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

Convergex Execution Solutions LLC

Former SEC-registered adviserNew York, New YorkCRD 35693SEC 801-67167IAPD
Latest filing Jan 17, 2014
First filing on the tape Mar 30, 2012 · 12 filings
RAUM
n/a
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
375
8 advisory (5.B.1)
Offices
n/a
beyond the principal office
Private funds
0
reported on Schedule D
History
12 filings and snapshots on the tape
RAUM: no history
HNW client RAUM: no history
State-registered IARs (5.B.3): 1
Employees (5.A): 375
Private funds: no history
RAUM n/a over the last fiscal year
Practice profile
derived from the filing of Jan 17, 2014; 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
fixed fees, commissionsreportedItem 5.E
Advisory activities
otherreportedItem 5.G
Ownership
a PE fund or sponsor is a 25 percent or greater owner on Schedule Aderived
Advisor book size
not public; not estimatedreported
Also answered yes on Form ADV
  • is a broker-dealer (6.A.1)
  • 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)
  • a related person has custody of client cash (9.B.1.a)
  • a related person has custody of client securities (9.B.1.b)
  • a related person acts as qualified custodian (9.D.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
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
n/areported
Financial planning clients
n/areported
Wrap fee programs
noreported
Custody of client assets
noreported
Compensation
fixed, commissionsreported
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
      • Paul Garo Basmajian · Chief Executive Officer, Managercontrol
        since 11/2013 · owns less than 5%
      • Vincent John Fitzpatrick · Non-Employee Managercontrol
        since 10/2006 · owns less than 5%
      • Eric Wilson Noll · Non-Employee Managercontrol
        since 01/2014 · owns less than 5%
      • Charles Edward II Rappold · Non-Employee Managercontrol
        since 10/2006 · owns less than 5%
      • Anthony Joseph Saliba · Non Employee Managercontrol
        since 12/2008 · owns less than 5%
      • Steven P Heineman · Directorcontrol
        since 04/2013 · owns F of Convergex Group, LLC
      • Charles Edward II Rappold · Directorcontrol
        since 10/2006 · owns F of Convergex Group, LLC
      • Frank John Burnett · Svp, Registered Options And Security Futures Principal
        since 10/2008 · owns less than 5%
      • Michael John Minogue · Svp, Municipal Principal
        since 12/2006 · owns less than 5%
      • Beatrice Ordonez · Md, Coo
        since 05/2012 · owns less than 5%
      • Christopher Michael Springer · Executive Managing Director, Finop And Cfo
        since 10/2006 · owns less than 5%
      • Robert Joseph Virgilio · Md, Chief Compliance Officer
        since 10/2006 · owns less than 5%
      Entity owners
      • Convergex Group,LLC · Member
        direct · owns 75% or more
      • Agency Brokerage Holding, LLC · Shareholder, Member
        indirect · owns 25% to 50% of Convergex Holdings, LLC
      • Convergex Holdings, LLC · Shareholder, Member
        indirect · owns 75% or more of Convergex Group, LLC
      • Gtcr Fund Viii Aiv, L.P. · Shareholder, Member
        indirect · owns 25% to 50% of Convergex Holdings, LLC
      • Gtcr Golder Rauner II, LLC · Partner
        indirect · owns F of Gtcr Partners Viii, L.P.
      • Gtcr Partners Viii, L.P. · Partner
        indirect · owns F of Gtcr Fund Viii Aiv, L.P.
      • The Bank Of New York Mellon Corporation · Shareholder, Member
        indirect · owns 75% or more of Agency Brokerage Holding, LLC · public reporting company
      Related persons
      Schedule D 7.A
      • Acn 003 231 829 Limited
        broker-dealern
      • Benefit Street Partners Limited
        investment adviserpooled vehicle sponsornRAUM $23B
      • Alcentra Management (Ireland) Limited
        investment advisern
      • Bsp Ny LLC
        investment adviserpooled vehicle sponsornRAUM $14B
      • Arx Investimentos Ltda
        investment adviserbanknRAUM $1.9B
      • Bny Mellon Administracao De Ativos Ltda.
        investment advisern
      • Bny Mellon Alocacao De Patrimonio Ltda
        investment advisern
      • Bny Mellon Am Korea Limited
        investment advisern
      • Bny Mellon Asset Management (Uk) Limited
        investment advisern
      • Bny Mellon Asset Management Australia Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Asset Management Canada Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Asset Management Hong Kong Limited
        broker-dealerinvestment advisern
      • Bny Mellon Asset Management International Limited
        broker-dealerinvestment adviserpooled vehicle sponsorn
      • Bny Mellon Asset Management Japan Limited
        investment advisern
      • Bny Mellon Banco S.A.
        n
      • Bny Mellon Capital Markets Emea Limited
        broker-dealerinvestment adviserbankn
      • Bny Mellon Capital Markets, LLC
        broker-dealern
      • Bny Mellon Fund Managers Limited
        investment adviserpooled vehicle sponsorn
      • Bny Mellon Global Management Limited
        investment adviserpooled vehicle sponsorn
      • Bny Mellon International Management Limited
        investment adviserpooled vehicle sponsorn
      • Bny Mellon National Association
        investment advisern
      • Bny Mellon Servicos Financeiros Distribuidora De Titulos E Valores Mobiliarios (Dtvm) S.A.
        broker-dealerinvestment advisern
      • Bny Mellon Trust Company Of Illinois
        n
      • Bny Mellon Trust Of Delaware
        investment advisern
      • Bny Mellon Wealth Management, Advisory Services, Inc.
        broker-dealerinvestment adviserbankpooled vehicle sponsorn
      • Bny Mellon Western Fund Management Co., Ltd.
        investment adviserpooled vehicle sponsorn
      • Centersquare Investment Management Holdings, Inc.
        investment adviserpooled vehicle sponsornRAUM $577M
      • Centersquare Investment Management, Inc.
        investment adviserpooled vehicle sponsornRAUM $7.9B
      • Cibc Mellon Global Securities Services Company,
        n
      • Cibc Mellon Trust Company
        n
      Advisers that list Convergex Execution Solutions LLC as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • BD registered reps · 210 to 202
        Apr 1, 2013 to Jul 3, 2013
      • State-registered IARs · 1 to 0
        Apr 1, 2013 to Jul 3, 2013
      • Advisory employees · unset to 8.0
        Aug 8, 2012 to Apr 1, 2013
      • BD registered reps · unset to 210.0
        Aug 8, 2012 to Apr 1, 2013
      • Employees · unset to 375.0
        Aug 8, 2012 to Apr 1, 2013
      • State-registered IARs · unset to 1.0
        Aug 8, 2012 to Apr 1, 2013
      • Related bank · false to true
        Aug 8, 2012 to Apr 1, 2013
      • Business name · BNY CONVERGEX EXECUTION SOLUTIONS LLC to CONVERGEX EXECUTION SOLUTIONS LLC
        Mar 30, 2012 to Apr 11, 2012
      • Legal name · BNY CONVERGEX EXECUTION SOLUTIONS LLC to CONVERGEX EXECUTION SOLUTIONS LLC
        Mar 30, 2012 to Apr 11, 2012
      Signals
      No event on the tape.
      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