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
Wilmington Trust Investment Management
Legal name Wilmington Trust Investment Management LLC
Latest filing May 14, 2026
First filing on the tape Mar 30, 2012 · 69 filings
SEC status approved since Mar 24, 1992
RAUM
$141M
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
100%
$141M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
36
30 advisory (5.B.1)
Offices
14
beyond the principal office
Private funds
0
reported on Schedule D
History
69 filings and snapshots on the tape
RAUM$141M as of May 14, 2026
Mar 30, 2012$2.4B then
HNW client RAUM: $83.9M
State-registered IARs (5.B.3)0 as of May 14, 2026
Mar 30, 20120 then
Employees (5.A)36 as of May 14, 2026
Apr 1, 201316 then
Private funds4 as of Mar 30, 2023
Mar 30, 201214 then
RAUM +8.3% over the last fiscal year-33% a year over threeIARs 1 to 0offices 3 to 14
Practice profile
derived from the filing of May 14, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank 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
- $1.9MderivedRAUM 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
- unknownderived15 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.3%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individualsreportedItem 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
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Individuals$141M100%
- Individual clients
- 74reported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 74reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=1.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=0.0derived
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
- Rex Phillip Macey to Red TortoiseFeb 16, 2016 · Other
- Lisa More to B. Riley Wealth Advisors, Inc.Jan 19, 2010 · Other
- Scott William Edmonds to Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 19, 2010 · Other
- Takuya Kisaka to A&M Private Wealth Partners, LLCJan 19, 2010 · Other
- Jeffrey Scott Buck to Alpha Capital Management, LLCNov 19, 2009 · Other
- Gary Bradford Martin to Nicholas Hoffman & Company, LLCJan 18, 2008 · Other
- Bruce Alan Spartz to Merrill Lynch, Pierce, Fenner & Smith IncorporatedJan 16, 2008 · Other
- William Christopher Kreicker to Chadds Ford Wealth Partners, LLCJan 14, 2008 · Other
- Jay Allen Richardson to Mutual Advisors, LLCJan 14, 2008 · Other
- Paul Matthew Damm to BalentineJan 4, 2008 · Other
- Wesley Aaron French to Peachtree Investment Advisors, Inc.May 24, 2007 · Other
- Stephen Craig Mcdermott to Wilmington Brokerage Services CompanyFeb 27, 2007 · Other
- Marcia Marie Mayoue to Mayoue Wealth Management, LLCJan 31, 2007 · Other
- Margaret Ann Cox to Mbsc, LLCJun 1, 2005 · Other
- Robert Bradley Caldwell to Balentine & Company Of TennesseeJun 14, 2004 · Other
Joined, latest
- Rex Phillip Macey from American Financial Advisors, LLC.Feb 25, 2005 · Other
- Stephen Craig Mcdermott from UBS Financial Services Inc.Feb 18, 2005 · Other
- Paul Matthew Damm from Cetera Investment Services LLCOct 20, 2004 · Other
Private funds
12 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Wilmington Global Equity Index Fund Select, LPno longer reported | Other Private Fund | $180M | 36 | Mar 30, 2012 |
| Wilmington International Equity Fund Select, LPno longer reported | Other Private Fund | $81.1M | 69 | Mar 30, 2012 |
| Wilmington Real Asset Fund Select, LLCno longer reported | Other Private Fund | $45.2M | 48 | Mar 30, 2012 |
| Wilmington U.S. Small Cap Equity Fund Select, LPno longer reported | Other Private Fund | $22.7M | 75 | Mar 30, 2012 |
| Wilmington Asset Allocation Fund, LLCno longer reported | Other Private Fund | $15.1M | 4 | Mar 30, 2012 |
| Wilmington Global Equity Index Fund, LPno longer reported | Other Private Fund | $6.1M | 7 | Mar 30, 2012 |
| Rodney Square Global Hedge Fund Select, LPno longer reported | Hedge Fund | $1.9M | 141 | Mar 30, 2012 |
| Rodney Square Hedge Fund II Select, LPno longer reported | Hedge Fund | $1.8M | 90 | Mar 30, 2012 |
| Rodney Square Global Hedge Fund, LPno longer reported | Hedge Fund | $633,522 | 31 | Mar 30, 2012 |
| Rodney Square Realty I, LLCno longer reported | Real Estate Fund | $509,293 | 53 | Mar 30, 2012 |
| Rodney Square Venture I (Qp), LLCno longer reported | Private Equity Fund | $344,794 | 19 | Mar 30, 2012 |
| Wilmington Realty II, LLCno longer reported | Real Estate Fund | $24,213 | 27 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- E. Gerald Baker · Elected Managercontrolsince 06/2024 · owns less than 5%
- James John Kelley · Senior Vice President, Chief Administrative Officer & Assistant Treasurercontrolsince 12/2012 · owns less than 5%
