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

Vanguard Asset Management, Limited

Former SEC-registered adviserLondon, CRD 282598SEC 801-107653websiteIAPD
Latest filing May 20, 2025
First filing on the tape Mar 31, 2016 · 30 filings
SEC status approved since May 4, 2016
RAUM
$483B
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
960
73 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
30 filings and snapshots on the tape
RAUM$483B as of May 20, 2025
Mar 31, 2017$120B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 20, 2025
Mar 31, 20170 then
Employees (5.A)960 as of May 20, 2025
Mar 31, 2017197 then
Private funds: no history
RAUM +20% over the last fiscal year+92% a year over threeIARs 0 to 0
Practice profile
derived from the filing of May 20, 2025; 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
$5.1BderivedRAUM 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
unknownderived1 offices incl. principal (1.F.5)
RAUM growth, one year
+20%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, fixed feesreportedItem 5.E
Advisory activities
portfolio management for individuals, portfolio management for businesses and institutions, 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)
  • 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)
  • marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$483B100%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
94reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
% of AUM, fixedreported
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
      • Abdelgadir Lamiece Abdalla · Executive Directorcontrol
        since 06/2023 · owns less than 5%
      • C Kathleen Bock · Non-Executive Directorcontrol
        since 07/2019 · owns less than 5%
      • Guy Jonathan Cleborne · Ceo And Executive Directorcontrol
        since 07/2024 · owns less than 5%
      • Graham Philip Coffer · Chief Compliance Officercontrol
        since 11/2023 · owns less than 5%
      • John Blair Fanning · Executive Directorcontrol
        since 06/2023 · owns less than 5%
      • Davis Christopher Mcisaac · Chairman And Non-Executive Directorcontrol
        since 04/2022 · owns less than 5%
      Entity owners
      • Vanguard Asset Services Limited · Stockholder
        direct · owns 75% or more
      • Vanguard Group Inc · Stockholder
        indirect · owns 75% or more of Zealous, Inc.
      • Zealous, Inc. · Stockholder
        indirect · owns 75% or more of Vanguard Asset Services Limited
      • Vanguard Index Funds · Stockholder
        indirect · owns 25% to 50% of Vanguard Group Inc
      Related persons
      Schedule D 7.A
      Advisers that list Vanguard Asset Management, Limited as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 92 to 94
        Feb 12, 2025 to Apr 30, 2025
      • Advisory employees · 68 to 73
        Feb 12, 2025 to Apr 30, 2025
      • Pooled vehicle clients · unset to 94.0
        Feb 12, 2025 to Apr 30, 2025
      • Employees · 862 to 960
        Feb 12, 2025 to Apr 30, 2025
      • Discretionary RAUM · $403B to $483B
        Feb 12, 2025 to Apr 30, 2025
      • Pooled vehicle RAUM · unset to 482958285662.0
        Feb 12, 2025 to Apr 30, 2025
      • RAUM · $403B to $483B
        Feb 12, 2025 to Apr 30, 2025
      • HQ state · unset to
        Dec 18, 2024 to Jan 27, 2025
      • Accounts · 85 to 92
        Dec 19, 2023 to Mar 27, 2024
      • Advisory employees · 67 to 68
        Dec 19, 2023 to Mar 27, 2024
      • Employees · 799 to 862
        Dec 19, 2023 to Mar 27, 2024
      • Discretionary RAUM · $319B to $403B
        Dec 19, 2023 to Mar 27, 2024
      • RAUM · $319B to $403B
        Dec 19, 2023 to Mar 27, 2024
      • Advisory activities · 2 to 3
        May 18, 2023 to Jul 26, 2023
      • Accounts · 34 to 85
        Dec 9, 2022 to Mar 31, 2023
      • Advisory employees · 65 to 67
        Dec 9, 2022 to Mar 31, 2023
      • Employees · 385 to 799
        Dec 9, 2022 to Mar 31, 2023
      • Discretionary RAUM · $69B to $319B
        Dec 9, 2022 to Mar 31, 2023
      • RAUM · $69B to $319B
        Dec 9, 2022 to Mar 31, 2023
      • Accounts · 80 to 34
        Mar 1, 2022 to Mar 31, 2022
      • Advisory employees · 70 to 65
        Mar 1, 2022 to Mar 31, 2022
      • Corporate clients · 5.0 to unset
        Mar 1, 2022 to Mar 31, 2022
      • Employees · 360 to 385
        Mar 1, 2022 to Mar 31, 2022
      • Discretionary RAUM · $328B to $69B
        Mar 1, 2022 to Mar 31, 2022
      • RAUM · $328B to $69B
        Mar 1, 2022 to Mar 31, 2022
      • Accounts · 78 to 80
        Feb 16, 2021 to Mar 31, 2021
      • Advisory employees · 72 to 70
        Feb 16, 2021 to Mar 31, 2021
      • Corporate clients · 6 to 5
        Feb 16, 2021 to Mar 31, 2021
      • Pooled vehicle clients · 72.0 to unset
        Feb 16, 2021 to Mar 31, 2021
      • Employees · 328 to 360
        Feb 16, 2021 to Mar 31, 2021
      • Discretionary RAUM · $296B to $328B
        Feb 16, 2021 to Mar 31, 2021
      • Pooled vehicle RAUM · 292427716810.0 to unset
        Feb 16, 2021 to Mar 31, 2021
      • RAUM · $296B to $328B
        Feb 16, 2021 to Mar 31, 2021
      • Accounts · 68 to 78
        Mar 30, 2019 to Mar 30, 2020
      • Corporate clients · 1 to 6
        Mar 30, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 67 to 72
        Mar 30, 2019 to Mar 30, 2020
      • Employees · 330 to 328
        Mar 30, 2019 to Mar 30, 2020
      • Discretionary RAUM · $203B to $296B
        Mar 30, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · $201B to $292B
        Mar 30, 2019 to Mar 30, 2020
      • RAUM · $203B to $296B
        Mar 30, 2019 to Mar 30, 2020
      Signals
      38 dated events
      • Vanguard Asset Management, Limited no longer on the SEC adviser roster (last listed 2025-07-01, RAUM $483.0B)
        Aug 1, 2025 · Left the SEC roster · derived
      • Guy Jonathan Cleborne (Ceo And Executive Director) appeared on Schedule A of Vanguard Asset Management, Limited
        Jul 17, 2024 · Control person joined · fact
      • Patrick Sean Hagerty (Executive Director) no longer on Schedule A of Vanguard Asset Management, Limited (listed 2024-03-27, absent 2024-07-17)
        Jul 17, 2024 · Control person left · inference
      • Vanguard Asset Management, Limited reported RAUM $403.3B, up 27% from $318.5B (2023-12-19 to 2024-03-27)
        Mar 27, 2024 · RAUM change · derived
      • John Richard Withers (Chief Compliance Officer) no longer on Schedule A of Vanguard Asset Management, Limited (listed 2023-09-18, absent 2023-12-19)
        Dec 19, 2023 · Control person left · inference
      • Graham Philip Coffer (Chief Compliance Officer) appeared on Schedule A of Vanguard Asset Management, Limited
        Dec 19, 2023 · Control person joined · fact
      • Flynn Daniel Waters (Independent Non-Executive Director) no longer on Schedule A of Vanguard Asset Management, Limited (listed 2023-05-18, absent 2023-07-26)
        Jul 26, 2023 · Control person left · inference
      • Anne Maureen Erasmus (Independent Non-Executive Director) no longer on Schedule A of Vanguard Asset Management, Limited (listed 2023-05-18, absent 2023-07-26)
        Jul 26, 2023 · Control person left · inference
      • E Ryan Ludt (Executive Director) no longer on Schedule A of Vanguard Asset Management, Limited (listed 2023-05-18, absent 2023-07-26)
        Jul 26, 2023 · Control person left · inference
      • Abdelgadir Lamiece Abdalla (Executive Director) appeared on Schedule A of Vanguard Asset Management, Limited
