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.
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SEC-registered adviser
C•••••• R••••••• A•• M•••••••••
Latest filing Jul 31, 2026
First filing on the tape Sep 1, 2016 · 44 filings
SEC status approved since Sep 30, 2016
RAUM
$40B
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
64
57 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
44 filings and snapshots on the tape
RAUM$40B as of Jul 31, 2026
Dec 27, 2016$12B then
HNW client RAUM$0 as of Jul 31, 2026
Mar 31, 2023$0 then
State-registered IARs (5.B.3)0 as of Jul 31, 2026
Dec 27, 20162 then
Employees (5.A)64 as of Jul 31, 2026
Dec 27, 2016154 then
Private funds1 as of Mar 31, 2022
Jan 29, 20211 then
RAUM +1.8% over the last fiscal year+6.2% a year over threeIARs 3 to 0
Practice profile
derived from the filing of Jul 31, 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
- $21.0MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 1.2%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
- +1.8%derivedbetween the last two annual amendments
- Advisor growth, one year
- -100%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, selection of other advisers, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- Ownership
- controlled by a public reporting companyderived
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- controlled by a public reporting company (10.A)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$39B99%
- Pension and profit-sharing plans$469M1.2%
- Pooled investment vehicles$42.3M0.1%
- Corporations and businesses$30.8M0.1%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 3reported
- Charitable clients
- 0reported
- Accounts
- 1,915reported
- Financial planning clients
- 0reported
- Wrap fee programs
- $0 sponsored, $438M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.98 institutional_share=0.01 related_bd=true related_bank=true bd_reps=4.0derived
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
1 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| C•••••• C••• R••••••• F•••• L••no longer reported | Liquidity Fund | $671M | 39 | Aug 12, 2020 |
Owners and control persons
Schedule A and B, latest filing
- E•••••••• V••••••• · Chief Operating Officercontrolsince 11/2022 · owns less than 5%
- G••••••••• D••••••• J• · Chief Technology Officer And Vice Presidentcontrolsince 03/2021 · owns 5% to 10%
- H•••••• V••• M• · President And Chief Executive Officercontrolsince 01/2024 · owns less than 5%
- B•••• S•••••• H•••• L•••• · Chief Compliance Officer And Vice Presidentsince 12/2016 · owns less than 5%
Entity owners
- E•••• V•••• M••••••••• · Owns 100% Of C•••••• R••••••• A•• M•••••••••direct · owns 75% or more
- M••••• S•••••• · Memberindirect · owns 75% or more of M••••• S•••••• C•••••• M••••••••• L•• · public reporting company
- M••••• S•••••• C•••••• M••••••••• L•• · Holds 100% Of E•••• V•••• M•••••••••indirect · owns 75% or more of E•••• V•••• M•••••••••
Related persons
Schedule D 7.A
- A•••••• C••••••investment advisernRAUM $29B
- B••••• M••••••••• A•• R•••••••investment adviserbankpooled vehicle sponsornRAUM $155B
- E•••• V•••• A••••••• I••••••••• L•••investment adviserbanknRAUM $36B
- E•••• V•••• D••••••••• I•••broker-dealern
- E•••• V•••• M•••••••••investment adviserbankpooled vehicle sponsoryRAUM $97B
- E•••• V•••• T•••• C••••••n
- M••••• S•••••• D••••••••• I•••broker-dealern
- M••••• S•••••• • E•••• V•••• C•• M•••••• L••investment advisernRAUM $4.3B
- M••••• S•••••• I••••••••• M••••••••• C••••••investment advisernRAUM $11B
- M••••• S•••••• I••••••••• M••••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $702B
- M••••• S•••••• I••••••••• M••••••••• L••••••investment adviserpooled vehicle sponsornRAUM $175B
- M••••• S•••••• M•••••• C••• D• B••••• S••• D• C•••broker-dealern
- M••••• S••••••broker-dealerinvestment adviserpooled vehicle sponsorcustodiannRAUM $1962B
- P••••••••• P•••••••• A•••••••••investment adviserbankpooled vehicle sponsornRAUM $685B
Advisers that list C•••••• R••••••• A•• M••••••••• as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY13 employees
- B•••••, MA2 employees
- New York, NY1 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 29, 2026employees (Item 5.A) moved from 257.0 to 64.0 (-75.0%) between the annual amendments of 2025-03-21 and 2026-03-29; the peer median change was +3.0% (461 comparable advisers, 0.0th percentile of changes)peers: ASSET_M••••••, $20B and over (461) · 0.0% percentile
What changed
consecutive filings, newest first
- Accounts · 1,932 to 1,915Oct 31, 2025 to Mar 29, 2026
- Advisory employees · 229 to 57Oct 31, 2025 to Mar 29, 2026
- BD registered reps · 39 to 4Oct 31, 2025 to Mar 29, 2026
- Pension plan clients · 1 to 3Oct 31, 2025 to Mar 29, 2026
- Pooled vehicle clients · 0 to 1Oct 31, 2025 to Mar 29, 2026
- Employees · 257 to 64Oct 31, 2025 to Mar 29, 2026
- State-registered IARs · 3 to 0Oct 31, 2025 to Mar 29, 2026
- Discretionary RAUM · $40B to $40BOct 31, 2025 to Mar 29, 2026
- Pension RAUM · $252M to $469MOct 31, 2025 to Mar 29, 2026
- Pooled vehicle RAUM · $0 to $42.3MOct 31, 2025 to Mar 29, 2026
- RAUM · $40B to $40BOct 31, 2025 to Mar 29, 2026
- Wrap assets (manager) · $395M to $438MOct 31, 2025 to Mar 29, 2026
- Financial planning clients · 0 to 0Jun 18, 2025 to Oct 31, 2025
- Accounts · 1,279 to 1,932Jan 2, 2025 to Mar 21, 2025
- Advisory employees · 204 to 229Jan 2, 2025 to Mar 21, 2025
- BD registered reps · 1 to 39Jan 2, 2025 to Mar 21, 2025
- Employees · 210 to 257Jan 2, 2025 to Mar 21, 2025
- State-registered IARs · 0 to 3Jan 2, 2025 to Mar 21, 2025
- Discretionary RAUM · $38B to $40BJan 2, 2025 to Mar 21, 2025
- Non-discretionary RAUM · $270M to $0Jan 2, 2025 to Mar 21, 2025
- Pension RAUM · $241M to $252MJan 2, 2025 to Mar 21, 2025
- RAUM · $38B to $40BJan 2, 2025 to Mar 21, 2025
- Wrap assets (manager) · $270M to $395MJan 2, 2025 to Mar 21, 2025
- Accounts · 1,005 to 1,279Jan 2, 2024 to Mar 28, 2024
- Advisory employees · 246 to 204Jan 2, 2024 to Mar 28, 2024
- BD registered reps · 5 to 1Jan 2, 2024 to Mar 28, 2024
- Corporate clients · 1 to 2Jan 2, 2024 to Mar 28, 2024
- Assets in custody · unset to 0.0Jan 2, 2024 to Mar 28, 2024
- Employees · 256 to 210Jan 2, 2024 to Mar 28, 2024
- Other offices · 2 to 3Jan 2, 2024 to Mar 28, 2024
- Discretionary RAUM · $33B to $38BJan 2, 2024 to Mar 28, 2024
- Non-discretionary RAUM · $236M to $270MJan 2, 2024 to Mar 28, 2024
- Pension RAUM · $230M to $241MJan 2, 2024 to Mar 28, 2024
- RAUM · $34B to $38BJan 2, 2024 to Mar 28, 2024
- Wrap assets (manager) · $236M to $270MJan 2, 2024 to Mar 28, 2024
- Accounts · 803 to 1,005Nov 10, 2022 to Mar 31, 2023
- Advisory employees · 248 to 246Nov 10, 2022 to Mar 31, 2023
- BD registered reps · 50 to 5Nov 10, 2022 to Mar 31, 2023
- Charity clients · unset to 0.0Nov 10, 2022 to Mar 31, 2023
- Corporate clients · unset to 1.0Nov 10, 2022 to Mar 31, 2023
Signals
46 dated events
- J D•••••• G•••••••• (Chief Technology Officer And Vice President) appeared on Schedule A of C•••••• R••••••• A•• M•••••••••Mar 28, 2024 · Control person joined · fact
- Ewart T••••• Faust (Trustee) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2024-01-02, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- M Von H••••• (President And Chief Executive Officer) appeared on Schedule A of C•••••• R••••••• A•• M•••••••••Jan 2, 2024 · Control person joined · fact
- H•••• T••••••• E••••••••• (President And Chief Executive Officer) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2023-12-08, absent 2024-01-02)Jan 2, 2024 · Control person left · inference
- Victoria Eckstein (Chief Operating Officer) appeared on Schedule A of C•••••• R••••••• A•• M•••••••••Mar 31, 2023 · Control person joined · fact
- H J••• S••••• (President And Chief Executive Officer) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2022-11-10, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- H•••• T••••••• E••••••••• (President And Chief Executive Officer) appeared on Schedule A of C•••••• R••••••• A•• M•••••••••Nov 10, 2022 · Control person joined · fact
- C•••••• R••••••• A•• M••••••••• reported RAUM $40.4B, up 46% from $27.7B (2021-07-30 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- E D••••• W•••• (Head Of Eaton Vance Legal) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-07-30, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- Ann Maureen Gemma (Head Of Eaton Vance Legal) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-05-17, absent 2021-07-30)Jul 30, 2021 · Control person left · inference
- E D••••• W•••• (Head Of Eaton Vance Legal) appeared on Schedule A of C•••••• R••••••• A•• M•••••••••Jul 30, 2021 · Control person joined · fact
- Ann Maureen Gemma (Head Of Eaton Vance Legal) appeared on Schedule A of C•••••• R••••••• A•• M•••••••••May 17, 2021 · Control person joined · fact
- Stewart Frederick Marius (Head Of Eaton Vance Legal) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-04-05, absent 2021-05-17)May 17, 2021 · Control person left · inference
- Greenwald Laurie Hylton (Trustee) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-01-29, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Carl Daniel Cataldo (Trustee) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-01-29, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Hamilton James Evans (Trustee) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-01-29, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Bass Charles Reed (Trustee) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-01-29, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Philip C•••• Russ (Trustee) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-01-29, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- James Edward Perkin (Trustee) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-01-29, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Lawrence J••• Shea (Trustee) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-01-29, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- R•••••• L•••• P••••••••• (Trustee) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-01-29, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- A••••• M•••••• C••••• (Trustee) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-01-29, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- R••••• C•••• B•••••• (Trustee) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-01-29, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- A••••• Eric Stein (Trustee) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-01-29, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Nils A••••• Sveen (Trustee) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-01-29, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- T••••• Lee (Trustee) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-01-29, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- C••• Lin T••••• S••• (Trustee) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-01-29, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Wold Paul Bouchey (Trustee) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-01-29, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Kelly Ray Williams (Trustee) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-01-29, absent 2021-03-30)Mar 30, 2021 · Control person left · inference
- Jane Cynthia Clemson (Trustee) no longer on Schedule A of C•••••• R••••••• A•• M••••••••• (listed 2021-01-29, absent 2021-03-30)Mar 30, 2021 · 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.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/calvert-research-and-managementreportedpublic record, Form ADV, Sep 19, 2026
- Website
- C••••••.COMreportedpublic record, Form ADV, Sep 19, 2026
- Principal office phone
- 800-368-2745reportedpublic record, Form ADV, Jul 31, 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