- Riley Abigail Mrozinski · Elected Managercontrolsince 06/2024 · owns less than 5%
- Michael Anthony Roth · President, Chief Investment Officer & Elected Managercontrolsince 02/2015 · owns less than 5%
- Jennifer Edna Warren · Chair Of The Board And Chief Executive Officercontrolsince 06/2022 · owns less than 5%
- John Andrew Baldauf · Ccosince 08/2022 · owns less than 5%
- Douglas Matthew Glaser · Executive Vice President, Head Of Equity And Non-Traditional Investmentssince 02/2016 · owns less than 5%
- Alan Luke Tilley · Executive Vice President & Chief Economistsince 02/2015 · owns less than 5%
- Howard Randy Vogel · Executivevice President & Head Of Fixed Incomesince 05/2021 · owns less than 5%
Entity owners
- M&T Bank Corporation · Ownerdirect · owns 75% or more · public reporting company
Related persons
Schedule D 7.A
- M&T Securities, Inc.broker-dealerreal estaten
- Manufacturers And Traders Trust Companyn
- People'S United Advisors, Inc.investment advisernRAUM $845M
- Wilmington Funds Management Corporationinvestment adviserbanknRAUM $16B
- Wilmington Trust Asset Management, LLCinvestment adviserbanknRAUM $271M
- Wilmington Trust Companyn
- Wilmington Trust Investment Advisors, Inc.broker-dealerinvestment adviserbankLP sponsornRAUM $18B
- Wilmington Trust National Associationn
Advisers that list Wilmington Trust Investment Management as a related person
Offices
Schedule D 1.F, the 25 largest
- Baltimore, MD9 employees
- Buffalo, NY6 employees
- Williamsport, PA1 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- employee count surgeChange between filings · filing Mar 30, 2026employees (Item 5.A) moved from 17.0 to 36.0 (+112.0%) between the annual amendments of 2025-03-27 and 2026-03-30; the peer median change was +1.0% (25 comparable advisers, 100.0th percentile of changes)peers: affiliated wealth managers (25) · 100% percentile
- office count surgeChange between filings · filing Mar 30, 2026offices other than the principal office (Item 1.F.5) moved from 3.0 to 14.0 (+367.0%) between the annual amendments of 2025-03-27 and 2026-03-30; the peer median change was +3.0% (20 comparable advisers, 100.0th percentile of changes)peers: affiliated wealth managers (20) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 86 to 74Mar 27, 2025 to Mar 30, 2026
- Advisory employees · 17 to 30Mar 27, 2025 to Mar 30, 2026
- Individual clients · 86 to 74Mar 27, 2025 to Mar 30, 2026
- Employees · 17 to 36Mar 27, 2025 to Mar 30, 2026
- Insurance-licensed employees · 1 to 0Mar 27, 2025 to Mar 30, 2026
- State-registered IARs · 1 to 0Mar 27, 2025 to Mar 30, 2026
- Other offices · 3 to 14Mar 27, 2025 to Mar 30, 2026
- Discretionary RAUM · $130M to $141MMar 27, 2025 to Mar 30, 2026
- Individual RAUM · $130M to $141MMar 27, 2025 to Mar 30, 2026
- RAUM · $130M to $141MMar 27, 2025 to Mar 30, 2026
- Accounts · 76 to 86Dec 9, 2024 to Mar 27, 2025
- Advisory employees · 12 to 17Dec 9, 2024 to Mar 27, 2025
- Individual clients · 76 to 86Dec 9, 2024 to Mar 27, 2025
- Employees · 12 to 17Dec 9, 2024 to Mar 27, 2025
- Financial planning clients · 0 to 0Dec 9, 2024 to Mar 27, 2025
- Discretionary RAUM · $189M to $130MDec 9, 2024 to Mar 27, 2025
- Individual RAUM · $189M to $130MDec 9, 2024 to Mar 27, 2025
- RAUM · $189M to $130MDec 9, 2024 to Mar 27, 2025
- Accounts · 89 to 76Oct 18, 2023 to Mar 28, 2024
- Advisory employees · 65 to 12Oct 18, 2023 to Mar 28, 2024
- BD registered reps · 15 to 0Oct 18, 2023 to Mar 28, 2024
- Individual clients · 89 to 76Oct 18, 2023 to Mar 28, 2024
- Employees · 65 to 12Oct 18, 2023 to Mar 28, 2024
- Insurance-licensed employees · 6 to 1Oct 18, 2023 to Mar 28, 2024
- State-registered IARs · 0 to 1Oct 18, 2023 to Mar 28, 2024
- Other offices · 4 to 3Oct 18, 2023 to Mar 28, 2024
- Discretionary RAUM · $186M to $189MOct 18, 2023 to Mar 28, 2024
- Individual RAUM · $186M to $189MOct 18, 2023 to Mar 28, 2024
- RAUM · $186M to $189MOct 18, 2023 to Mar 28, 2024
- Accounts · 90 to 89Jun 22, 2023 to Aug 31, 2023
- Advisory activities · 2 to 1Jun 22, 2023 to Aug 31, 2023
- Individual clients · 86 to 89Jun 22, 2023 to Aug 31, 2023
- Pooled vehicle clients · 4.0 to unsetJun 22, 2023 to Aug 31, 2023
- Assets in custody · 358133011.0 to unsetJun 22, 2023 to Aug 31, 2023
- Private funds · 4 to unsetJun 22, 2023 to Aug 31, 2023
- Discretionary RAUM · $466M to $186MJun 22, 2023 to Aug 31, 2023
- Individual RAUM · $189M to $186MJun 22, 2023 to Aug 31, 2023
- Pooled vehicle RAUM · 277130567.0 to unsetJun 22, 2023 to Aug 31, 2023
- RAUM · $466M to $186MJun 22, 2023 to Aug 31, 2023
- Advisory employees · 68 to 65Sep 7, 2022 to Mar 30, 2023
Signals
23 dated events
