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

Rathbone Warwick Investment Management

Former SEC-registered adviserBoise, IdahoCRD 171115SEC 801-79937IAPD
Legal name Rathbone Warwick Investment Management LLC
Latest filing Jan 29, 2016
First filing on the tape Jun 11, 2014 · 11 filings
RAUM
$464M
reported, Item 5.F
Discretionary
83%
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
6
4 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
11 filings and snapshots on the tape
RAUM$464M as of Jan 26, 2016
Feb 13, 2015$442M then
HNW client RAUM: no history
State-registered IARs (5.B.3)4 as of Jan 26, 2016
Feb 13, 20156 then
Employees (5.A)6 as of Jan 26, 2016
Feb 13, 201510 then
Private funds: no history
RAUM +5.1% over the last fiscal yearIARs 6 to 4
Practice profile
derived from the filing of Jan 29, 2016; every figure names its basis
RAUM per advisor
$116MderivedRAUM 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
$318,746derivedRAUM over accounts (5.F.2.f)
Discretionary
83%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.5derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+5.1%derivedbetween the last two annual amendments
Advisor growth, one year
-33%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, hourly, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, pension consulting, selection of other advisersreportedItem 5.G
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)
  • 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
1,457reported
Financial planning clients
0reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixed, hourlyreported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    No private fund reported.
    Owners and control persons
    Schedule A and B, latest filing
    • Carl Benjamin Warren · Managing Member & Chief Compliance Officercontrol
      since 01/2016 · owns less than 5%
    • Christopher Ryan Warwick · Managing Membercontrol
      since 07/2014 · owns 10% to 25%
    Related persons
    Schedule D 7.A
    No related person reported.
    Offices
    Schedule D 1.F, the 25 largest
    No branch office listed.
    What changed
    consecutive filings, newest first
    • Accounts · 1,183 to 1,457
      Sep 24, 2015 to Jan 26, 2016
    • Advisory employees · 6 to 4
      Sep 24, 2015 to Jan 26, 2016
    • Employees · 10 to 6
      Sep 24, 2015 to Jan 26, 2016
    • State-registered IARs · 6 to 4
      Sep 24, 2015 to Jan 26, 2016
    • Discretionary RAUM · $378M to $383M
      Sep 24, 2015 to Jan 26, 2016
    • Non-discretionary RAUM · $64.0M to $81.3M
      Sep 24, 2015 to Jan 26, 2016
    • RAUM · $442M to $464M
      Sep 24, 2015 to Jan 26, 2016
    • Accounts · 1,124 to 1,183
      Dec 3, 2014 to Feb 13, 2015
    • Employees · 6 to 10
      Dec 3, 2014 to Feb 13, 2015
    • Financial planning clients · unset to 0
      Dec 3, 2014 to Feb 13, 2015
    • Discretionary RAUM · $388M to $378M
      Dec 3, 2014 to Feb 13, 2015
    • Non-discretionary RAUM · $0 to $64.0M
      Dec 3, 2014 to Feb 13, 2015
    • RAUM · $388M to $442M
      Dec 3, 2014 to Feb 13, 2015
    • Accounts · 0 to 1,124
      Jul 2, 2014 to Sep 16, 2014
    • Business name · RATHBONE WARWICK INVESTMENT MANAGEMENT LLC to RATHBONE WARWICK INVESTMENT MANAGEMENT
      Jul 2, 2014 to Sep 16, 2014
    • Discretionary RAUM · $0 to $388M
      Jul 2, 2014 to Sep 16, 2014
    • RAUM · $0 to $388M
      Jul 2, 2014 to Sep 16, 2014
    • Advisory employees · 2 to 6
      Jun 11, 2014 to Jul 1, 2014
    • Business name · RATHBONE WARWICK & DALY INVESTMENT MANAGEMENT LLC to RATHBONE WARWICK INVESTMENT MANAGEMENT LLC
      Jun 11, 2014 to Jul 1, 2014
    • Employees · 2 to 6
      Jun 11, 2014 to Jul 1, 2014
    • State-registered IARs · 2 to 6
      Jun 11, 2014 to Jul 1, 2014
    • Legal name · RATHBONE WARWICK & DALY INVESTMENT MANAGEMENT LLC to RATHBONE WARWICK INVESTMENT MANAGEMENT LLC
      Jun 11, 2014 to Jul 1, 2014
    Signals
    1 dated events
    • Rathbone Warwick & Daly Investment Management Llc filed its initial SEC registration (Form ADV)
      Jun 11, 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