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

Barclays Capital Inc.

Former SEC-registered adviserNew York, New YorkCRD 19714SEC 801-69700IAPD
Latest filing Dec 15, 2015
First filing on the tape Mar 15, 2012 · 96 filings
RAUM
$13B
reported, Item 5.F
Discretionary
93%
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
765
204 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
7
$1.2B gross assets
History
96 filings and snapshots on the tape
RAUM$14B as of Mar 31, 2015
Mar 30, 2012$12B then
HNW client RAUM: no history
State-registered IARs (5.B.3)418 as of Mar 31, 2015
Apr 1, 2013501 then
Employees (5.A)765 as of Mar 31, 2015
Apr 1, 20131,101 then
Private funds5 as of Mar 31, 2015
Mar 30, 201210 then
RAUM -1.9% over the last fiscal year+1.9% a year over threeIARs 496 to 418
Practice profile
derived from the filing of Dec 15, 2015; every figure names its basis
RAUM per advisor
$30.5MderivedRAUM 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
$4.6MderivedRAUM over accounts (5.F.2.f)
Discretionary
93%derivedof RAUM
Institutional
0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
1.8derivedItem 5.A over advisors
Advisors per office
32.2derived13 offices incl. principal (1.F.5)
RAUM growth, one year
+11%derivedbetween the last two annual amendments
Advisor growth, one year
-16%derivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
percentage of assets, performance-based, otherreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, selection of other advisers, otherreportedItem 5.G
Custody
$9.2B, 7,330 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
  • is a broker-dealer (6.A.1)
  • 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)
  • has custody of client cash or bank accounts (9.A.1.a)
  • has custody of client securities (9.A.1.b)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • an independent public accountant performs a surprise examination (9.C.1)
  • the adviser acts as qualified custodian (9.D.1)
  • a related person acts as qualified custodian (9.D.2)
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
2,786reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
$9.2B for 7,330 clientsreported
Compensation
% of AUM, performancereported
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
Joined, latest
Every departureEvery arrival
Teams: two or more advisors moving together within fourteen days, from one state
    Teams outTeams in
    Private funds
    6 reported on Schedule D 7.B.(1)
    FundTypeGross assetsOwnersFirst reported
    Barclays Wealth Advisor Series- Global Equity Master Fund L.P.Other Private Fund$2.7M0Mar 15, 2012
    Barclays Wealth Advisor Series - International Core Equity Master Fund L.P.no longer reportedOther Private Fund$1.7M22Mar 15, 2012
    Barclays Wealth Advisor Series- Global Bond Master Fund L.P.Other Private Fund$736,0190Mar 15, 2012
    Barclays Capital Gtaa Fund, LLCno longer reportedHedge Fund$51,3301Mar 15, 2012
    Barclays Wealth Advisor Series-Multi-Manager International Equity Ltd.no longer reportedOther Private Fund$00Mar 15, 2012
    Real Return Usd Master Fund, Ltdno longer reportedHedge Fund$00Apr 1, 2013
    Owners and control persons
    Schedule A and B, latest filing
    • Kenneth Charles Abbott · Board Directorcontrol
      since 11/2015 · owns less than 5%
    • Joseph Michael Busuttil · Board Directorcontrol
      since 07/2013 · owns less than 5%
    • Joseph James III Corcoran · Board Directorcontrol
      since 05/2013 · owns less than 5%
    • Monty Lee Forrest · Chief Operations Officercontrol
      since 05/2015 · owns less than 5%
    • Joseph Allen Gold · Board Directorcontrol
      since 05/2014 · owns less than 5%
    • Gerard Sebastian Larocca · Board Directorcontrol
      since 10/2005 · owns less than 5%
    • Thomas James Mcguire · Board Directorcontrol
      since 05/2014 · owns less than 5%
    • Anthony Bancone · Rosfp - Distribution
      since 08/2013 · owns less than 5%
    • William Francis Cairney · Chief Compliance Officer - Investment Adviser
      since 11/2014 · owns less than 5%
    • Jonathan Michael Imundo · Rosfp - Investor Solutions
      since 08/2013 · owns less than 5%
    • Rahul Jaising · Rosfp - Prime Services
      since 08/2013 · owns less than 5%
    • Kevin John Mckay · Chief Legal Officer - Wealth
      since 03/2015 · owns less than 5%
    • Jeffrey Anthony Meli · Co-Head Of Research
