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
Pinebridge Investments LLC
Latest filing May 11, 2026
First filing on the tape Oct 7, 2016 · 26 filings
SEC status approved since Oct 19, 2016
RAUM
$77B
reported, Item 5.F
Discretionary
86%
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
239
122 advisory (5.B.1)
Offices
5
beyond the principal office
Private funds
48
reported on Schedule D
History
26 filings and snapshots on the tape
RAUM$77B as of May 11, 2026
Mar 30, 2017$134M then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of May 11, 2026
Mar 30, 20170 then
Employees (5.A)239 as of May 11, 2026
Mar 30, 20176 then
Private funds48 as of May 11, 2026
Apr 2, 20183 then
RAUM +6437% over the last fiscal year+228% a year over threeIARs 0 to 0offices 1 to 5
Practice profile
derived from the filing of May 11, 2026; every figure names its basis
Archetypes, each a printed rule
- OCIO / institutional advisory · selection of other advisers (5.G.7) and institutional share at least 50 percent
- 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
- $217MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 86%derivedof RAUM
- Institutional
- 52%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived6 offices incl. principal (1.F.5)
- RAUM growth, one year
- +6437%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 individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, pension consulting, selection of other advisersreportedItem 5.G
- Custody
- $303M, 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
- 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)
- 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
- Insurance companies$23B30%
- Pooled investment vehicles$22B29%
- Other investment advisers$13B18%
- State and municipal entities$8.9B12%
- Pension and profit-sharing plans$5.1B6.7%
- Sovereign wealth funds$2.3B3.0%
- Banks and thrifts$801M1.0%
- Investment companies$129M0.2%
- Charitable organizations$103M0.1%
- Corporations and businesses$73.0M0.1%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- 23reported
- Charitable clients
- n/areported
- Accounts
- 354reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $303M for 3 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.47 institutional_share=0.52 related_bd=true related_bank=true bd_reps=27.0derived
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
5 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Galaxy Xxv Clo Ltd | Securitized Asset Fund | $485M | 0 | Apr 24, 2018 |
| Galaxy Xxiv Clo Ltd | Securitized Asset Fund | $457M | 0 | Apr 2, 2018 |
| Galaxy Xix Clo Ltd | Securitized Asset Fund | $445M | 0 | Mar 30, 2015 |
| Galaxy Xxvi Clo Ltd | Securitized Asset Fund | $441M | 0 | Mar 29, 2019 |
| Galaxy Xxiii Clo Ltd | Securitized Asset Fund | $256M | 0 | Mar 31, 2017 |
Owners and control persons
Schedule A and B, latest filing
- Elizabeth Tracie Ahern · Chief Financial Officercontrolsince 10/2019 · owns less than 5%
- Mozaffar Saiyed Hasnain · Managing Directorcontrolsince 03/2021 · owns less than 5%
- John Michael Karpik · Chief Operating Officercontrolsince 01/2018 · owns less than 5%
- Marie Laila Kollmorgen · Managing Directorcontrolsince 09/2016 · owns less than 5%
- Gordon John Lapham · Presidentcontrolsince 09/2016 · owns less than 5%
- Jeffrey Andrew Meissner · Managing Directorcontrolsince 09/2016 · owns less than 5%
- Suk Min Steven Oh · Managing Directorcontrolsince 09/2016 · owns less than 5%
- Patrick Daniel Sherry · Managing Directorcontrolsince 06/2020 · owns less than 5%
- James Eric Smith · General Counselcontrolsince 05/2020 · owns less than 5%
- Tzar Kai Richard Li · Shareholdercontrolsince 12/1996 · owns 75% or more of Chiltonlink Limited
- Emerson William Corson · Chief Compliance Officersince 03/2022 · owns less than 5%
Entity owners
- Pinebridge Investments LLC · Direct Ownerdirect · owns 75% or more
- Bridge Holdings Company Limited · General Partnerindirect · owns F of Pinebridge Investments, L.P.
- Chiltonlink Limited · Shareholderindirect · owns 75% or more of Pacific Century Investment Holdings No. 1 Limited
- Pacific Century Investment Holdings (Cayman Islands) Limited · Limited Partnerindirect · owns 75% or more of Pacific Century Investment Holdings (Cayman Islands), L.P.
- Pacific Century Investment Holdings (Cayman Islands) Limited · Shareholderindirect · owns 75% or more of Bridge Holdings Company Limited
- Pacific Century Investment Holdings (Cayman Islands) Limited · Shareholderindirect · owns 75% or more of Pacific Century Partners Gp Limited
- Pacific Century Investment Holdings (Cayman Islands), L.P. · Limited Partnerindirect · owns 75% or more of Pinebridge Investments, L.P.
