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
Nfj Investment Group, LLC
Latest filing Mar 20, 2026
First filing on the tape Sep 23, 2020 · 13 filings
SEC status approved since Nov 6, 2020
RAUM
$3.0B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
2
registered through the firm on IAPD
RAUM per advisor
$1.5B
derived; firm RAUM over IAPD count
Employees
9
8 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
13 filings and snapshots on the tape
RAUM$3.0B as of Mar 20, 2026
Mar 10, 2021$5.4B then
HNW client RAUM$0 as of Mar 20, 2026
Mar 10, 2021$0 then
State-registered IARs (5.B.3)2 as of Mar 20, 2026
Mar 10, 20210 then
Employees (5.A)9 as of Mar 20, 2026
Mar 10, 202110 then
Private funds: no history
RAUM -12% over the last fiscal year-12% a year over threeIARs 2 to 2
Practice profile
derived from the filing of Mar 20, 2026; every figure names its basis
- RAUM per advisor
- $1.5BderivedRAUM 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
- $6.4MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 0.6%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- 4.5derivedItem 5.A over advisors
- Advisors per office
- 2.0derived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- -12%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 assetsreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companies, otherreportedItem 5.G
- Wrap fee program
- participatesreportedItem 5.I
- 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
- Investment companies$2.7B99%
- Corporations and businesses$21.8M0.8%
- State and municipal entities$19.0M0.7%
- Individual clients
- 0reported
- HNW clients
- 0reported
- Pension plan clients
- 0reported
- Charitable clients
- 0reported
- Accounts
- 468reported
- Financial planning clients
- reported
- Wrap fee programs
- $0 sponsored, $255M managedreported
- Custody of client assets
- noreported
- Compensation
- % of AUMreported
- Class basis
- private_client_share=0.0 fund_share=0.9 institutional_share=0.01 related_bd=true related_bank=true bd_reps=3.0derived
Advisors registered through the firm
2 on IAPD today, longest tenure first
| Name | Branch | Here since | In industry | Prior firms |
|---|---|---|---|---|
| Krysta Michelle Hill | Dallas, Tx | Nov 3, 2021 | 13 y | 0 |
| Kristian Peter Marca | Dallas, Tx | Nov 3, 2021 | 16 y | 2 |
Advisor movement
0 left, 0 joined in 12 months
net 0 in 12 months0 left in 90 days0 joined in 90 daysdeparture rate 0.0% of current headcount0 left over 36 months
Left, latest
none on the tape
Joined, latest
- Kristian Peter Marca from Allianz Global Investors U.S. LLCNov 3, 2021 · Other
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- Aaron Michael Angerthal · Executive Vice President And Chief Financial Officercontrolsince 09/2020 · owns less than 5%
- Robert George Aylward · President And Chief Executive Officercontrolsince 09/2020 · owns less than 5%
- B Matthew Carney · Chief Compliance Officercontrolsince 09/2024 · owns less than 5%
- Reid John Mowrey · Executive Managing Director, Chief Investment Officercontrolsince 02/2021 · owns less than 5%
- Cynthia Andra Purkalitis · Executive Vice President And Chief Legal Officercontrolsince 11/2023 · owns less than 5%
- William Richard Smirl · Executive Vice Presidentsince 05/2021 · owns less than 5%
Entity owners
- Virtus Partners, Inc. · Sole Memberdirect · owns 75% or more
- Virtus Investment Partners, Inc. · Sole Shareholderindirect · owns 75% or more of Virtus Partners, Inc. · public reporting company
Related persons
Schedule D 7.A
- Alphasimplex Group, LLCinvestment adviserbanknRAUM $3.1B
- Ceredex Value Advisors LLCinvestment advisernRAUM $3.4B
- Duff & Phelps Investment Management Co.investment advisernRAUM $13B
- Kayne Anderson Rudnick Investment Management, LLCinvestment advisernRAUM $39B
- Seix Clo Management LLCinvestment advisernRAUM $336M
- Silvant Capital Management LLCinvestment advisernRAUM $3.0B
- Sustainable Growth Advisers, LPinvestment advisernRAUM $17B
- Virtus Alternative Investment Advisers, LLCinvestment adviserbanknRAUM $1.1B
- Virtus Advisers, LLCinvestment adviserbanknRAUM $1.4B
- Virtus Fixed Income Advisers, LLCinvestment adviserbanknRAUM $35B
- Virtus Capital Advisers, LLCinvestment adviserbanknRAUM $1.5B
- Virtus Global Partnersinvestment advisern
- Virtus International Fund Management Limitedinvestment adviserpooled vehicle sponsorn
- Virtus International Management Llpinvestment advisern