- Wilmington Trust Investment Management reported 14 offices beyond its principal office, up from 3 (2025-03-27 to 2026-03-30)Mar 30, 2026 · Office count change · derived
- Wesley Eric Taylor (Executive Vice President & Elected Manager) no longer on Schedule A of Wilmington Trust Investment Management (listed 2024-06-24, absent 2024-08-01)Aug 1, 2024 · Control person left · inference
- Powers Doris Meister (Chair Of The Board And Chief Executive Officer) no longer on Schedule A of Wilmington Trust Investment Management (listed 2024-03-28, absent 2024-06-24)Jun 24, 2024 · Control person left · inference
- J Kevin Pearson (Elected Manager) no longer on Schedule A of Wilmington Trust Investment Management (listed 2024-03-28, absent 2024-06-24)Jun 24, 2024 · Control person left · inference
- Riley Abigail Mrozinski (Elected Manager) appeared on Schedule A of Wilmington Trust Investment ManagementJun 24, 2024 · Control person joined · fact
- E. Gerald Baker (Elected Manager) appeared on Schedule A of Wilmington Trust Investment ManagementJun 24, 2024 · Control person joined · fact
- Wilmington Trust Investment Management reported RAUM $186.0M, down 60% from $466.2M (2023-06-22 to 2023-08-31)Aug 31, 2023 · RAUM change · derived
- Joseph Dominick D'Eramo (Elected Manager) no longer on Schedule A of Wilmington Trust Investment Management (listed 2023-03-30, absent 2023-06-22)Jun 22, 2023 · Control person left · inference
- Marie Denise Cramer (Elected Manager) no longer on Schedule A of Wilmington Trust Investment Management (listed 2023-03-30, absent 2023-06-22)Jun 22, 2023 · Control person left · inference
- Eric Taylor (Executive Vice President & Elected Manager) no longer on Schedule A of Wilmington Trust Investment Management (listed 2023-03-30, absent 2023-06-22)Jun 22, 2023 · Control person left · inference
- Wesley Eric Taylor (Executive Vice President & Elected Manager) appeared on Schedule A of Wilmington Trust Investment ManagementJun 22, 2023 · Control person joined · fact
- James William Farrell (Director) no longer on Schedule A of Wilmington Trust Investment Management (listed 2022-09-07, absent 2023-03-30)Mar 30, 2023 · Control person left · inference
- Eric Taylor (Executive Vice President & Elected Manager) appeared on Schedule A of Wilmington Trust Investment ManagementMar 30, 2023 · Control person joined · fact
- Jennifer Warren (Elected Manager) appeared on Schedule A of Wilmington Trust Investment ManagementMar 30, 2023 · Control person joined · fact
- Raymond David Breck (Chief Compliance Officer) no longer on Schedule A of Wilmington Trust Investment Management (listed 2022-03-30, absent 2022-04-05)Apr 5, 2022 · Control person left · inference
- Wilmington Trust Investment Management reported RAUM $599.0M, down 82% from $3.3B (2022-01-26 to 2022-03-30)Mar 30, 2022 · RAUM change · derived
- Ellen Mary Reilly (Elected Manager) no longer on Schedule A of Wilmington Trust Investment Management (listed 2022-01-26, absent 2022-03-30)Mar 30, 2022 · Control person left · inference
- Wilmington Trust Investment Management reported RAUM $3.3B, up 29% from $2.5B (2020-12-03 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Wilmington Trust Investment Management reported RAUM $2.5B, up 28% from $2.0B (2020-01-03 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Wilmington Trust Investment Management reported RAUM $2.0B, up 377% from $414.4M (2019-01-18 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- J Kevin Pearson (Elected Manager) appeared on Schedule A of Wilmington Trust Investment ManagementMar 29, 2019 · Control person joined · fact
- Adam Richard Shatzkin (Elected Manager) no longer on Schedule A of Wilmington Trust Investment Management (listed 2019-01-18, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
- Francis Rene Jones (Elected Manager) no longer on Schedule A of Wilmington Trust Investment Management (listed 2019-01-18, absent 2019-03-29)Mar 29, 2019 · Control person left · inference
Across DFX
shared identifiers only, never a name match
- Wilmington Trust Investment Management · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Principal office phone
- (646) 531-7248reportedpublic record, Form ADV, May 14, 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
- Bank affiliated wealth managerderiveda 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
Across the graphs
Wilmington Trust Investment Management is the same institution as 1 record in Real Estate Funds.
Real Estate Funds1
Which record it is in each graph, what it is called there, and what the two were joined on. The Data Factory holds all nine graphs and the identity layer between them.
Checking your plan…