- Pacific Century Investment Holdings No. 1 Limited · Shareholderindirect · owns 75% or more of Pacific Century Investment Holdings (Cayman Islands) Limited
- Pacific Century Partners Gp Limited · General Partnerindirect · owns F of Pacific Century Investment Holdings (Cayman Islands), L.P.
- Pinebridge Investments Holdings US LLC · Shareholderindirect · owns 75% or more of Pinebridge Investments, LLC
- Pinebridge Investments, L.P. · Shareholderindirect · owns 75% or more of Pinebridge Investments Holdings US LLC
Related persons
Schedule D 7.A
- Fwd Management Holdings Limitedreal estaten
- Huatai-Pinebridge Fund Management Co., Ltdinvestment advisern
- Pinebridge Benson Elliot Llpinvestment advisern
- Pinebridge De Mexico S. De R.L. De C.Vinvestment advisern
- Pinebridge India Private Limitedinvestment advisern
- Pinebridge Investments Asia Limitedinvestment advisern
- Pinebridge Investments Deutschland Gmbhinvestment advisern
- Pinebridge Investments Europe Limitedinvestment advisern
- Pinebridge Investments Hong Kong Limitedinvestment advisern
- Pinebridge Investments Ireland Limitedinvestment advisern
- Pinebridge Investments Japan Co., Ltd.investment advisern
- Pinebridge Investments Latin America Spainvestment advisern
- Heron View Partners LLCinvestment adviserbanknRAUM $2.7B
- Pinebridge Investments Malaysia Sdn Bhdinvestment advisern
- Pinebridge Investments Management Taiwan Limitedinvestment advisern
- Pinebridge Investments Singapore Limitedinvestment advisern
- Pinebridge Investments Switzerland Gmbhinvestment advisern
- Pinebridge Securities LLCbroker-dealern
Advisers that list Pinebridge Investments LLC as a related person
- 105926 y
Offices
Schedule D 1.F, the 25 largest
- Los Angeles, CA5 employees
ADV anomalies
3 against comparable advisers; where to look, not conclusions
- institutional asset share shiftChange between filings · filing Mar 31, 2026institutional share of RAUM moved from 0.0% to 70.0% between the annual amendments of 2025-03-28 and 2026-03-31peers: other advisers, $20B and over (120)
- private fund count surgeChange between filings · filing Mar 31, 2026private funds (Schedule D 7.B.1) moved from 5.0 to 48.0 (+860.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +2.0% (70 comparable advisers, 100.0th percentile of changes)peers: other advisers, $20B and over (70) · 100% percentile
- RAUM up 50 %Change between filings · filing Mar 31, 2026RAUM (Item 5.F) moved from $1,173,841,438 to $76,728,853,847 (+6437.0%) between the annual amendments of 2025-03-28 and 2026-03-31; the peer median change was +11.0% (113 comparable advisers, 100.0th percentile of changes)peers: other advisers, $20B and over (113) · 100% percentile
What changed
consecutive filings, newest first
- Accounts · 547 to 354Jan 20, 2026 to Mar 31, 2026
- Advisory employees · 115 to 122Jan 20, 2026 to Mar 31, 2026
- BD registered reps · 37 to 27Jan 20, 2026 to Mar 31, 2026
- Pension plan clients · 24 to 23Jan 20, 2026 to Mar 31, 2026
- Pooled vehicle clients · 115 to 134Jan 20, 2026 to Mar 31, 2026
- Assets in custody · $542M to $303MJan 20, 2026 to Mar 31, 2026
- Employees · 236 to 239Jan 20, 2026 to Mar 31, 2026
- Discretionary RAUM · $63B to $66BJan 20, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $7.6B to $11BJan 20, 2026 to Mar 31, 2026
- Pension RAUM · $6.3B to $5.1BJan 20, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $21B to $22BJan 20, 2026 to Mar 31, 2026
- RAUM · $71B to $77BJan 20, 2026 to Mar 31, 2026
- Accounts · 5 to 547Mar 28, 2025 to Jan 20, 2026
- Advisory employees · 5 to 115Mar 28, 2025 to Jan 20, 2026
- Advisory activities · 1 to 6Mar 28, 2025 to Jan 20, 2026
- BD registered reps · 0 to 37Mar 28, 2025 to Jan 20, 2026
- Business name · PINEBRIDGE GALAXY LLC to PINEBRIDGE INVESTMENTS LLCMar 28, 2025 to Jan 20, 2026
