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

Vontobel Am Fixed Income US LLC

Former SEC-registered adviserNew York, New YorkCRD 291146SEC 801-112203IAPD
Latest filing Mar 30, 2020
First filing on the tape Nov 20, 2017 · 4 filings
RAUM
$0
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
3
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
4 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2020
Mar 21, 2019$4.7B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Mar 21, 20190 then
Employees (5.A)3 as of Mar 30, 2020
Mar 21, 20193 then
Private funds: no history
RAUM -100% over the last fiscal yearIARs 0 to 0offices 1 to 0
Practice profile
derived from the filing of Mar 30, 2020; 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
-100%derivedbetween the last two annual amendments
Advisor growth, one year
unknownderivedItem 5.B.3 between annual amendments
Client growth, one year
unknownderived
Compensation
otherreportedItem 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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
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
0reported
HNW clients
0reported
Pension plan clients
0reported
Charitable clients
0reported
Accounts
0reported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
n/areported
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
      • Christopher Marc Cozzolino · General Counsel
        since 12/2018 · owns less than 5%
      • Robert Charles Falck · Member
        since 11/2017 · owns less than 5%
      • Adamo Enrico Friz · Member
        since 11/2017 · owns less than 5%
      • Francis Joseph Mastoloni · Executive Officer, Chief Compliance Officer, Member
        since 11/2017 · owns less than 5%
      Entity owners
      • Vontobel Holding Ag · Managing Member
        direct · owns 75% or more
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 8 to 0
        Mar 21, 2019 to Mar 30, 2020
      • Pooled vehicle clients · 8 to 0
        Mar 21, 2019 to Mar 30, 2020
      • Other offices · 1 to 0
        Mar 21, 2019 to Mar 30, 2020
      • Discretionary RAUM · $4.7B to $0
        Mar 21, 2019 to Mar 30, 2020
      • Pooled vehicle RAUM · 4711473260.0 to unset
        Mar 21, 2019 to Mar 30, 2020
      • RAUM · $4.7B to $0
        Mar 21, 2019 to Mar 30, 2020
      • Accounts · 0 to 8
        Mar 2, 2018 to Mar 21, 2019
      • BD registered reps · 1 to 0
        Mar 2, 2018 to Mar 21, 2019
      • Pooled vehicle clients · 0 to 8
        Mar 2, 2018 to Mar 21, 2019
      • Discretionary RAUM · $0 to $4.7B
        Mar 2, 2018 to Mar 21, 2019
      • Pooled vehicle RAUM · unset to 4711473260.0
        Mar 2, 2018 to Mar 21, 2019
      • RAUM · $0 to $4.7B
        Mar 2, 2018 to Mar 21, 2019
      Signals
      2 dated events
      • Vontobel Am Fixed Income Us Llc reported RAUM $0, down 100% from $4.7B (2019-03-21 to 2020-03-30)
        Mar 30, 2020 · RAUM change · derived
      • Vontobel Am Fixed Income Us Llc filed its initial SEC registration (Form ADV)
        Nov 20, 2017 · 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