- Virtus Investment Advisers, LLCinvestment adviserbankpooled vehicle sponsornRAUM $52B
- Vp Distributors LLCbroker-dealern
- Westchester Capital Management, LLCinvestment adviserbanknRAUM $2.9B
- Westchester Capital Partners, LLCinvestment adviserbankpooled vehicle sponsornRAUM $34.2M
Advisers that list Nfj Investment Group, LLC as a related person
Office movement
IAPD branch city; joins and departures in 12 months
| Office | Advisors | Joined | Left | Teams out | Forming |
|---|---|---|---|---|---|
| Dallas, Tx · principal | 2 | 0 | 0 |
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
What changed
consecutive filings, newest first
- Accounts · 739 to 468Mar 26, 2025 to Mar 20, 2026
- Advisory employees · 9 to 8Mar 26, 2025 to Mar 20, 2026
- BD registered reps · 4 to 3Mar 26, 2025 to Mar 20, 2026
- Corporate clients · 1 to 2Mar 26, 2025 to Mar 20, 2026
- Employees · 10 to 9Mar 26, 2025 to Mar 20, 2026
- Discretionary RAUM · $3.4B to $3.0BMar 26, 2025 to Mar 20, 2026
- RAUM · $3.4B to $3.0BMar 26, 2025 to Mar 20, 2026
- Wrap assets (manager) · $347M to $255MMar 26, 2025 to Mar 20, 2026
- Accounts · 1,082 to 739Sep 4, 2024 to Mar 26, 2025
- Corporate clients · unset to 1.0Sep 4, 2024 to Mar 26, 2025
- Pension plan clients · unset to 0.0Sep 4, 2024 to Mar 26, 2025
- Pooled vehicle clients · 1 to 0Sep 4, 2024 to Mar 26, 2025
- Employees · 12 to 10Sep 4, 2024 to Mar 26, 2025
- Financial planning clients · unset to Sep 4, 2024 to Mar 26, 2025
- Discretionary RAUM · $4.2B to $3.4BSep 4, 2024 to Mar 26, 2025
- Non-discretionary RAUM · $30.8M to $0Sep 4, 2024 to Mar 26, 2025
- Pension RAUM · $91.1M to $0Sep 4, 2024 to Mar 26, 2025
- Pooled vehicle RAUM · $30.8M to $0Sep 4, 2024 to Mar 26, 2025
- RAUM · $4.2B to $3.4BSep 4, 2024 to Mar 26, 2025
- Wrap assets (manager) · $505M to $347MSep 4, 2024 to Mar 26, 2025
- Accounts · 1,394 to 1,082Nov 16, 2023 to Mar 29, 2024
- Discretionary RAUM · $4.3B to $4.2BNov 16, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $29.5M to $30.8MNov 16, 2023 to Mar 29, 2024
- Pension RAUM · $166M to $91.1MNov 16, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $29.5M to $30.8MNov 16, 2023 to Mar 29, 2024
- RAUM · $4.3B to $4.2BNov 16, 2023 to Mar 29, 2024
- Wrap assets (manager) · $590M to $505MNov 16, 2023 to Mar 29, 2024
- Accounts · 1,609 to 1,394Aug 24, 2022 to Mar 31, 2023
- Pooled vehicle clients · 2 to 1Aug 24, 2022 to Mar 31, 2023
- Discretionary RAUM · $5.9B to $4.3BAug 24, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $36.9M to $29.5MAug 24, 2022 to Mar 31, 2023
- Pension RAUM · $213M to $166MAug 24, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $36.9M to $29.5MAug 24, 2022 to Mar 31, 2023
- RAUM · $5.9B to $4.3BAug 24, 2022 to Mar 31, 2023
- Wrap assets (manager) · $827M to $590MAug 24, 2022 to Mar 31, 2023
- Accounts · 1,741 to 1,609Mar 10, 2021 to Mar 30, 2022
- BD registered reps · 5 to 4Mar 10, 2021 to Mar 30, 2022
- Corporate clients · 0.0 to unsetMar 10, 2021 to Mar 30, 2022
- Employees · 10 to 12Mar 10, 2021 to Mar 30, 2022
- State-registered IARs · 0 to 2Mar 10, 2021 to Mar 30, 2022
Signals
6 dated events
- B Matthew Carney (Chief Compliance Officer) appeared on Schedule A of Nfj Investment Group, LlcSep 4, 2024 · Control person joined · fact
- Cynthia Andra Purkalitis (Executive Vice President And Chief Legal Officer) appeared on Schedule A of Nfj Investment Group, LlcNov 16, 2023 · Control person joined · fact
- Jacqueline Wendy Hills (Executive Vice President, General Counsel And Secretary) no longer on Schedule A of Nfj Investment Group, Llc (listed 2023-03-31, absent 2023-06-01)Jun 1, 2023 · Control person left · inference
- Nfj Investment Group, Llc reported RAUM $4.3B, down 27% from $5.9B (2022-08-24 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Reid John Mowrey (Executive Managing Director, Chief Investment Officer) appeared on Schedule A of Nfj Investment Group, LlcMar 10, 2021 · Control person joined · fact
- Nfj Investment Group, Llc filed its initial SEC registration (Form ADV)Sep 23, 2020 · 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
- Firm profile
- linkedin.com/company/nfj-investment-groupreportedpublic record, Form ADV, Sep 17, 2026
- Website
- corporate.virtus.comreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 214-754-1780reportedpublic record, Form ADV, Mar 20, 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
- $1.5Bderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026