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
Instinet, LLC
Latest filing Jun 23, 2026
First filing on the tape Sep 29, 2016 · 21 filings
SEC status approved since Oct 26, 2016
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
87
0 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
21 filings and snapshots on the tape
RAUM$0 as of Jun 23, 2026
Jun 20, 2025$0 then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jun 23, 2026
Jun 29, 20170 then
Employees (5.A)87 as of Jun 23, 2026
Jun 29, 2017226 then
Private funds: no history
RAUM n/a over the last fiscal yearIARs 0 to 0
Practice profile
derived from the filing of Jun 23, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- 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
- otherreportedItem 5.E
- Advisory activities
- otherreportedItem 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
- 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)
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
- 0reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- n/areported
- Class basis
- private_client_share=0.0 fund_share=0.0 institutional_share=0.0 related_bd=true related_bank=true bd_reps=81.0derived
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
- Eugene James Chiulli · Chief Financial Officercontrolsince 06/2022 · owns less than 5%
- Alice M Kenniff · Associate General Counsel And Chief Compliance Officer (Investment Adviser)controlsince 09/2016 · owns less than 5%
- Luke Mauro · Head Of Operationscontrolsince 02/2014 · owns less than 5%
- Gerard Thomas Milligan · Presidentcontrolsince 09/2023 · owns less than 5%
- Greg Pratnicki · Chief Compliance Officercontrolsince 10/2022 · owns less than 5%
- Christy E Schaffner · Principal Financial Officercontrolsince 11/2024 · owns less than 5%
- Julie Marie Siskovic · Chief Compliance Officer (Broker-Dealer, Cboe/C2)controlsince 11/2019 · owns less than 5%
- Faron Ross Webb · General Counselcontrolsince 01/2014 · owns less than 5%
Entity owners
- Instinet Holdings Incorporated · Direct Ownerdirect · owns 75% or more
- Instinet Incorporated · Direct Ownerindirect · owns 75% or more of Instinet Holdings Incorporated
- Nomura Holding America Inc. · Direct Ownerindirect · owns 75% or more of Instinet Incorporated
- Nomura Holdings, Inc. · Direct Ownerindirect · owns 75% or more of Nomura Holding America, Inc.
Related persons
Schedule D 7.A
- Capital Nomura Securities Public Company Limitedbroker-dealerinvestment advisern
- Instinet Australia Pty Limitedbroker-dealern
- Instinet Canada Limitedbroker-dealern
- Instinet Europe Limitedbroker-dealern
- Instinet Germany Gmbhbroker-dealern
- Instinet Pacific Ltd.broker-dealern
- Instinet Singapore Services Pte Ltd.broker-dealern
- Nomura Asset Management U.S.A. Inc.investment advisernRAUM $1.0B
- Nomura Australia Ltd.broker-dealern
- Nomura Corporate Research And Asset Management Incinvestment adviserpooled vehicle sponsornRAUM $38B
- Nomura Financial Investment (Korea) Co., Ltd.broker-dealern
- Nomura Global Alpha LLCinvestment adviserbankpooled vehicle sponsornRAUM $149M
- Nomura International (Hong Kong ) Limitedbroker-dealern
- Nomura International Plcbroker-dealern
- Nomura Securities Co., Ltd.broker-dealerinvestment advisern
- Nomura Securities International, Inc.broker-dealerinvestment advisern
- Nomura Securities Malaysia Sdn. Bhd.broker-dealern
- Nomura Singapore Ltd.broker-dealern
- P.T. Nomura Indonesiabroker-dealern
Advisers that list Instinet, LLC as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- unusual affiliate densityStatic outlier · filing Jun 23, 2026distinct affiliate types checked on Item 7.A of 6.0 against a peer median of 2.0 (176 comparable advisers, 98.0th percentile, 5.4 robust deviations)peers: other advisers, under $100M (176) · 98% percentile
What changed
consecutive filings, newest first
- BD registered reps · 155 to 81Jan 16, 2026 to Jun 23, 2026
- Employees · 291 to 87Jan 16, 2026 to Jun 23, 2026
- Financial planning clients · 0 to 0Jun 20, 2025 to Sep 8, 2025
- Accounts · unset to 0.0Dec 4, 2024 to Jun 20, 2025
- BD registered reps · 179 to 155Dec 4, 2024 to Jun 20, 2025
- Employees · 334 to 291Dec 4, 2024 to Jun 20, 2025
- Discretionary RAUM · unset to 0.0Dec 4, 2024 to Jun 20, 2025
- Non-discretionary RAUM · unset to 0.0Dec 4, 2024 to Jun 20, 2025
- RAUM · unset to 0.0Dec 4, 2024 to Jun 20, 2025
- Advisory employees · 1 to 0Jul 19, 2023 to Jun 28, 2024
- BD registered reps · 87 to 179Jul 19, 2023 to Jun 28, 2024
- Employees · 93 to 334Jul 19, 2023 to Jun 28, 2024
- Employees · 88 to 93Jun 23, 2022 to Jun 26, 2023
- BD registered reps · 96 to 87Jun 29, 2021 to Jun 23, 2022
- Employees · 118 to 88Jun 29, 2021 to Jun 23, 2022
- Advisory employees · 40 to 1Jan 21, 2021 to Jun 29, 2021
- BD registered reps · 149 to 96Jan 21, 2021 to Jun 29, 2021
- Employees · 180 to 118Jan 21, 2021 to Jun 29, 2021
- Advisory employees · 43 to 40Nov 14, 2019 to Jun 29, 2020
- BD registered reps · 162 to 149Nov 14, 2019 to Jun 29, 2020
- Employees · 203 to 180Nov 14, 2019 to Jun 29, 2020
- Other offices · 2 to 0Nov 14, 2019 to Jun 29, 2020
- Advisory employees · 61 to 43Oct 9, 2018 to Jun 28, 2019
- BD registered reps · 166 to 162Oct 9, 2018 to Jun 28, 2019
- Employees · 213 to 203Oct 9, 2018 to Jun 28, 2019
- Advisory employees · 75 to 61Jun 29, 2017 to Jun 28, 2018
- BD registered reps · 164 to 166Jun 29, 2017 to Jun 28, 2018
- Employees · 226 to 213Jun 29, 2017 to Jun 28, 2018
- Other offices · unset to 2.0Jun 29, 2017 to Jun 28, 2018
- Pension RAUM · unset to 0.0Jun 29, 2017 to Jun 28, 2018
- Advisory employees · 95 to 75Sep 30, 2016 to Jun 29, 2017
- BD registered reps · 179 to 164Sep 30, 2016 to Jun 29, 2017
- Employees · 254 to 226Sep 30, 2016 to Jun 29, 2017
Signals
16 dated events
- Christy E Schaffner (Principal Financial Officer) appeared on Schedule A of Instinet, LlcDec 4, 2024 · Control person joined · fact
- Thomas William Whelan (President) no longer on Schedule A of Instinet, Llc (listed 2023-07-19, absent 2024-06-28)Jun 28, 2024 · Control person left · inference
- Gerard Milligan (President) appeared on Schedule A of Instinet, LlcJun 28, 2024 · Control person joined · fact
- Eugene James Chiulli (Chief Financial Officer) appeared on Schedule A of Instinet, LlcJun 26, 2023 · Control person joined · fact
- Thomas William Whelan (President) appeared on Schedule A of Instinet, LlcJun 26, 2023 · Control person joined · fact
- Laure E Richmond (Chief Financial Officer) no longer on Schedule A of Instinet, Llc (listed 2022-06-23, absent 2023-06-26)Jun 26, 2023 · Control person left · inference
- David Seth Sieradzki (Associate General Counsel, Chief Compliance Officer (Broker Dealer, Non-Cboe/C2)) no longer on Schedule A of Instinet, Llc (listed 2022-06-23, absent 2023-06-26)Jun 26, 2023 · Control person left · inference
- Ralston Permar Jr Roberts (Chief Executive Officer) no longer on Schedule A of Instinet, Llc (listed 2022-06-23, absent 2023-06-26)Jun 26, 2023 · Control person left · inference
- Mark James Govoni (President) no longer on Schedule A of Instinet, Llc (listed 2021-06-29, absent 2022-06-23)Jun 23, 2022 · Control person left · inference
- Greg Pratnicki (Anti - Money Laundering Compliance Officer) appeared on Schedule A of Instinet, LlcJun 23, 2022 · Control person joined · fact
- Ralston Permar Jr Roberts (Chief Executive Officer) appeared on Schedule A of Instinet, LlcJun 29, 2021 · Control person joined · fact
- David Seth Sieradzki (Associate General Counsel, Chief Compliance Officer (Broker Dealer, Non-Cboe/C2) And Anti-Money Laundering Compliance Officer) appeared on Schedule A of Instinet, LlcJan 21, 2021 · Control person joined · fact
- Irene Ann Halpin (Associate General Counsel, Chief Compliance Officer ( Broker Dealer, Non-Cboe/C2) And Anti-Money Laundering Compliance Officer) no longer on Schedule A of Instinet, Llc (listed 2020-08-31, absent 2021-01-21)Jan 21, 2021 · Control person left · inference
- Christopher Peter Ulz (Chief Compliance Officer (Broker-Dealer, Cboe/C2)) no longer on Schedule A of Instinet, Llc (listed 2019-06-28, absent 2019-11-14)Nov 14, 2019 · Control person left · inference
- Julie Marie Siskovic (Chief Compliance Officer (Broker-Dealer, Cboe/C2)) appeared on Schedule A of Instinet, LlcNov 14, 2019 · Control person joined · fact
- Instinet, Llc filed its initial SEC registration (Form ADV)Sep 29, 2016 · 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
- INSTINET.COMreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- 212-310-4431reportedpublic record, Form ADV, Jun 23, 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
- No RAUM reportedderiveda 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