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 Investment Management Cayman Ltd

Former SEC-registered adviserGeorge Town, CRD 170663SEC 801-79316IAPD
Latest filing Mar 26, 2021
First filing on the tape Feb 28, 2014 · 26 filings
RAUM
$10B
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
11
1 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
7
$6.0B gross assets
History
26 filings and snapshots on the tape
RAUM$10B as of Mar 26, 2021
Mar 30, 2015$8.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 26, 2021
Mar 30, 20150 then
Employees (5.A)11 as of Mar 26, 2021
Mar 30, 201510 then
Private funds7 as of Mar 26, 2021
Mar 30, 20157 then
RAUM +13% over the last fiscal year+4.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 26, 2021; 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
$685MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
+13%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 assetsreportedItem 5.E
Advisory activities
portfolio management for pooled vehicles, selection of other advisersreportedItem 5.G
Custody
$6.0B, 7 clientsreportedItem 9.A
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
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$10B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
15reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
$6.0B for 7 clientsreported
Compensation
% of AUMreported
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
      6 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Ncs Group Trust Global FundOther Private Fund$3.3B41Mar 30, 2012
      Ncs Group Trust International FundOther Private Fund$1.3B19Mar 30, 2012
      Ncs Global Fund LLCOther Private Fund$678M20Mar 30, 2012
      Ncs International Fund LLCOther Private Fund$482M21Mar 30, 2012
      Ncs Group Trust Global Emerging Markets FundOther Private Fund$27.5M1Mar 30, 2012
      Ncs Group Trust US FundOther Private Fund$00Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • Richard Klingman · Director And Chief Operating Officercontrol
        since 04/2018 · owns less than 5%
      • Patrick Scott Lennon · Directorcontrol
        since 06/2014 · owns less than 5%
      • Beth Rochelle Levy · Chief Compliance Officercontrol
        since 06/2019 · owns less than 5%
      • Marie Eileen Mello · Chief Financial Officercontrol
        since 01/2021 · owns less than 5%
      • Glenn Thomas Mitchell · Directorcontrol
        since 06/2014 · owns less than 5%
      Entity owners
      • Bny Mellon Investment Management (Jersey) Limited · Owner
        direct · owns 75% or more
      • Bny Mellon Ihc, LLC (US) · Owner
        indirect · owns 75% or more of Mbc Investments Corporation
      • Mbc Investments Corporation · Owner
        indirect · owns 75% or more of Bny Mellon Investment Management (Jersey) Limited
      • The Bank Of New York Mellon Corporation · Owner
        indirect · owns 75% or more of Bny Mellon Ihc, LLC (US) · public reporting company
      Related persons
      Schedule D 7.A
      • Benefit Street Partners Limited
        investment adviserbankpooled vehicle sponsornRAUM $23B
      • Bsp Ny LLC
        investment adviserpooled vehicle sponsornRAUM $14B
      • Arx Investimentos Ltda
        investment adviserbanknRAUM $1.9B
      • Bny Mellon Alocacao De Patrimonio Ltda
        investment advisern
      • Bny Mellon Asset Management Canada Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Banco S.A.
        n
      • Bny Mellon Capital Markets Emea Limited
        broker-dealerinvestment adviserbankn
      • Bny Mellon Capital Markets, LLC
        broker-dealern
      • Bny Mellon Etf Investment Adviser, LLC
        investment advisernRAUM $11B
      • Bny Mellon Fund Managers Limited
        investment adviserpooled vehicle sponsorn
      • Bny Mellon Global Management Limited
        investment adviserpooled vehicle sponsorn
      • Bny Mellon Im Korea Limited
        investment advisern
      • Bny Mellon International Management Limited
        investment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Adviser, Inc.
        investment adviserbanknRAUM $419B
      • Bny Mellon Investment Management Australia Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Management Emea Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Management Hong Kong Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Investment Management Japan Limited
        investment advisernRAUM $32B
      • Bny Mellon Investment Management Sinagpore Pte. Limited
        investment advisern
      • Bny Mellon Investor Solutions, LLC
        investment adviserbanknRAUM $853M
      • Bny Mellon National Assocation
        investment advisern
      • Bny Mellon Securities Corporation
        broker-dealerinvestment adviserreal estatenRAUM $8.4B
      • Bny Mellon Servicos Financeiros Distribuidora De Titulos E Valores Mobiliarios (Dtvm) 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 adviserpooled vehicle sponsorn