- Pension plan clients · unset to 24.0Mar 28, 2025 to Jan 20, 2026
- Pooled vehicle clients · 5 to 115Mar 28, 2025 to Jan 20, 2026
- Assets in custody · unset to 542164767.0Mar 28, 2025 to Jan 20, 2026
- Custody of client assets · false to trueMar 28, 2025 to Jan 20, 2026
- Employees · 5 to 236Mar 28, 2025 to Jan 20, 2026
- Legal name · PINEBRIDGE GALAXY LLC to PINEBRIDGE INVESTMENTS LLCMar 28, 2025 to Jan 20, 2026
- Other offices · 1 to 5Mar 28, 2025 to Jan 20, 2026
- Private funds · 5 to 48Mar 28, 2025 to Jan 20, 2026
- Discretionary RAUM · $1.2B to $63BMar 28, 2025 to Jan 20, 2026
- Non-discretionary RAUM · $0 to $7.6BMar 28, 2025 to Jan 20, 2026
- Pension RAUM · unset to 6345904698.0Mar 28, 2025 to Jan 20, 2026
- Pooled vehicle RAUM · $1.2B to $21BMar 28, 2025 to Jan 20, 2026
- RAUM · $1.2B to $71BMar 28, 2025 to Jan 20, 2026
- BD registered reps · 1 to 0Mar 28, 2024 to Mar 28, 2025
- Financial planning clients · unset to Mar 28, 2024 to Mar 28, 2025
- Discretionary RAUM · $2.1B to $1.2BMar 28, 2024 to Mar 28, 2025
- Pooled vehicle RAUM · $2.1B to $1.2BMar 28, 2024 to Mar 28, 2025
- RAUM · $2.1B to $1.2BMar 28, 2024 to Mar 28, 2025
- BD registered reps · 3 to 1Mar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.2B to $2.1BMar 30, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $2.2B to $2.1BMar 30, 2023 to Mar 28, 2024
- RAUM · $2.2B to $2.1BMar 30, 2023 to Mar 28, 2024
- Discretionary RAUM · $2.3B to $2.2BNov 4, 2022 to Mar 30, 2023
Signals
12 dated events
- Pinebridge Investments Llc reported RAUM $71.1B, up 5956% from $1.2B (2025-03-28 to 2026-01-20)Jan 20, 2026 · RAUM change · derived
- Pinebridge Investments Llc reported RAUM $1.2B, down 44% from $2.1B (2024-03-28 to 2025-03-28)Mar 28, 2025 · RAUM change · derived
- James Eric Smith (General Counsel) appeared on Schedule A of Pinebridge Investments LlcApr 30, 2021 · Control person joined · fact
- Saiyed Hasnain (Managing Director) appeared on Schedule A of Pinebridge Investments LlcMar 31, 2021 · Control person joined · fact
- Julie Bothamley (Managing Director) no longer on Schedule A of Pinebridge Investments Llc (listed 2020-04-27, absent 2020-07-20)Jul 20, 2020 · Control person left · inference
- Patrick Daniel Sherry (Managing Director) appeared on Schedule A of Pinebridge Investments LlcJul 20, 2020 · Control person joined · fact
- Elizabeth Tracie Ahern (Chief Financial Officer) appeared on Schedule A of Pinebridge Investments LlcOct 29, 2019 · Control person joined · fact
- Edward David Prinzivalli (Chief Financial Officer) no longer on Schedule A of Pinebridge Investments Llc (listed 2019-09-10, absent 2019-10-29)Oct 29, 2019 · Control person left · inference
- Allen Paul Freilich (Deputy Chief Financial Officer) no longer on Schedule A of Pinebridge Investments Llc (listed 2019-09-10, absent 2019-10-29)Oct 29, 2019 · Control person left · inference
- Pinebridge Investments Llc reported RAUM $2.2B, up 62% from $1.4B (2018-11-20 to 2019-03-29)Mar 29, 2019 · RAUM change · derived
- Pinebridge Investments Llc reported RAUM $1.4B, up 923% from $133.9M (2017-08-02 to 2018-04-02)Apr 2, 2018 · RAUM change · derived
- Pinebridge Galaxy Llc filed its initial SEC registration (Form ADV)Oct 7, 2016 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- Pinebridge Investments LLC · Independent Sponsorsshared crd · capital_provider
- Pinebridge Investments LLC · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/PINEBRIDGE-INVESTMENTSreportedpublic record, Form ADV, Sep 17, 2026
- Website
- PINEBRIDGE.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- (646) 857-8000reportedpublic record, Form ADV, May 11, 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
- Other 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