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

Envestnet Retirement Solutions, LLC

Institutional managerBerwyn, PennsylvaniaCRD 171570SEC 801-79855websiteIAPD
Latest filing Jun 30, 2026
First filing on the tape May 27, 2014 · 51 filings
SEC status approved since Apr 28, 2014
RAUM
$16B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
4
registered through the firm on IAPD
RAUM per advisor
$4.1B
derived; firm RAUM over IAPD count
Employees
24
15 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
51 filings and snapshots on the tape
RAUM$16B as of Jun 30, 2026
Mar 31, 2015$530M then
HNW client RAUM$0 as of Jun 30, 2026
Mar 29, 2018$0 then
State-registered IARs (5.B.3)4 as of Jun 30, 2026
Mar 31, 20151 then
Employees (5.A)24 as of Jun 30, 2026
Mar 31, 201514 then
Private funds: no history
RAUM +12% over the last fiscal year+3.2% a year over threeIARs 5 to 4
Practice profile
derived from the filing of Jun 30, 2026; every figure names its basis
Archetypes, each a printed rule
  • Institutional asset manager · institutional share (pensions, government, insurance, corporations, charities, banks, other advisers) at least 60 percent and private-client share under 20 percent
  • OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
  • PE backed · a Schedule A entity owner at 25 percent or more whose exact legal name is a PE fund vehicle or a classified PE sponsor on the DFX private equity graph
  • Retirement plan adviser · pension consulting activity (Item 5.G.6) and pension plans at least 25 percent of RAUM or at least 25 pension-plan clients
RAUM per advisor
$4.1BderivedRAUM 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
$3.3MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
87%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
6.0derivedItem 5.A over advisors
Advisors per office
4.0derived1 offices incl. principal (1.F.5)
RAUM growth, one year
+12%derivedbetween the last two annual amendments
Advisor growth, one year
-20%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, pension consulting, selection of other advisers, otherreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pension and profit-sharing plans$14B85%
  • Pooled investment vehicles$2.1B13%
  • State and municipal entities$318M2.0%
Individual clients
0reported
HNW clients
0reported
Pension plan clients
4,391reported
Charitable clients
0reported
Accounts
4,876reported
Financial planning clients
reported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
Class basis
private_client_share=0.0 fund_share=0.13 institutional_share=0.87 related_bd=true related_bank=true bd_reps=0.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
NameBranchHere sinceIn industryPrior firms
Erik Robert PreusChartered Financial AnalystBerwyn, Pa Aug 2, 202332 y2
Sarah Lynn AbernathyChartered Financial AnalystBerwyn, Pa Aug 4, 202317 y0
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount1 left over 36 months
Joined, latest
Every departureEvery arrival
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
  • Marie Dana D'Auria · Co-Chief Investment Officercontrol
    since 12/2022 · owns less than 5%
  • Lawrence James Fox · Interim Chief Executive Officercontrol
    since 04/2024 · owns less than 5%
  • S Shelly O'Brien · Chief Legal Officer/General Counsel/Secretarycontrol
    since 12/2022 · owns less than 5%
  • Robert Erik Preus · Presidentcontrol
    since 01/2021 · owns less than 5%
  • Michael Thomas Sipp · Evp, Envestnet Business Linescontrol
    since 12/2022 · owns less than 5%
  • Rockwell Brandon Thomas · Co-Ciocontrol
    since 12/2022 · owns less than 5%
  • B. Joshua Warren · Chief Financial Officercontrol
    since 01/2024 · owns less than 5%
  • Jane Debra Devoe · Svp/Chief Compliance Officer/ Managing Director
    since 05/2019 · owns less than 5%
Entity owners
  • Envestnet, Inc. · Shareholder
    direct · owns 75% or more
  • Bcpe Pequod Buyer, Inc. · Owner
    indirect · owns 75% or more of Envestnet, Inc.
