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
Greenbacker Capital Management LLC
Latest filing Jul 17, 2026
First filing on the tape Aug 5, 2015 · 32 filings
SEC status approved since Aug 21, 2015
RAUM
$3.1B
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
128
34 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
4
reported on Schedule D
History
32 filings and snapshots on the tape
RAUM$3.1B as of Jul 17, 2026
Feb 1, 2016$57.0M then
HNW client RAUM$0 as of Jul 17, 2026
Mar 29, 2024$0 then
State-registered IARs (5.B.3)0 as of Jul 17, 2026
Feb 1, 20160 then
Employees (5.A)128 as of Jul 17, 2026
Feb 1, 20168 then
Private funds4 as of Jul 17, 2026
Mar 26, 20211 then
RAUM -7.1% over the last fiscal year+0.9% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 17, 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
- $448MderivedRAUM 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
- -7.1%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-basedreportedItem 5.E
- Advisory activities
- portfolio management for businesses and institutions, portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $2.8B, 3 clientsreportedItem 9.A
- 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)
- 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)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$3.1B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 7reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $2.8B for 3 clientsreported
- 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=3.0derived
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 |
|---|---|---|---|---|
| Greenbacker Development Opportunities Fund I, L.P. | Private Equity Fund | $102M | 79 | Mar 26, 2021 |
| Greenbacker Development Opportunities Fund II (B), L.P. | Private Equity Fund | $81.8M | 5 | Mar 31, 2023 |
| Greenbacker Development Opportunities Fund II, L.P. | Private Equity Fund | $73.7M | 4 | Mar 31, 2023 |
| Greenbacker Development Opportunities Fund I (B), L.P. | Private Equity Fund | $40.0M | 1 | Mar 31, 2023 |
Owners and control persons
Schedule A and B, latest filing
- Harris David Sher · Chief Executive Officercontrolsince 01/2012 · owns less than 5%
- Lynn Christopher Smith · Chief Financial Officercontrolsince 02/2024 · owns less than 5%
- Claude Vuillieme · General Counsel And Chief Compliance Officercontrolsince 12/2022 · owns less than 5%
- Warwick Stiles Charles Wheeler · President And Chief Investment Officercontrolsince 01/2012 · owns less than 5%
Entity owners
- Greenbacker Renewable Energy Corporation · Sole Memberdirect · owns 75% or more
- Greenbacker Renewable Energy Company LLC · Sole Shareholderindirect · owns 75% or more of Greenbacker Renewable Energy Corporation · public reporting company
Related persons
Schedule D 7.A
- Greenbacker Administration LLCinsurancen
- Greenbacker Renewable Energy Company LLCpooled vehicle sponsory
Offices
Schedule D 1.F, the 25 largest
- New York, NY20 employees
- Denver, CO1 employees
- Montpelier, VT1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 25, 2026employees (Item 5.A) moved from 189.0 to 128.0 (-32.0%) between the annual amendments of 2025-03-28 and 2026-03-25; the peer median change was 0.0% (1109 comparable advisers, 2.0th percentile of changes)peers: asset managers, $1B to $5B (1,109) · 2.2% percentile
What changed
consecutive filings, newest first
- Advisory employees · 46 to 34Jan 7, 2026 to Mar 25, 2026
- BD registered reps · 9 to 3Jan 7, 2026 to Mar 25, 2026
- Assets in custody · $212B to $2.8BJan 7, 2026 to Mar 25, 2026
- Employees · 189 to 128Jan 7, 2026 to Mar 25, 2026
- Discretionary RAUM · $3.4B to $3.1BJan 7, 2026 to Mar 25, 2026
- Pooled vehicle RAUM · $3.4B to $3.1BJan 7, 2026 to Mar 25, 2026
- RAUM · $3.4B to $3.1BJan 7, 2026 to Mar 25, 2026
- Financial planning clients · 0 to 0Mar 28, 2025 to Sep 12, 2025
- Advisory employees · 35 to 46Jan 31, 2025 to Mar 28, 2025
- BD registered reps · 6 to 9Jan 31, 2025 to Mar 28, 2025
- Assets in custody · $3.5B to $212BJan 31, 2025 to Mar 28, 2025
- Employees · 200 to 189Jan 31, 2025 to Mar 28, 2025
- Discretionary RAUM · $3.8B to $3.4BJan 31, 2025 to Mar 28, 2025
- Pooled vehicle RAUM · $3.8B to $3.4BJan 31, 2025 to Mar 28, 2025
- RAUM · $3.8B to $3.4BJan 31, 2025 to Mar 28, 2025
- BD registered reps · 8 to 6Feb 16, 2024 to Mar 29, 2024
- Assets in custody · $2.8B to $3.5BFeb 16, 2024 to Mar 29, 2024
- Discretionary RAUM · $3.0B to $3.8BFeb 16, 2024 to Mar 29, 2024
- HNW RAUM · unset to 0.0Feb 16, 2024 to Mar 29, 2024
- Individual RAUM · unset to 0.0Feb 16, 2024 to Mar 29, 2024
- Pension RAUM · unset to 0.0Feb 16, 2024 to Mar 29, 2024
