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
I•••••• L••• M••••••• L••
Latest filing Mar 25, 2026
First filing on the tape Apr 28, 2020 · 25 filings
SEC status approved since Aug 17, 2020
RAUM
$18B
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
109
66 advisory (5.B.1)
Offices
4
beyond the principal office
Private funds
44
reported on Schedule D
History
25 filings and snapshots on the tape
RAUM$18B as of Mar 25, 2026
Mar 31, 2021$5.9B then
HNW client RAUM: no history
State-registered IARs (5.B.3)3 as of Mar 25, 2026
Mar 31, 20212 then
Employees (5.A)109 as of Mar 25, 2026
Mar 31, 202167 then
Private funds44 as of Mar 25, 2026
Mar 31, 202113 then
RAUM +9.9% over the last fiscal year+18% a year over threeIARs 3 to 3
Practice profile
derived from the filing of Mar 25, 2026; every figure names its basis
- RAUM per advisor
- $5.9BderivedRAUM 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
- $402MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.0%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 36.3derivedItem 5.A over advisors
- Advisors per office
- 0.6derived5 offices incl. principal (1.F.5)
- RAUM growth, one year
- +9.9%derivedbetween the last two annual amendments
- Advisor growth, one year
- +0.0%derivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for pooled vehiclesreportedItem 5.G
- Custody
- $85.4M, 1 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
- Pooled investment vehicles$18B100%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- n/areported
- Accounts
- 44reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- $85.4M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=1.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=9.0derived
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
32 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| I•••••• C•• 2•••••• L•• | Securitized Asset Fund | $601M | 1 | Mar 31, 2023 |
| I•••••• C•• 2•••••• L•• | Securitized Asset Fund | $599M | 4 | Mar 29, 2022 |
| B••••• C••• L•• | Securitized Asset Fund | $597M | 2 | Mar 12, 2020 |
| R•••••• C••• L•• | Securitized Asset Fund | $588M | 4 | Mar 21, 2017 |
| I•••••• C•• 2•••••• L•• | Securitized Asset Fund | $501M | 1 | Mar 31, 2023 |
| I•••••• C•• 2•••••• L•• | Securitized Asset Fund | $500M | 6 | Mar 29, 2022 |
| I•••••• C•• 2•••••• L•• | Securitized Asset Fund | $500M | 1 | Mar 31, 2023 |
| I•••••• C•• 2•••••• L•• | Securitized Asset Fund | $500M | 3 | Mar 29, 2022 |
| I•••••• U• C•• 2•••••• L•• | Securitized Asset Fund | $500M | 1 | Mar 27, 2024 |
| I•••••• C•• 2•••••• L•• | Securitized Asset Fund | $499M | 4 | Mar 29, 2022 |
| I•••••• U• C•• 2•••••• L•• | Securitized Asset Fund | $494M | 1 | Mar 27, 2024 |
| V•••• C••• L•• | Securitized Asset Fund | $491M | 2 | Mar 12, 2020 |
| B••••• C•• 2• L•• | Securitized Asset Fund | $471M | 2 | Mar 29, 2019 |
| M•••• C••• L•• | Securitized Asset Fund | $457M | 3 | Mar 28, 2018 |
| C•••••• C••• L•• | Securitized Asset Fund | $449M | 4 | Mar 28, 2018 |
| I•••••• E••• C•• I• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $448M | 2 | Mar 31, 2021 |
| I•••••• E••• C•• V••• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $445M | 1 | Mar 29, 2022 |
| I•••••• E••• C•• I••••• X• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $444M | 1 | Mar 27, 2024 |
| I•••••• E••• C•• V•• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $444M | 2 | Mar 29, 2022 |
| I•••••• E••• C•• X• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $443M | 1 | Mar 27, 2024 |
| I•••••• E••• C•• I• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $443M | 1 | Mar 31, 2023 |
| I•••••• E••• C•• I•• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $442M | 2 | Mar 12, 2020 |
| I•••••• E••• C•• V• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $442M | 4 | Mar 29, 2022 |
| I•••••• E••• C•• I• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $441M | 1 | Mar 12, 2020 |
| I•••••• E••• C•• I• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $440M | 2 | Mar 29, 2019 |
| I•••••• C•• E••••• F••• 3• L••• | Private Equity Fund | $417M | 19 | Apr 28, 2020 |
| I•••••• C•• 2•••••• L•• | Securitized Asset Fund | $400M | 3 | Mar 31, 2023 |
| I•••••• U• C•• 2•••••• L••• | Securitized Asset Fund | $398M | 1 | Mar 27, 2024 |
| A••••• C••• L•• | Securitized Asset Fund | $392M | 2 | Mar 21, 2017 |
| H••••••••• C•• V••• L•••••• | Securitized Asset Fund | $343M | 4 | Mar 31, 2015 |
| I•••••• E••• C•• V• D••••••••• A••••••• C•••••• | Securitized Asset Fund | $332M | 3 | Mar 29, 2022 |
| I•••••• C•• E••••• F••• I• L• | Private Equity Fund | $172M | 5 | Mar 29, 2022 |
Owners and control persons
Schedule A and B, latest filing
- L••••• J•••••• E••• · Chief Compliance Officercontrolsince 02/2021 · owns less than 5%
Entity owners
- I•••••• S••••• S•••••• M••••••••• I••• · Sole Shareholderdirect · owns 75% or more
- I•••••• A•••••••• I••• · Sole Shareholderindirect · owns 75% or more of I•••••• S••••• S•••••• M••••••••• I•••
- I•••••• G•••• S•••••••• I•• · Sole Shareholderindirect · owns 75% or more of I•••••• A•••••••• I•••
- I•••••• H•••••• C•••••• •••• I••• · Sole Shareholderindirect · owns 75% or more of O••••••••• A••••••••• C•••••••••
- I•••••• H•••••• C•••••• L•••••• · Sole Shareholderindirect · owns 75% or more of I•••••• H•••••• C•••••• •••• I•••
- I•••••• L•• · Sole Shareholderindirect · owns 75% or more of I•••••• H•••••• C•••••• L•••••• · public reporting company
- O••••••••• A••••••••• C••••••••• · Sole Shareholderindirect · owns 75% or more of O••••••••• I•••
- O••••••••• I••• · Sole Shareholderindirect · owns 75% or more of I•••••• G•••• S•••••••• I••
Related persons
Schedule D 7.A
- Redblack Advisers, Inc.investment advisernRAUM $824M
- I•••••• A•••••••• I•••investment adviserbankyRAUM $750B
- I•••••• A•••• M••••••••• •••••• P••• L•••investment advisernRAUM $10B
- I•••••• A•••• M••••••••• •••••• L••••••investment advisernRAUM $76B
- I•••••• M••••••••• S•••investment advisernRAUM $49B
- I•••••• A•••• M••••••••• L•••investment advisernRAUM $188B
- I••••••investment adviserbankpooled vehicle sponsornRAUM $20B
- I•••••• C•••••• M••••••••• L••investment adviserbankpooled vehicle sponsornRAUM $941B
- I•••••• C•••••• M••••••• I•••broker-dealern
- I•••••• D••••••••• I•••broker-dealern
- I•••••• F••• M••••••• L••pooled vehicle sponsorn
- I•••••• H••• K••• L••••••investment advisernRAUM $26B
- I•••••• I••••••••• A••••••• L••investment advisernRAUM $4.4B
- I•••••• I••••••••• M••••••••• L••pooled vehicle sponsorn
- I•••••• M•••••• A•••••••• L••investment advisernRAUM $31B
- I•••••• M••••••••• S•••pooled vehicle sponsorn
- I•••••• P••••••• L••real estaten
- I•••••• P•••••• C••••••• I•••investment adviserbankpooled vehicle sponsornRAUM $860M
- I•••••• R••• E••••• Management S.à R.L.investment advisernRAUM $13B
- I•••••• S••••• S•••••• M••••••••• I•••investment adviserbankpooled vehicle sponsoryRAUM $29B
- I•••••• S••••••••• P•••••••• L••pooled vehicle sponsorn
- I•••••• T•••• C••••••n
- I•• ••••••• L••••••investment adviserpooled vehicle sponsorn
- O••••••••• I••investment adviserpooled vehicle sponsornRAUM $827,684
- W• R••• • C•• L••investment adviserbankpooled vehicle sponsornRAUM $225M
Advisers that list I•••••• L••• M••••••• L•• as a related person
Offices
Schedule D 1.F, the 25 largest
- White Plains, NY10 employees
- Downers Grove, IL8 employees
- London, United Kingdom7 employees
- Greenwood Village, CO5 employees
ADV anomalies
2 against comparable advisers; where to look, not conclusions
- very high RAUM per advisorStatic outlier · filing Mar 25, 2026RAUM per registered advisor of $5,898,205,243 against a peer median of $1,157,401,140 (55 comparable advisers, 100.0th percentile, 4.7 robust deviations)peers: ASSET_M••••••, $5B to $20B (55) · 100% percentile