  • Bcpe Pequod Intermediate, LLC · Owner
    indirect · owns 75% or more of Bcpe Pequod Buyer, Inc.
  • Bcpe Pequod Investor, LP · Owner
    indirect · owns 50% to 75% of Bcpe Pequod Topco, LP
  • Bcpe Pequod Parent , Inc. · Owner
    indirect · owns 75% or more of Bcpe Pequod Intermediate, LLC
  • Bcpe Pequod Topco, LP · Owner
    indirect · owns 75% or more of Bcpe Pequod Parent , Inc.
  • Bain Capital Fund Xiii, L.P. · Owner
    indirect · owns 25% to 50% of Bcpe Pequod Investor, LP
Related persons
Schedule D 7.A
Advisers that list Envestnet Retirement Solutions, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
OfficeAdvisorsJoinedLeftTeams outForming
Berwyn, Pa · principal400
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
2 against comparable advisers; where to look, not conclusions
  • very high RAUM per advisorStatic outlier · filing Jun 30, 2026
    RAUM per registered advisor of $4,076,013,760 against a peer median of $997,566,930 (33 comparable advisers, 100.0th percentile, 3.4 robust deviations)
    peers: institutional managers, $5B to $20B (33) · 100% percentile
  • institutional asset share shiftChange between filings · filing Apr 10, 2026
    institutional share of RAUM moved from 68.0% to 87.0% between the annual amendments of 2025-03-31 and 2026-04-10
    peers: institutional managers, $5B to $20B (71)
How anomalies are measured
What changed
consecutive filings, newest first
  • HQ city · CHICAGO to BERWYN
    Apr 10, 2026 to Jun 30, 2026
  • HQ state · IL to PA
    Apr 10, 2026 to Jun 30, 2026
  • Other offices · 1 to 0
    Apr 10, 2026 to Jun 30, 2026
  • Accounts · 4,663 to 4,876
    Dec 8, 2025 to Mar 31, 2026
  • Advisory employees · 12 to 15
    Dec 8, 2025 to Mar 31, 2026
  • Pension plan clients · 3,200 to 4,391
    Dec 8, 2025 to Mar 31, 2026
  • Pooled vehicle clients · 1,429 to 420
    Dec 8, 2025 to Mar 31, 2026
  • Employees · 28 to 24
    Dec 8, 2025 to Mar 31, 2026
  • State-registered IARs · 5 to 4
    Dec 8, 2025 to Mar 31, 2026
  • Other offices · 0 to 1
    Dec 8, 2025 to Mar 31, 2026
  • Discretionary RAUM · $15B to $16B
    Dec 8, 2025 to Mar 31, 2026
  • Pension RAUM · $9.8B to $14B
    Dec 8, 2025 to Mar 31, 2026
  • Pooled vehicle RAUM · $4.6B to $2.1B
    Dec 8, 2025 to Mar 31, 2026
  • RAUM · $15B to $16B
    Dec 8, 2025 to Mar 31, 2026
  • Financial planning clients · unset to
    Mar 31, 2025 to Jul 1, 2025
  • Accounts · 4,936 to 4,663
    Feb 18, 2025 to Mar 31, 2025
  • Pension plan clients · 3,628 to 3,200
    Feb 18, 2025 to Mar 31, 2025
  • Pooled vehicle clients · 1,274 to 1,429
    Feb 18, 2025 to Mar 31, 2025
  • State-registered IARs · 4 to 5
    Feb 18, 2025 to Mar 31, 2025
  • Discretionary RAUM · $14B to $15B
    Feb 18, 2025 to Mar 31, 2025
  • Pension RAUM · $10.0B to $9.8B
    Feb 18, 2025 to Mar 31, 2025
  • Pooled vehicle RAUM · $4.3B to $4.6B
    Feb 18, 2025 to Mar 31, 2025
  • RAUM · $14B to $15B
    Feb 18, 2025 to Mar 31, 2025
  • Related bank · false to true
    Sep 9, 2024 to Dec 6, 2024
  • Accounts · 6,224 to 4,936
    Jan 24, 2024 to Mar 28, 2024
  • Advisory employees · 10 to 12