- Pooled vehicle RAUM · $3.0B to $3.8BFeb 16, 2024 to Mar 29, 2024
- RAUM · $3.0B to $3.8BFeb 16, 2024 to Mar 29, 2024
- Accounts · 3 to 7Dec 21, 2022 to Mar 31, 2023
- Advisory employees · 62 to 35Dec 21, 2022 to Mar 31, 2023
- Pooled vehicle clients · 3 to 7Dec 21, 2022 to Mar 31, 2023
- Assets in custody · $1.9B to $2.8BDec 21, 2022 to Mar 31, 2023
- Employees · 154 to 200Dec 21, 2022 to Mar 31, 2023
- Other offices · 2 to 3Dec 21, 2022 to Mar 31, 2023
- Private funds · 1 to 4Dec 21, 2022 to Mar 31, 2023
- Discretionary RAUM · $2.0B to $3.0BDec 21, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $2.0B to $3.0BDec 21, 2022 to Mar 31, 2023
- RAUM · $2.0B to $3.0BDec 21, 2022 to Mar 31, 2023
- Advisory employees · 40 to 62Oct 12, 2021 to Mar 31, 2022
- BD registered reps · 6 to 8Oct 12, 2021 to Mar 31, 2022
- Assets in custody · $1.1B to $1.9BOct 12, 2021 to Mar 31, 2022
- Employees · 100 to 154Oct 12, 2021 to Mar 31, 2022
- Other offices · 1 to 2Oct 12, 2021 to Mar 31, 2022
- Discretionary RAUM · $1.1B to $2.0BOct 12, 2021 to Mar 31, 2022
- Pooled vehicle RAUM · $1.1B to $2.0BOct 12, 2021 to Mar 31, 2022
Signals
19 dated events
- Julianne Hull (Chief Compliance Officer) no longer on Schedule A of Greenbacker Capital Management Llc (listed 2024-10-30, absent 2024-11-15)Nov 15, 2024 · Control person left · inference
- Lynn Christopher Smith (Chief Financial Officer) appeared on Schedule A of Greenbacker Capital Management LlcFeb 16, 2024 · Control person joined · fact
- Spencer Mash (Chief Financial Officer) no longer on Schedule A of Greenbacker Capital Management Llc (listed 2023-09-22, absent 2024-02-16)Feb 16, 2024 · Control person left · inference
- Vijay Mehul Mehta (Chief Investment Officer) no longer on Schedule A of Greenbacker Capital Management Llc (listed 2023-06-08, absent 2023-09-22)Sep 22, 2023 · Control person left · inference
- Wentworth Elizabeth Cochrane (Secretary) no longer on Schedule A of Greenbacker Capital Management Llc (listed 2023-04-28, absent 2023-06-08)Jun 8, 2023 · Control person left · inference
- Greenbacker Capital Management Llc reported RAUM $3.0B, up 55% from $2.0B (2022-12-21 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Claude Vuillieme (General Counsel) appeared on Schedule A of Greenbacker Capital Management LlcDec 21, 2022 · Control person joined · fact
- Spencer Mash (Chief Financial Officer) appeared on Schedule A of Greenbacker Capital Management LlcAug 16, 2022 · Control person joined · fact
- Craig Richard Butt (Chief Financial Officer) no longer on Schedule A of Greenbacker Capital Management Llc (listed 2022-06-16, absent 2022-08-16)Aug 16, 2022 · Control person left · inference
- Navin Anand Gajjar (Member) no longer on Schedule A of Greenbacker Capital Management Llc (listed 2022-03-31, absent 2022-06-16)Jun 16, 2022 · Control person left · inference
- Patrick Robert Brennan (Member) no longer on Schedule A of Greenbacker Capital Management Llc (listed 2022-03-31, absent 2022-06-16)Jun 16, 2022 · Control person left · inference
- Greenbacker Capital Management Llc reported RAUM $2.0B, up 77% from $1.1B (2021-10-12 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Wentworth Elizabeth Cochrane (Secretary) appeared on Schedule A of Greenbacker Capital Management LlcMar 31, 2022 · Control person joined · fact
- Vijay Mehul Mehta (Chief Investment Officer) appeared on Schedule A of Greenbacker Capital Management LlcOct 12, 2021 · Control person joined · fact
- Julianne Hull (Chief Compliance Officer) appeared on Schedule A of Greenbacker Capital Management LlcJul 2, 2021 · Control person joined · fact
- Greenbacker Capital Management Llc reported RAUM $1.1B, up 160% from $429.0M (2021-01-25 to 2021-03-26)Mar 26, 2021 · RAUM change · derived
- Greenbacker Capital Management Llc reported RAUM $429.0M, up 35% from $318.0M (2019-03-29 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Greenbacker Capital Management Llc reported RAUM $318.0M, up 57% from $202.0M (2018-03-08 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Greenbacker Capital Management Llc filed its initial SEC registration (Form ADV)Aug 5, 2015 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Greenbacker Capital Management LLC · Independent Sponsorsshared crd · capital_provider
- Greenbacker Capital Management LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/greenbacker-group-llcreportedpublic record, Form ADV, Sep 17, 2026
- Website
- greenbackercapital.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 646-556-6611reportedpublic record, Form ADV, Jul 17, 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