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

Brightsphere Investment Management

Former SEC-registered adviserBoston, MassachusettsCRD 304491SEC 801-117130IAPD
Legal name Brightsphere Investment Management LLC
Latest filing Mar 30, 2020
First filing on the tape Jul 5, 2019 · 2 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
46
2 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
2 filings and snapshots on the tape
RAUM$0 as of Mar 30, 2020
Jul 5, 2019$0 then
HNW client RAUM$0 as of Mar 30, 2020
Jul 5, 2019$0 then
State-registered IARs (5.B.3)0 as of Mar 30, 2020
Jul 5, 20190 then
Employees (5.A)46 as of Mar 30, 2020
Jul 5, 201945 then
Private funds: no history
RAUM n/a over the last fiscal year
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
unknownderivedbetween 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, selection of other advisersreportedItem 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
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
% of AUM, performancereported
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
      • Singh Surender Rana · Chief Financial Officer, Managercontrol
        since 05/2019 · owns less than 5%
      • No Middle Name Guang Yang · Chief Executive Officer, Managercontrol
        since 05/2019 · owns less than 5%
      • Jonathan Richard Hart · Chief Legal Officer
        since 05/2019 · owns less than 5%
      • S Amy Yuter · Chief Compliance Officer
        since 06/2019 · owns less than 5%
      Entity owners
      • Brightsphere Inc. · Sole Member Of Brightsphere Investment Management LLC
        direct · owns 75% or more
      • Brightsphere Investment Group Inc. · Sole Shareholder Of Brightsphere Inc.
        indirect · owns 75% or more of Brightsphere Inc. · public reporting company
      Related persons
      Schedule D 7.A
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Advisory employees · 3 to 2
        Jul 5, 2019 to Mar 30, 2020
      • Employees · 45 to 46
        Jul 5, 2019 to Mar 30, 2020
      Signals
      1 dated events
      • Brightsphere Investment Management filed its initial SEC registration (Form ADV)
        Jul 5, 2019 · 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