      since 07/2015 · owns less than 5%
    • Jill Wenzlaff Ostergaard · Chief Compliance Officer - Bd
      since 03/2012 · owns less than 5%
    • Marcelo Leoncio Riffaud · Chief Legal Officer
      since 07/2015 · owns less than 5%
    Entity owners
    • Barclays Group US Inc. · Owns Barclays Capital Inc.
      direct · owns 75% or more
    • Barclays Bank Plc · Sole Shareholder
      indirect · owns 75% or more of Barclays Group US Inc. · public reporting company
    • Barclays Plc · Sole Shareholder
      indirect · owns 75% or more of Barclays Bank Plc · public reporting company
    Related persons
    Schedule D 7.A
    • Barclays Bank Delaware
      custodiann
    • Barclays Bank Plc
      broker-dealerinvestment advisery
    • Barclays Wealth Trustees (U.S.), N.A.
      custodiann
    Advisers that list Barclays Capital Inc. as a related person
    Offices
    Schedule D 1.F, the 25 largest
    • Atlanta, GA
    • Boston, MA
    • Chicago, IL
    • Dallas, TX
    • Houston, TX
    • Los Angeles, CA
    • Miami, FL
    • New York, NY
    • Palm Beach, FL
    • Philadelphia, PA
    • San Francisco, CA
    • Washington, Dc, DC
    What changed
    consecutive filings, newest first
    • Accounts · 4,386 to 2,786
      Aug 24, 2015 to Aug 26, 2015
    • Assets in custody · $12B to $9.2B
      Aug 24, 2015 to Aug 26, 2015
    • Discretionary RAUM · $13B to $12B
      Aug 24, 2015 to Aug 26, 2015
    • Non-discretionary RAUM · $1.5B to $857M
      Aug 24, 2015 to Aug 26, 2015
    • RAUM · $14B to $13B
      Aug 24, 2015 to Aug 26, 2015
    • Accounts · 4,617 to 4,386
      May 18, 2015 to May 28, 2015
    • Assets in custody · $13B to $12B
      May 18, 2015 to May 28, 2015
    • Discretionary RAUM · $13B to $13B
      May 18, 2015 to May 28, 2015
    • Non-discretionary RAUM · $1.5B to $1.5B
      May 18, 2015 to May 28, 2015
    • RAUM · $14B to $14B
      May 18, 2015 to May 28, 2015
    • Private funds · 5 to 7
      Apr 22, 2015 to Apr 29, 2015
    • Accounts · 4,409 to 4,617
      Feb 13, 2015 to Mar 31, 2015
    • Advisory employees · 272 to 204
      Feb 13, 2015 to Mar 31, 2015
    • BD registered reps · 600 to 519
      Feb 13, 2015 to Mar 31, 2015
    • Assets in custody · $14B to $13B
      Feb 13, 2015 to Mar 31, 2015
    • Employees · 1,061 to 765
      Feb 13, 2015 to Mar 31, 2015
    • State-registered IARs · 496 to 418
      Feb 13, 2015 to Mar 31, 2015
    • Private funds · 7 to 5
      Feb 13, 2015 to Mar 31, 2015
    • Discretionary RAUM · $12B to $13B
      Feb 13, 2015 to Mar 31, 2015
    • Non-discretionary RAUM · $1.4B to $1.5B
      Feb 13, 2015 to Mar 31, 2015
    • RAUM · $13B to $14B
      Feb 13, 2015 to Mar 31, 2015
    • Accounts · 6,069 to 4,409
      Mar 19, 2014 to Mar 31, 2014
    • BD registered reps · 632 to 600
      Mar 19, 2014 to Mar 31, 2014
    • Assets in custody · $10B to $14B
      Mar 19, 2014 to Mar 31, 2014
    • Employees · 1,101 to 1,061
      Mar 19, 2014 to Mar 31, 2014
    • State-registered IARs · 501 to 496
      Mar 19, 2014 to Mar 31, 2014
    • Private funds · 9 to 7
      Mar 19, 2014 to Mar 31, 2014
    • Discretionary RAUM · $11B to $12B
      Mar 19, 2014 to Mar 31, 2014
    • Non-discretionary RAUM · $892M to $1.4B
      Mar 19, 2014 to Mar 31, 2014
    • RAUM · $12B to $13B
      Mar 19, 2014 to Mar 31, 2014
    • Related bank · true to false
      Mar 19, 2014 to Mar 31, 2014
    • Accounts · 8,936 to 6,069
      Feb 14, 2013 to Apr 1, 2013
    • Advisory employees · 249 to 272
      Feb 14, 2013 to Apr 1, 2013
    • BD registered reps · 621 to 632
      Feb 14, 2013 to Apr 1, 2013
    • Assets in custody · $7.9B to $10B
      Feb 14, 2013 to Apr 1, 2013
    • Employees · 962 to 1,101
      Feb 14, 2013 to Apr 1, 2013
    • State-registered IARs · 452 to 501
      Feb 14, 2013 to Apr 1, 2013
    • Private funds · 10 to 9
      Feb 14, 2013 to Apr 1, 2013
    • Discretionary RAUM · $7.0B to $11B
      Feb 14, 2013 to Apr 1, 2013
    • Non-discretionary RAUM · $5.0B to $892M
      Feb 14, 2013 to Apr 1, 2013
    Signals
    No event on the tape.
    Across DFX
    shared identifiers only, never a name match
    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
    Across the graphs

    Barclays Capital Inc. 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.

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