        Jul 26, 2023 · Control person joined · fact
      • John Blair Fanning (Executive Director) appeared on Schedule A of Vanguard Asset Management, Limited
        Jul 26, 2023 · Control person joined · fact
      • John Richard Withers (Chief Compliance Officer) appeared on Schedule A of Vanguard Asset Management, Limited
        May 18, 2023 · Control person joined · fact
      • Andrew Colbert (Head Of U.K. Compliance) no longer on Schedule A of Vanguard Asset Management, Limited (listed 2023-03-31, absent 2023-05-18)
        May 18, 2023 · Control person left · inference
      • Vanguard Asset Management, Limited reported RAUM $318.5B, up 363% from $68.7B (2022-12-09 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • John Bendl (Non_Executive Director) no longer on Schedule A of Vanguard Asset Management, Limited (listed 2022-12-09, absent 2023-03-31)
        Mar 31, 2023 · Control person left · inference
      • Davis Christopher Mcisaac (Non-Executive Director) appeared on Schedule A of Vanguard Asset Management, Limited
        Mar 31, 2023 · Control person joined · fact
      • E Ryan Ludt (Executive Director) appeared on Schedule A of Vanguard Asset Management, Limited
        Mar 31, 2023 · Control person joined · fact
      • Vanguard Asset Management, Limited reported RAUM $68.7B, down 79% from $328.2B (2022-03-01 to 2022-03-31)
        Mar 31, 2022 · RAUM change · derived
      • Jane Katie Smith (Executive Director) no longer on Schedule A of Vanguard Asset Management, Limited (listed 2022-03-01, absent 2022-03-31)
        Mar 31, 2022 · Control person left · inference
      • Daniel F Waters (Independent Non-Executive Director) no longer on Schedule A of Vanguard Asset Management, Limited (listed 2021-02-16, absent 2021-03-31)
        Mar 31, 2021 · Control person left · inference
      • Flynn Daniel Waters (Independent Non-Executive Director) appeared on Schedule A of Vanguard Asset Management, Limited
        Mar 31, 2021 · Control person joined · fact
      • Andrew Colbert (Head Of European Compliance) appeared on Schedule A of Vanguard Asset Management, Limited
        Mar 31, 2021 · Control person joined · fact
      • Anne Maureen Erasmus (Executive Director) appeared on Schedule A of Vanguard Asset Management, Limited
        Mar 31, 2021 · Control person joined · fact
      • Maurice James Norris (Non-Executive Director And Chairman) no longer on Schedule A of Vanguard Asset Management, Limited (listed 2020-10-21, absent 2021-02-16)
        Feb 16, 2021 · Control person left · inference
      • Louise Katherine Fulker (Chief Compliance Officer) no longer on Schedule A of Vanguard Asset Management, Limited (listed 2020-10-21, absent 2021-02-16)
        Feb 16, 2021 · Control person left · inference
      • Evan Michael Gower (Executive Director) no longer on Schedule A of Vanguard Asset Management, Limited (listed 2020-10-21, absent 2021-02-16)
        Feb 16, 2021 · Control person left · inference
      • John Bendl (Non_Executive Director) appeared on Schedule A of Vanguard Asset Management, Limited
        Feb 16, 2021 · Control person joined · fact
      • Vanguard Asset Management, Limited reported RAUM $296.1B, up 46% from $203.0B (2019-03-30 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • Edwin Kenneth Volpert (Director) no longer on Schedule A of Vanguard Asset Management, Limited (listed 2019-03-30, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      • Nmn Nick Blake (Executive Director) no longer on Schedule A of Vanguard Asset Management, Limited (listed 2019-03-30, absent 2020-03-30)
        Mar 30, 2020 · Control person left · inference
      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