      • Cibc Mellon Global Securities Services Company
        n
      • Cibc Mellon Trust Company
        n
      • Hedgemark Securities LLC
        broker-dealern
      • Insight Investment Australia Pty Limited
        investment advisern
      Advisers that list Bny Mellon Investment Management Cayman Ltd as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Assets in custody · $5.7B to $6.0B
        Mar 27, 2020 to Mar 26, 2021
      • Discretionary RAUM · $9.1B to $10B
        Mar 27, 2020 to Mar 26, 2021
      • Pooled vehicle RAUM · $9.1B to $10B
        Mar 27, 2020 to Mar 26, 2021
      • RAUM · $9.1B to $10B
        Mar 27, 2020 to Mar 26, 2021
      • Assets in custody · $1.2B to $5.7B
        Jun 18, 2019 to Mar 27, 2020
      • Employees · 10 to 11
        Jun 18, 2019 to Mar 27, 2020
      • Discretionary RAUM · $7.3B to $9.1B
        Jun 18, 2019 to Mar 27, 2020
      • Pooled vehicle RAUM · $7.3B to $9.1B
        Jun 18, 2019 to Mar 27, 2020
      • RAUM · $7.3B to $9.1B
        Jun 18, 2019 to Mar 27, 2020
      • Assets in custody · $507M to $1.2B
        Nov 12, 2018 to Mar 20, 2019
      • Discretionary RAUM · $8.9B to $7.3B
        Nov 12, 2018 to Mar 20, 2019
      • Pooled vehicle RAUM · $8.9B to $7.3B
        Nov 12, 2018 to Mar 20, 2019
      • RAUM · $8.9B to $7.3B
        Nov 12, 2018 to Mar 20, 2019
      • Pooled vehicle clients · unset to 15.0
        Jul 10, 2017 to Mar 28, 2018
      • Assets in custody · $3.9B to $507M
        Jul 10, 2017 to Mar 28, 2018
      • Other offices · unset to 0.0
        Jul 10, 2017 to Mar 28, 2018
      • Discretionary RAUM · $7.3B to $8.9B
        Jul 10, 2017 to Mar 28, 2018
      • Pooled vehicle RAUM · unset to 8903716431.0
        Jul 10, 2017 to Mar 28, 2018
      • RAUM · $7.3B to $8.9B
        Jul 10, 2017 to Mar 28, 2018
      • Assets in custody · $4.3B to $3.9B
        Jan 19, 2017 to Mar 31, 2017
      • Employees · 11 to 10
        Jan 19, 2017 to Mar 31, 2017
      • Discretionary RAUM · $7.7B to $7.3B
        Jan 19, 2017 to Mar 31, 2017
      • RAUM · $7.7B to $7.3B
        Jan 19, 2017 to Mar 31, 2017
      • Assets in custody · $4.2B to $4.3B
        Nov 30, 2015 to Mar 30, 2016
      • Employees · 12 to 11
        Nov 30, 2015 to Mar 30, 2016
      • Discretionary RAUM · $7.6B to $7.7B
        Nov 30, 2015 to Mar 30, 2016
      • RAUM · $7.6B to $7.7B
        Nov 30, 2015 to Mar 30, 2016
      • Accounts · 11 to 15
        Aug 26, 2015 to Oct 6, 2015
      • Assets in custody · $4.9B to $4.2B
        Aug 26, 2015 to Oct 6, 2015
      • Employees · 10 to 12
        Aug 26, 2015 to Oct 6, 2015
      • Discretionary RAUM · $8.9B to $7.6B
        Aug 26, 2015 to Oct 6, 2015
      • RAUM · $8.9B to $7.6B
        Aug 26, 2015 to Oct 6, 2015
      • Advisory employees · 2 to 1
        Jan 8, 2015 to Mar 30, 2015
      • Assets in custody · $5.2B to $4.9B
        Jan 8, 2015 to Mar 30, 2015
      • Discretionary RAUM · $9.2B to $8.9B
        Jan 8, 2015 to Mar 30, 2015
      • RAUM · $9.2B to $8.9B
        Jan 8, 2015 to Mar 30, 2015
      • Accounts · unset to 11.0
        Mar 13, 2014 to Jul 14, 2014
      • Advisory employees · 1 to 2
        Mar 13, 2014 to Jul 14, 2014
      • Assets in custody · unset to 5157212515.0
        Mar 13, 2014 to Jul 14, 2014
      • Custody of client assets · false to true
        Mar 13, 2014 to Jul 14, 2014
      Signals
      8 dated events
      • J Patrice Blais (Chief Financial Officer) no longer on Schedule A of Bny Mellon Investment Management Cayman Ltd (listed 2020-03-27, absent 2021-03-26)
        Mar 26, 2021 · Control person left · inference
      • Marie Eileen Mello (Chief Financial Officer) appeared on Schedule A of Bny Mellon Investment Management Cayman Ltd
        Mar 26, 2021 · Control person joined · fact
      • Beth Rochelle Levy (Chief Compliance Officer) appeared on Schedule A of Bny Mellon Investment Management Cayman Ltd
        Jun 18, 2019 · Control person joined · fact
      • Ida Patrizia Bruzio (Director) no longer on Schedule A of Bny Mellon Investment Management Cayman Ltd (listed 2019-04-25, absent 2019-06-18)
        Jun 18, 2019 · Control person left · inference
      • Tammy Eisenberg (Chief Compliance Officer) no longer on Schedule A of Bny Mellon Investment Management Cayman Ltd (listed 2019-04-25, absent 2019-06-18)
        Jun 18, 2019 · Control person left · inference
      • John David Peace (Chief Financial Officer) no longer on Schedule A of Bny Mellon Investment Management Cayman Ltd (listed 2019-03-26, absent 2019-04-25)
        Apr 25, 2019 · Control person left · inference
      • J Patrice Blais (Chief Financial Officer) appeared on Schedule A of Bny Mellon Investment Management Cayman Ltd
        Apr 25, 2019 · Control person joined · fact
      • Bny Mellon Investment Management Cayman Ltd filed its initial SEC registration (Form ADV)
        Feb 28, 2014 · 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