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
Bny Mellon Etf Investment Adviser, LLC
Latest filing Jul 17, 2026
First filing on the tape Oct 18, 2019 · 21 filings
SEC status approved since Nov 15, 2019
RAUM
$11B
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
3
2 advisory (5.B.1)
Offices
2
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$11B as of Jul 17, 2026
Mar 6, 2020$200M then
HNW client RAUM$0 as of Jul 17, 2026
Mar 6, 2020$0 then
State-registered IARs (5.B.3)0 as of Jul 17, 2026
Mar 6, 20200 then
Employees (5.A)3 as of Jul 17, 2026
Mar 6, 20202 then
Private funds: no history
RAUM +53% over the last fiscal year+100% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 17, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- 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
- $854MderivedRAUM 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
- unknownderived3 offices incl. principal (1.F.5)
- RAUM growth, one year
- +53%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for investment companiesreportedItem 5.G
- Ownership
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- 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)
- an independent public accountant performs a surprise examination (9.C.1)
- a related person acts as qualified custodian (9.D.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$11B100%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 13reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=2.0derived
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
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- John David Dipetrillo · Chief Executive Officer & Managercontrolsince 01/2024 · owns less than 5%
- John Matthew Oomen · Managercontrolsince 03/2021 · owns less than 5%
- Miller Stephanie Pierce · Managercontrolsince 01/2024 · owns less than 5%
- John Squillace · Chief Compliance Officercontrolsince 05/2024 · owns less than 5%
- Gareth Becker · Chief Financial Officersince 09/2024 · owns less than 5%
Entity owners
- Mbc Investments Corporation · Shareholderdirect · owns 75% or more
- Bny Mellon Ihc, LLC · Shareholderindirect · owns 75% or more of Mbc Investments Corporation
- The Bank Of New York Mellon Corporation · Shareholderindirect · owns 75% or more of Bny Mellon Ihc, LLC · public reporting company
Related persons
Schedule D 7.A
- Arx Investimentos Ltdainvestment adviserbanknRAUM $1.9B
- Bny Mellon Advisors, Inc.investment adviserbanknRAUM $33B
- Bny Mellon Alocacao De Patrimonio Ltdainvestment advisern
- Bny Mellon Asset Management Canada Ltdbroker-dealerinvestment adviserbankpooled vehicle sponsorn
- Bny Mellon Banco S.A.n
- Bny Mellon Capital Markets, LLCbroker-dealern
- Bny Mellon Fund Management (Luxembourg) S.A.broker-dealerinvestment adviserpooled vehicle sponsorn
- Bny Mellon Fund Managers Limitedinvestment adviserpooled vehicle sponsorn
- Bny Mellon Im Korea Limitedinvestment advisern
- Bny Mellon Im Taiwan Securities Investment Consulting Co., Ltdinvestment advisern
- Bny Mellon International Management Limitedinvestment adviserpooled vehicle sponsorn
- Bny Mellon Investment Adviser, Inc.investment adviserbanknRAUM $419B
- Bny Mellon Investment Management (Shanghai) Limitedinvestment advisern
- Bny Mellon Investment Management Emea Limitedbroker-dealerinvestment adviserpooled vehicle sponsorn
- Bny Mellon Investment Management Hong Kong Limitedbroker-dealerinvestment advisern
- Bny Mellon Investment Management Japan Limitedinvestment advisernRAUM $32B
- Bny Mellon Investment Management Singapore Pte. Limitedinvestment advisern
- Bny Mellon Investment Servicing Trust Companyn
- Bny Mellon National Associationinvestment advisern
- Bny Mellon Securities Corporationbroker-dealerinvestment adviserreal estatenRAUM $8.4B
- Bny Mellon Servicos Financeiros Distribuidora De Titulos E Valores Mobiliarios (Dtvm) S.A.broker-dealerinvestment advisern
- Bny Mellon Trust Company Of Illinoisn
- Bny Mellon Trust Of Delawareinvestment advisern
- Cibc Mellon Global Securities Services Companyn
- Cibc Mellon Trust Companyn
- Insight Investment Australia Pty Limitedinvestment advisern
- Insight Investment Funds Management Limitedinvestment adviserpooled vehicle sponsorn
- Insight Investmentinvestment adviserbanknRAUM $3.0B
- Insight Investment Management (Global) Limitedinvestment adviserbankn
- Insight Investment Management Europe Limitedpooled vehicle sponsorn
Advisers that list Bny Mellon Etf Investment Adviser, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
- New York, NY
What changed
consecutive filings, newest first
- Discretionary RAUM · $7.2B to $11BJan 2, 2026 to Mar 30, 2026
- RAUM · $7.2B to $11BJan 2, 2026 to Mar 30, 2026
- Financial planning clients · unset to 0Feb 27, 2025 to Mar 27, 2025
- Other offices · 1 to 2Feb 27, 2025 to Mar 27, 2025
- Discretionary RAUM · $6.0B to $7.2BFeb 27, 2025 to Mar 27, 2025
- RAUM · $6.0B to $7.2BFeb 27, 2025 to Mar 27, 2025
- Accounts · 15 to 13Feb 27, 2024 to Mar 29, 2024
- Employees · 5 to 3Feb 27, 2024 to Mar 29, 2024
- Discretionary RAUM · $1.4B to $6.0BFeb 27, 2024 to Mar 29, 2024
- RAUM · $1.4B to $6.0BFeb 27, 2024 to Mar 29, 2024
- Accounts · 13 to 15Mar 31, 2022 to Mar 31, 2023
- BD registered reps · 3 to 2Mar 31, 2022 to Mar 31, 2023
- Employees · 6 to 5Mar 31, 2022 to Mar 31, 2023
- Discretionary RAUM · $1.3B to $1.4BMar 31, 2022 to Mar 31, 2023
- RAUM · $1.3B to $1.4BMar 31, 2022 to Mar 31, 2023
- Accounts · 8 to 13Dec 17, 2021 to Mar 31, 2022
- BD registered reps · 2 to 3Dec 17, 2021 to Mar 31, 2022
- Employees · 5 to 6Dec 17, 2021 to Mar 31, 2022
- Discretionary RAUM · $498M to $1.3BDec 17, 2021 to Mar 31, 2022
- RAUM · $498M to $1.3BDec 17, 2021 to Mar 31, 2022
- Advisory employees · 1 to 2Oct 15, 2020 to Mar 25, 2021
- BD registered reps · 1 to 2Oct 15, 2020 to Mar 25, 2021
- Employees · 2 to 5Oct 15, 2020 to Mar 25, 2021
- Discretionary RAUM · $200M to $498MOct 15, 2020 to Mar 25, 2021
- RAUM · $200M to $498MOct 15, 2020 to Mar 25, 2021
- Accounts · 0 to 8Nov 26, 2019 to Mar 6, 2020
- BD registered reps · 0 to 1Nov 26, 2019 to Mar 6, 2020
- Business name · BNY MELLON ETF INVESTMENT ADVISER to BNY MELLON ETF INVESTMENT ADVISER, LLCNov 26, 2019 to Mar 6, 2020
- Charity clients · unset to 0.0Nov 26, 2019 to Mar 6, 2020
- Corporate clients · unset to 0.0Nov 26, 2019 to Mar 6, 2020
- HNW clients · unset to 0.0Nov 26, 2019 to Mar 6, 2020
- Individual clients · unset to 0.0Nov 26, 2019 to Mar 6, 2020
- Pension plan clients · unset to 0.0Nov 26, 2019 to Mar 6, 2020
- Pooled vehicle clients · unset to 0.0Nov 26, 2019 to Mar 6, 2020
- Legal name · BNY MELLON ETF INVESTMENT ADVISER to BNY MELLON ETF INVESTMENT ADVISER, LLCNov 26, 2019 to Mar 6, 2020
- Other offices · 0 to 1Nov 26, 2019 to Mar 6, 2020
- Discretionary RAUM · $0 to $200MNov 26, 2019 to Mar 6, 2020
- HNW RAUM · unset to 0.0Nov 26, 2019 to Mar 6, 2020
- Individual RAUM · unset to 0.0Nov 26, 2019 to Mar 6, 2020
- Pension RAUM · unset to 0.0Nov 26, 2019 to Mar 6, 2020
Signals
20 dated events
