay 5, 2025 to Mar 31, 2026
- Financial planning clients · unset to Mar 31, 2025 to May 5, 2025
- Accounts · 408 to 33Oct 10, 2024 to Mar 31, 2025
- Advisory employees · 22 to 19Oct 10, 2024 to Mar 31, 2025
- BD registered reps · 3 to 4Oct 10, 2024 to Mar 31, 2025
- Pooled vehicle clients · 16 to 23Oct 10, 2024 to Mar 31, 2025
- Assets in custody · $56.4M to $339MOct 10, 2024 to Mar 31, 2025
- Employees · 48 to 50Oct 10, 2024 to Mar 31, 2025
- Private funds · 2 to 6Oct 10, 2024 to Mar 31, 2025
- Discretionary RAUM · $15B to $13BOct 10, 2024 to Mar 31, 2025
- HNW RAUM · $19.7M to $0Oct 10, 2024 to Mar 31, 2025
- Pension RAUM · $22.8M to $25.4MOct 10, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $91.2M to $1.0BOct 10, 2024 to Mar 31, 2025
- RAUM · $15B to $13BOct 10, 2024 to Mar 31, 2025
- Wrap assets (manager) · $77.8M to $2.7MOct 10, 2024 to Mar 31, 2025
- Pooled vehicle clients · 1 to 16Dec 7, 2023 to Mar 29, 2024
- Assets in custody · $25.4M to $56.4MDec 7, 2023 to Mar 29, 2024
- Employees · 46 to 48Dec 7, 2023 to Mar 29, 2024
- Discretionary RAUM · $14B to $15BDec 7, 2023 to Mar 29, 2024
- HNW RAUM · $14.0M to $19.7MDec 7, 2023 to Mar 29, 2024
- Individual RAUM · $24.3M to $0Dec 7, 2023 to Mar 29, 2024
- Pension RAUM · $17.4M to $22.8MDec 7, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $22.4M to $91.2MDec 7, 2023 to Mar 29, 2024
- RAUM · $14B to $15BDec 7, 2023 to Mar 29, 2024
- Wrap assets (manager) · $296M to $77.8MDec 7, 2023 to Mar 29, 2024
- Accounts · 3,001 to 408Dec 7, 2023 to Mar 29, 2024
- BD registered reps · 4 to 3Dec 7, 2023 to Mar 29, 2024
- Individual clients · 198.0 to unsetDec 7, 2023 to Mar 29, 2024
- Accounts · 4,207 to 3,001Mar 31, 2022 to Mar 31, 2023
- HNW clients · 5.0 to unsetMar 31, 2022 to Mar 31, 2023
Signals
14 dated events
- Mckenzie Brett Winton (Chief Futurist; Ark Venture Investment Committee Member) no longer on Schedule A of Ark Invest (listed 2023-12-07, absent 2024-03-29)Mar 29, 2024 · Control person left · inference
- Ark Invest reported RAUM $13.9B, down 44% from $24.8B (2022-03-31 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Jana Haines (Chief Strategy Officer) no longer on Schedule A of Ark Invest (listed 2022-03-31, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Ark Invest reported RAUM $24.8B, down 55% from $55.1B (2021-11-05 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Edward Paul Wilson (Chief Financial Officer) appeared on Schedule A of Ark InvestMar 31, 2022 · Control person joined · fact
- Forest Dana Wolfe (General Counsel) appeared on Schedule A of Ark InvestMar 31, 2022 · Control person joined · fact
- Arthur James Chavis (Chief Financial Officer; Chief Administrative Officer) no longer on Schedule A of Ark Invest (listed 2021-11-05, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Ark Invest reported RAUM $55.1B, up 1131% from $4.5B (2020-08-14 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Jana Haines (Chief Strategy Officer) appeared on Schedule A of Ark InvestMar 31, 2021 · Control person joined · fact
- Ark Invest reported RAUM $4.5B, up 34% from $3.3B (2019-03-27 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Ark Invest reported RAUM $3.3B, up 76% from $1.9B (2018-07-06 to 2019-03-27)Mar 27, 2019 · RAUM change · derived
- Arthur James Chavis (Chief Financial Officer; Chief Administrative Officer) appeared on Schedule A of Ark InvestMar 27, 2019 · Control person joined · fact
- Ark Invest reported RAUM $1.9B, up 43% from $1.3B (2017-09-25 to 2018-03-30)Mar 30, 2018 · RAUM change · derived
- Ark Investment Management Llc filed its initial SEC registration (Form ADV)Jan 9, 2014 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- ARK Invest · Venture Capitalshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/ark-investment-managementreportedpublic record, Form ADV, Sep 17, 2026
- Website
- ark-invest.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 727-810-8160reportedpublic record, Form ADV, Aug 24, 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