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
Warwick Investment Group, LLC
Latest filing Aug 10, 2026
First filing on the tape May 7, 2015 · 40 filings
SEC status approved since May 15, 2015
RAUM
$2.1B
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
82
13 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
5
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$2.1B as of Aug 10, 2026
Mar 30, 2016$251M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Aug 10, 2026
Mar 30, 20160 then
Employees (5.A)82 as of Aug 10, 2026
Mar 30, 201635 then
Private funds5 as of Aug 10, 2026
Mar 30, 20161 then
RAUM +14% over the last fiscal year+11% a year over threeIARs 0 to 0offices 2 to 3
Practice profile
derived from the filing of Aug 10, 2026; 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
- $410MderivedRAUM 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
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +14%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 assets, performance-based, otherreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 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
- has discretionary authority over which securities are bought or sold (8.C.1)
- a related person has custody of client cash (9.B.1.a)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$2.1B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 5reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=false related_bank=false 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
none on the tape
Joined, latest
none on the tape
Private funds
4 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Warwick Partners III, LP | Private Equity Fund | $825M | 22 | Aug 20, 2015 |
| Warwick Partners IV, LP | Private Equity Fund | $575M | 17 | Jun 4, 2019 |
| Warwick Uk Real Estate Fund I | Private Equity Fund | $125M | 24 | Sep 17, 2021 |
| Warwick Partners V, LP | Private Equity Fund | $121M | 3 | Mar 30, 2023 |
Owners and control persons
Schedule A and B, latest filing
- Taaffe Katherine Richard · Chief Executive Officer; Managing Membercontrolsince 10/2014 · owns 75% or more
- Leal Cynthia-Elaine Schlanger · Chief Compliance Officercontrolsince 12/2024 · owns less than 5%
Related persons
Schedule D 7.A
- Warwick Management Company, LLCpooled vehicle sponsory
- Warwick Partners IV Gp, LPpooled vehicle sponsory
- Warwick Partners V Gp, LLCpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- Dallas, TX2 employees
- Oklahoma City, OK2 employees
What changed
consecutive filings, newest first
- Other offices · 1 to 3Mar 30, 2026 to Aug 10, 2026
- Advisory employees · 14 to 13Mar 31, 2025 to Mar 30, 2026
- Employees · 76 to 82Mar 31, 2025 to Mar 30, 2026
- Other offices · 2 to 1Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $1.8B to $2.1BMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $1.8B to $2.1BMar 31, 2025 to Mar 30, 2026
- RAUM · $1.8B to $2.1BMar 31, 2025 to Mar 30, 2026
- Accounts · 4 to 5Dec 13, 2024 to Mar 31, 2025
- Advisory employees · 19 to 14Dec 13, 2024 to Mar 31, 2025
- Pooled vehicle clients · 4 to 5Dec 13, 2024 to Mar 31, 2025
- Financial planning clients · unset to Dec 13, 2024 to Mar 31, 2025
- Private funds · 4 to 5Dec 13, 2024 to Mar 31, 2025
- Discretionary RAUM · $1.6B to $1.8BDec 13, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $1.6B to $1.8BDec 13, 2024 to Mar 31, 2025
- RAUM · $1.6B to $1.8BDec 13, 2024 to Mar 31, 2025
- Related adviser · false to trueDec 13, 2024 to Mar 31, 2025
- Advisory employees · 13 to 19Feb 28, 2024 to Mar 28, 2024
- Employees · 70 to 76Feb 28, 2024 to Mar 28, 2024
- Discretionary RAUM · $1.7B to $1.6BFeb 28, 2024 to Mar 28, 2024
- Pooled vehicle RAUM · $1.7B to $1.6BFeb 28, 2024 to Mar 28, 2024
- RAUM · $1.7B to $1.6BFeb 28, 2024 to Mar 28, 2024
- Discretionary RAUM · $1.5B to $1.7BMar 30, 2023 to Jun 20, 2023
- Pooled vehicle RAUM · $1.5B to $1.7BMar 30, 2023 to Jun 20, 2023
- RAUM · $1.5B to $1.7BMar 30, 2023 to Jun 20, 2023
- Accounts · 3 to 4Jul 5, 2022 to Mar 30, 2023
- Pooled vehicle clients · 3 to 4Jul 5, 2022 to Mar 30, 2023
- Private funds · 3 to 4Jul 5, 2022 to Mar 30, 2023
- Discretionary RAUM · $1.2B to $1.5BJul 5, 2022 to Mar 30, 2023
- Pooled vehicle RAUM · $1.2B to $1.5BJul 5, 2022 to Mar 30, 2023
- RAUM · $1.2B to $1.5BJul 5, 2022 to Mar 30, 2023
- Advisory employees · 10 to 13Mar 28, 2022 to Jul 5, 2022
- Employees · 65 to 70Mar 28, 2022 to Jul 5, 2022
- Discretionary RAUM · $1.2B to $1.2BMar 28, 2022 to Jul 5, 2022
- Pooled vehicle RAUM · $1.2B to $1.2BMar 28, 2022 to Jul 5, 2022
- RAUM · $1.2B to $1.2BMar 28, 2022 to Jul 5, 2022
- Employees · 60 to 65Jan 12, 2022 to Mar 28, 2022
- Discretionary RAUM · $1.1B to $1.2BJan 12, 2022 to Mar 28, 2022
- Pooled vehicle RAUM · $1.1B to $1.2BJan 12, 2022 to Mar 28, 2022
- RAUM · $1.1B to $1.2BJan 12, 2022 to Mar 28, 2022
- Accounts · 2 to 3Jul 2, 2021 to Sep 17, 2021
Signals
7 dated events
- Ross Ian Rainbolt (Chief Financial Officer And Chief Compliance Officer) no longer on Schedule A of Warwick Investment Group, Llc (listed 2024-03-28, absent 2024-12-13)Dec 13, 2024 · Control person left · inference
- Leal Cynthia-Elaine Schlanger (Chief Compliance Officer) appeared on Schedule A of Warwick Investment Group, LlcDec 13, 2024 · Control person joined · fact
- Christopher Brian Blad (Chief Financial Officer) no longer on Schedule A of Warwick Investment Group, Llc (listed 2023-06-20, absent 2023-10-31)Oct 31, 2023 · Control person left · inference
- Ross Ian Rainbolt (Chief Financial Officer) appeared on Schedule A of Warwick Investment Group, LlcOct 31, 2023 · Control person joined · fact
- Arnote Richard Claire Packer (Chief Administrative Officer & Chief Compliance Officer) no longer on Schedule A of Warwick Investment Group, Llc (listed 2021-10-15, absent 2022-01-12)Jan 12, 2022 · Control person left · inference
- Harold Michael Brown (General Counsel And Chief Compliance Officer) no longer on Schedule A of Warwick Investment Group, Llc (listed 2021-09-24, absent 2021-10-15)Oct 15, 2021 · Control person left · inference
- Warwick Energy Investment Group, Llc filed its initial SEC registration (Form ADV)May 7, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Warwick Investment Group, LLC · Independent Sponsorsshared crd · capital_provider
- Warwick Investment Group, LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/warwick-investment-groupreportedpublic record, Form ADV, Sep 17, 2026
- Website
- warwickinvestmentgroup.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 405-607-3400reportedpublic record, Form ADV, Aug 10, 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
- Asset manager (funds and pooled vehicles)deriveda 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