    Jan 24, 2024 to Mar 28, 2024
  • Pension plan clients · 4,419 to 3,628
    Jan 24, 2024 to Mar 28, 2024
  • Pooled vehicle clients · 1,767 to 1,274
    Jan 24, 2024 to Mar 28, 2024
  • Insurance-licensed employees · 0 to 1
    Jan 24, 2024 to Mar 28, 2024
  • State-registered IARs · 3 to 4
    Jan 24, 2024 to Mar 28, 2024
  • Discretionary RAUM · $15B to $14B
    Jan 24, 2024 to Mar 28, 2024
  • Pension RAUM · $9.9B to $10.0B
    Jan 24, 2024 to Mar 28, 2024
  • Pooled vehicle RAUM · $4.8B to $4.3B
    Jan 24, 2024 to Mar 28, 2024
  • RAUM · $15B to $14B
    Jan 24, 2024 to Mar 28, 2024
  • Related broker-dealer · false to true
    Mar 31, 2023 to Dec 12, 2023
  • Accounts · 6,077 to 6,224
    Feb 22, 2023 to Mar 31, 2023
  • Advisory employees · 3 to 10
    Feb 22, 2023 to Mar 31, 2023
  • Pension plan clients · 4,699 to 4,419
    Feb 22, 2023 to Mar 31, 2023
  • Pooled vehicle clients · 1,283 to 1,767
    Feb 22, 2023 to Mar 31, 2023
  • State-registered IARs · 4 to 3
    Feb 22, 2023 to Mar 31, 2023
Signals
28 dated events
  • Seamus Sean Murray (Head, Envestment Retirement Solutions) no longer on Schedule A of Envestnet Retirement Solutions, Llc (listed 2024-09-09, absent 2024-12-06)
    Dec 6, 2024 · Control person left · inference
  • Lawrence James Fox (Interim Chief Executive Officer) appeared on Schedule A of Envestnet Retirement Solutions, Llc
    Mar 28, 2024 · Control person joined · fact
  • C. William Crager (Ceo) no longer on Schedule A of Envestnet Retirement Solutions, Llc (listed 2024-01-24, absent 2024-03-28)
    Mar 28, 2024 · Control person left · inference
  • Michael Robert Coppola (Chief Technology Officer) no longer on Schedule A of Envestnet Retirement Solutions, Llc (listed 2024-01-24, absent 2024-03-28)
    Mar 28, 2024 · Control person left · inference
  • H Peter Darrigo (Chief Financial Officer) no longer on Schedule A of Envestnet Retirement Solutions, Llc (listed 2023-12-12, absent 2024-01-24)
    Jan 24, 2024 · Control person left · inference
  • David Joshua Mayer (Chief Operating Officer) no longer on Schedule A of Envestnet Retirement Solutions, Llc (listed 2023-12-12, absent 2024-01-24)
    Jan 24, 2024 · Control person left · inference
  • B. Joshua Warren (Chief Financial Officer) appeared on Schedule A of Envestnet Retirement Solutions, Llc
    Jan 24, 2024 · Control person joined · fact
  • Brian Mccarthy left Envestnet Retirement Solutions, Llc for Morningstar Investment Management Llc (registered 2024-11-06)
    Sep 28, 2023 · Advisor changed firm · fact
  • Robert David Mizaur left Envestnet Retirement Solutions, Llc for Morningstar Investment Services Llc (registered 2023-11-07)
    Mar 8, 2023 · Advisor changed firm · fact
  • S Shelly O'Brien (Chief Legal Officer/General Counsel/Secretary) appeared on Schedule A of Envestnet Retirement Solutions, Llc
    Feb 1, 2023 · Control person joined · fact
  • Marie Dana D'Auria (Co-Chief Investment Officer) appeared on Schedule A of Envestnet Retirement Solutions, Llc
    Feb 1, 2023 · Control person joined · fact
  • Michael Thomas Sipp (Evp, Envestnet Business Lines) appeared on Schedule A of Envestnet Retirement Solutions, Llc
