AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $6.4 |
| Non-Discretionary | $0.0 |
| Total | $6.4 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $6.4 |
| Institutional | $0.0 |
| Total | $6.4 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $0.0 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $0.0 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 0% | $0.0 |
| Cash | 0% | $0.0 |
| Other | 0% | $0.0 |
| Total | 0% | $0.0 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| AMERIPRISE FINANCIAL SERVICES, LLC | $479.8 | broker-dealer | 6363 |
| COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC | $427.1 | 108257 | |
| LIONSTONE PARTNERS, LLC | $4.4 | 160214 | |
| COLUMBIA CENT CLO ADVISERS, LLC | $2.6 | 310864 | |
| AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | $0.0 | broker-dealer | 26506 |
| ADVISORY CAPITAL STRATEGIES GROUP, INC. | $0.0 | - | |
| AMERIPRISE CAPTIVE INSURANCE COMPANY | $0.0 | - | |
| RIVERSOURCE LIFE INSURANCE COMPANY | $0.0 | - | |
| AMERIPRISE TRUST COMPANY | $0.0 | trust company | - |
| THREADNEEDLE INVESTMENTS SINGAPORE (PTE) LIMITED | $0.0 | - | |
| AMERIPRISE BANK, FSB | $0.0 | - | |
| RIVERSOURCE DISTRIBUTORS, INC. | $0.0 | broker-dealer | 139135 |
| RIVERSOURCE LIFE INSURANCE COMPANY OF NEW YORK | $0.0 | - | |
| COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. | $0.0 | broker-dealer | 840 |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
7 active
| Name | Title |
|---|---|
| MERGEN, MELDA | MANAGING DIRECTOR AND GLOBAL HEAD OF EQUITIES |
| DEFAO, MICHAEL, E | VICE PRESIDENT, CHIEF LEGAL OFFICER AND ASSISTANT SECRETARY |
| CLARKE, MICHAEL, GERALD | SENIOR VICE PRESIDENT, HEAD OF NORTH AMERICAN OPERATIONS AND CO-HEAD OF GLOBAL OPERATIONS |
| DEVERY, PATRICK, CHRISTOPHER | CHIEF COMPLIANCE OFFICER |
| MASCHMEYER, ERIKA, KATHERINE | VICE PRESIDENT |
ADVDB.CO • SOURCE: SEC
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $6.4 | $0.0 | 0% | 13 | 0 | 0% |
| 2024-04-02 | $6.4 | $0.0 | 0% | 13 | 0 | 0% |
| 2023-04-04 | $6.4 | $0.1 | 1% | 31 | -18 | -58% |
| 2022-04-01 | $11.2 | -$4.8 | -43% | 31 | -18 | -58% |
| 2021-04-05 | $11.4 | -$4.9 | -43% | 31 | -18 | -58% |
| 2020-04-01 | $10.3 | -$3.8 | -37% | 55 | -42 | -76% |
| 2019-04-01 | $9.4 | -$3.0 | -32% | 55 | -42 | -76% |
| 2018-04-02 | $13.5 | -$7.1 | -52% | 55 | -42 | -76% |
| 2017-04-01 | $13.8 | -$7.4 | -53% | 62 | -49 | -79% |
| 2016-04-01 | $20.4 | -$13.9 | -68% | 77 | -64 | -83% |
| 2015-04-01 | $39.8 | -$33.3 | -84% | 76 | -63 | -83% |
| 2014-04-01 | $39.8 | -$33.3 | -84% | 76 | -63 | -83% |
| 2013-04-01 | $32.4 | -$25.9 | -80% | 76 | -63 | -83% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| IL, IL-05/28/1992 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV