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

Virtus Retirement Investment Advisers, LLC

Former SEC-registered adviserHartford, ConnecticutCRD 281314SEC 801-106649IAPD
Latest filing Jan 16, 2019
First filing on the tape Sep 4, 2015 · 8 filings
RAUM
n/a
reported, Item 5.F
Discretionary
n/a
of RAUM
Private clients
n/a
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
0
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
8 filings and snapshots on the tape
RAUM$16.4M as of Mar 28, 2018
Mar 29, 2016$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 28, 2018
Mar 29, 20160 then
Employees (5.A)0 as of Mar 28, 2018
Mar 29, 20160 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jan 16, 2019; 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
unknownderivedRAUM over accounts (5.F.2.f)
Discretionary
unknownderivedof RAUM
Institutional
unknownderivedpensions, charities, corporations, government, insurance, banks, other advisers
Employees per advisor
unknownderivedItem 5.A over advisors
Advisors per office
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+30%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 assetsreportedItem 5.E
Advisory activities
otherreportedItem 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
  • 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)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.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
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUMreported
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
none on the tape
    Joined, latest
    none on the tape
      Every departureEvery arrival
      Private funds
      No private fund reported.
      Owners and control persons
      Schedule A and B, latest filing
      • Aaron Michael Angerthal · Executive Vice President And Chief Financial Officercontrol
        since 06/2015 · owns less than 5%
      • Robert George Aylward · President And Chairmancontrol
        since 06/2015 · owns less than 5%
      • Stephen Mark Flynn · Executive Vice President, General Counsel, And Assistant Secretarycontrol
        since 06/2015 · owns less than 5%
      • George Francis Waltman · Executive Vice Presidentcontrol
        since 06/2015 · owns less than 5%
      • John Kevin Carr · Senior Vice President And Secretary
        since 06/2015 · owns less than 5%
      • Elliot David Fusco · Vice President And Chief Compliance Officer
        since 06/2015 · owns less than 5%
      Entity owners
      • Virtus Partners, Inc. · Member
        direct · owns 75% or more · public reporting company
      • Virtus Investment Partners, Inc. · Shareholder
        indirect · owns 75% or more of Virtus Partners, Inc. · public reporting company
      Related persons
      Schedule D 7.A
      Advisers that list Virtus Retirement Investment Advisers, LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 10.0 to unset
        Mar 28, 2018 to Jan 15, 2019
      • Advisory activities · 2 to 1
        Mar 28, 2018 to Jan 15, 2019
      • Discretionary RAUM · 16356738.0 to unset
        Mar 28, 2018 to Jan 15, 2019
      • Non-discretionary RAUM · 0.0 to unset
        Mar 28, 2018 to Jan 15, 2019
      • RAUM · 16356738.0 to unset
        Mar 28, 2018 to Jan 15, 2019
      • Other offices · unset to 0.0
        Mar 30, 2017 to Mar 28, 2018
      • Discretionary RAUM · $12.6M to $16.4M
        Mar 30, 2017 to Mar 28, 2018
      • RAUM · $12.6M to $16.4M
        Mar 30, 2017 to Mar 28, 2018
      • Accounts · 0 to 10
        Mar 31, 2016 to Mar 30, 2017
      • Discretionary RAUM · $0 to $12.6M
        Mar 31, 2016 to Mar 30, 2017
      • RAUM · $0 to $12.6M
        Mar 31, 2016 to Mar 30, 2017
      • Advisory activities · 1 to 2
        Oct 27, 2015 to Mar 29, 2016
      Signals
      1 dated events
      • Virtus Retirement Investment Advisers, Llc filed its initial SEC registration (Form ADV)
        Sep 4, 2015 · First SEC registration · fact
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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