- Bny Mellon Etf Investment Adviser, Llc reported RAUM $11.1B, up 53% from $7.2B (2026-01-02 to 2026-03-30)Mar 30, 2026 · RAUM change · derived
- Giuliette Drake (Chief Financial Officer) no longer on Schedule A of Bny Mellon Etf Investment Adviser, Llc (listed 2024-06-17, absent 2024-11-26)Nov 26, 2024 · Control person left · inference
- John Squillace (Chief Compliance Officer) appeared on Schedule A of Bny Mellon Etf Investment Adviser, LlcJun 17, 2024 · Control person joined · fact
- Sergey Natalya Zelensky (Chief Compliance Officer) no longer on Schedule A of Bny Mellon Etf Investment Adviser, Llc (listed 2024-03-29, absent 2024-06-17)Jun 17, 2024 · Control person left · inference
- Bny Mellon Etf Investment Adviser, Llc reported RAUM $6.0B, up 330% from $1.4B (2024-02-27 to 2024-03-29)Mar 29, 2024 · RAUM change · derived
- Miller Stephanie Pierce (Manager) appeared on Schedule A of Bny Mellon Etf Investment Adviser, LlcFeb 27, 2024 · Control person joined · fact
- Chase Erica Fotta (Chief Operating Officer) no longer on Schedule A of Bny Mellon Etf Investment Adviser, Llc (listed 2023-03-31, absent 2024-02-27)Feb 27, 2024 · Control person left · inference
- Bny Mellon Etf Investment Adviser, Llc reported RAUM $1.3B, up 154% from $497.8M (2021-12-17 to 2022-03-31)Mar 31, 2022 · RAUM change · derived
- Webb Parker Wertz (Chief Financial Officer) no longer on Schedule A of Bny Mellon Etf Investment Adviser, Llc (listed 2021-08-04, absent 2021-12-17)Dec 17, 2021 · Control person left · inference
- Giuliette Drake (Chief Financial Officer) appeared on Schedule A of Bny Mellon Etf Investment Adviser, LlcDec 17, 2021 · Control person joined · fact
- Sergey Natalya Zelensky (Chief Compliance Officer) appeared on Schedule A of Bny Mellon Etf Investment Adviser, LlcAug 4, 2021 · Control person joined · fact
- Jennifer Cassedy (Chief Compliance Officer) no longer on Schedule A of Bny Mellon Etf Investment Adviser, Llc (listed 2021-03-25, absent 2021-08-04)Aug 4, 2021 · Control person left · inference
- Chase Erica Fotta (Chief Operating Officer) appeared on Schedule A of Bny Mellon Etf Investment Adviser, LlcAug 4, 2021 · Control person joined · fact
- Michelle Renee Laroche-Morris (Manager) no longer on Schedule A of Bny Mellon Etf Investment Adviser, Llc (listed 2020-10-15, absent 2021-03-25)Mar 25, 2021 · Control person left · inference
- Bny Mellon Etf Investment Adviser, Llc reported RAUM $497.8M, up 149% from $200.0M (2020-10-15 to 2021-03-25)Mar 25, 2021 · RAUM change · derived
- John Matthew Oomen (Manager) appeared on Schedule A of Bny Mellon Etf Investment Adviser, LlcMar 25, 2021 · Control person joined · fact
- Michelle Renee Laroche-Morris (Manager) appeared on Schedule A of Bny Mellon Etf Investment Adviser, LlcOct 15, 2020 · Control person joined · fact
- John David Dipetrillo (Manager) appeared on Schedule A of Bny Mellon Etf Investment Adviser, LlcOct 15, 2020 · Control person joined · fact
- Evan Mitchell Harris (Manager) no longer on Schedule A of Bny Mellon Etf Investment Adviser, Llc (listed 2020-07-13, absent 2020-10-15)Oct 15, 2020 · Control person left · inference
- Bny Mellon Etf Investment Adviser filed its initial SEC registration (Form ADV)Oct 18, 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.
How to reach
public business contact points only, each with its source
- Website
- bny.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-635-6980reportedpublic record, Form ADV, Jul 17, 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