    Feb 1, 2023 · Control person joined · fact
  • Michael Robert Coppola (Chief Technology Officer) appeared on Schedule A of Envestnet Retirement Solutions, Llc
    Feb 1, 2023 · Control person joined · fact
  • Rockwell Brandon Thomas (Co-Cio/Managing Director) appeared on Schedule A of Envestnet Retirement Solutions, Llc
    Feb 1, 2023 · Control person joined · fact
  • C. William Crager (Ceo) appeared on Schedule A of Envestnet Retirement Solutions, Llc
    Feb 1, 2023 · Control person joined · fact
  • H Peter Darrigo (Chief Financial Officer) appeared on Schedule A of Envestnet Retirement Solutions, Llc
    Feb 1, 2023 · Control person joined · fact
  • Seamus Sean Murray (Head, Envestment Retirment Solutions) appeared on Schedule A of Envestnet Retirement Solutions, Llc
    Feb 1, 2023 · Control person joined · fact
  • Robert Erik Preus (President) appeared on Schedule A of Envestnet Retirement Solutions, Llc
    Mar 31, 2021 · Control person joined · fact
  • Envestnet Retirement Solutions, Llc reported RAUM $15.5B, up 27% from $12.2B (2021-01-27 to 2021-03-31)
    Mar 31, 2021 · RAUM change · derived
  • Knox James Patrick (President) no longer on Schedule A of Envestnet Retirement Solutions, Llc (listed 2020-06-29, absent 2021-01-27)
    Jan 27, 2021 · Control person left · inference
  • Knox James Patrick (President) appeared on Schedule A of Envestnet Retirement Solutions, Llc
    Mar 11, 2020 · Control person joined · fact
  • J Robert Bernstein (Chief Investment Strategist) no longer on Schedule A of Envestnet Retirement Solutions, Llc (listed 2019-11-11, absent 2020-03-03)
    Mar 3, 2020 · Control person left · inference
  • Babu Sivadasan (Group President) no longer on Schedule A of Envestnet Retirement Solutions, Llc (listed 2019-11-11, absent 2020-03-03)
    Mar 3, 2020 · Control person left · inference
  • David Joshua Mayer (Chief Operating Officer) appeared on Schedule A of Envestnet Retirement Solutions, Llc
    Mar 3, 2020 · Control person joined · fact
  • Envestnet Retirement Solutions, Llc reported RAUM $10.5B, up 35% from $7.8B (2018-03-29 to 2019-03-29)
    Mar 29, 2019 · RAUM change · derived
  • Envestnet Retirement Solutions, Llc reported RAUM $7.8B, up 147% from $3.2B (2018-02-08 to 2018-03-29)
    Mar 29, 2018 · RAUM change · derived
  • Envestnet Retirement Solutions, Llc filed its initial SEC registration (Form ADV)
    May 27, 2014 · First SEC registration · fact
  • Envestnet Retirement Solutions, Llc reported succeeding to the business of Another Adviser (Form ADV Item 4)
    May 27, 2014 · Succession (Item 4) · 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/envestnetreportedpublic record, Form ADV, Sep 17, 2026
Website
envestnet.blogreportedpublic record, Form ADV, Sep 17, 2026
Principal office phone
1-866-318-4015reportedpublic record, Form ADV, Jun 30, 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
Institutional managerderiveda rule over Items 5.D and 7.A
RAUM per advisor
$4.1Bderivedfirm RAUM over the IAPD count; not a book size
Loaded
Sep 14, 2026