- custody status changedChange between filings · filing Mar 25, 2026custody of client assets (Item 9.A): no on the filing of 2025-03-31, yes on the filing of 2026-03-25peers: ASSET_M••••••, $5B to $20B (684)
What changed
consecutive filings, newest first
- Accounts · 39 to 44Mar 31, 2025 to Mar 25, 2026
- Advisory employees · 62 to 66Mar 31, 2025 to Mar 25, 2026
- BD registered reps · 11 to 9Mar 31, 2025 to Mar 25, 2026
- Pooled vehicle clients · 39 to 44Mar 31, 2025 to Mar 25, 2026
- Assets in custody · unset to 85358381.0Mar 31, 2025 to Mar 25, 2026
- Custody of client assets · false to trueMar 31, 2025 to Mar 25, 2026
- Employees · 92 to 109Mar 31, 2025 to Mar 25, 2026
- Private funds · 39 to 44Mar 31, 2025 to Mar 25, 2026
- Discretionary RAUM · $16B to $18BMar 31, 2025 to Mar 25, 2026
- Pooled vehicle RAUM · $16B to $18BMar 31, 2025 to Mar 25, 2026
- RAUM · $16B to $18BMar 31, 2025 to Mar 25, 2026
- Accounts · 32 to 39Nov 26, 2024 to Mar 31, 2025
- Advisory employees · 59 to 62Nov 26, 2024 to Mar 31, 2025
- Pooled vehicle clients · 32 to 39Nov 26, 2024 to Mar 31, 2025
- Employees · 91 to 92Nov 26, 2024 to Mar 31, 2025
- Financial planning clients · unset to Nov 26, 2024 to Mar 31, 2025
- Private funds · 32 to 39Nov 26, 2024 to Mar 31, 2025
- Discretionary RAUM · $15B to $16BNov 26, 2024 to Mar 31, 2025
- Pooled vehicle RAUM · $15B to $16BNov 26, 2024 to Mar 31, 2025
- RAUM · $15B to $16BNov 26, 2024 to Mar 31, 2025
- Accounts · 27 to 32May 12, 2023 to Mar 27, 2024
- Advisory employees · 54 to 59May 12, 2023 to Mar 27, 2024
- BD registered reps · 10 to 11May 12, 2023 to Mar 27, 2024
- Pooled vehicle clients · 27 to 32May 12, 2023 to Mar 27, 2024
- Employees · 85 to 91May 12, 2023 to Mar 27, 2024
- Private funds · 27 to 32May 12, 2023 to Mar 27, 2024
- Discretionary RAUM · $11B to $15BMay 12, 2023 to Mar 27, 2024
- Pooled vehicle RAUM · $11B to $15BMay 12, 2023 to Mar 27, 2024
- RAUM · $11B to $15BMay 12, 2023 to Mar 27, 2024
- Accounts · 22 to 27Dec 21, 2022 to Mar 31, 2023
- Advisory employees · 49 to 54Dec 21, 2022 to Mar 31, 2023
- BD registered reps · 7 to 10Dec 21, 2022 to Mar 31, 2023
- Pooled vehicle clients · 22 to 27Dec 21, 2022 to Mar 31, 2023
- Employees · 75 to 85Dec 21, 2022 to Mar 31, 2023
- Insurance-licensed employees · 2 to 3Dec 21, 2022 to Mar 31, 2023
- State-registered IARs · 2 to 3Dec 21, 2022 to Mar 31, 2023
- Private funds · 22 to 27Dec 21, 2022 to Mar 31, 2023
- Discretionary RAUM · $8.5B to $11BDec 21, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $8.5B to $11BDec 21, 2022 to Mar 31, 2023
- RAUM · $8.5B to $11BDec 21, 2022 to Mar 31, 2023
Signals
6 dated events
- I•••••• L••• M••••••• L•• reported RAUM $14.6B, up 35% from $10.8B (2023-05-12 to 2024-03-27)Mar 27, 2024 · RAUM change · derived
- I•••••• L••• M••••••• L•• reported RAUM $10.8B, up 28% from $8.5B (2022-12-21 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- I•••••• L••• M••••••• L•• reported RAUM $7.7B, up 32% from $5.9B (2021-06-29 to 2021-11-09)Nov 9, 2021 · RAUM change · derived
- Mary Tara Mcaleer (Chief Compliance Officer) no longer on Schedule A of I•••••• L••• M••••••• L•• (listed 2020-12-23, absent 2021-02-01)Feb 1, 2021 · Control person left · inference
- E••• J••••• L•••• (Chief Compliance Officer) appeared on Schedule A of I•••••• L••• M••••••• L••Feb 1, 2021 · Control person joined · fact
- I•••••• L••• M••••••• L•• filed its initial SEC registration (Form ADV)Apr 28, 2020 · First SEC registration · fact
Across DFX
shared identifiers only, never a name match
- I•••••• L••• M••••••• L•• · Independent Sponsorsshared crd · capital_provider
- I•••••• L••• M••••••• L•• · Private Equityshared crd · organization
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/invesco-ltd/.reportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212 278-9000reportedpublic record, Form ADV, Mar 25, 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 M••••••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