DBX ADVISORS LLC
Adviser information for DBX ADVISORS LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 37 |
|---|---|
| Investment Advisory/Research | 11 |
| Registered Broker-Dealer Representatives | 22 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 1 | $20.0B |
| Non-Discretionary | 0 | $0 |
| Total | 1 | $20.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $20.0B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-71808 |
|---|---|
| SEC ERA File Number | 801-71808 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 154558 |
| Legal Entity Identifier | 529900YHRPQXXQ333M09 |
Principal Office
875 THIRD AVENUENEW YORK
NY
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 212-454-4500, Fax: None
Chief Compliance Officer
FRANK GECSEDI
CHIEF COMPLIANCE OFFICER
875 THIRD AVENUE
NEW YORK
NY
United States
Tel:
212-454-8541
F************@******M
(Full email address available in API data)
Regulatory Contact
SCOTT HOGAN
SENIOR AFC & COMPLIANCE OFFICER
100 SUMMER ST.
BOSTON
MA
United States
Tel:
(617) 295-3986
S************@*****M
(Full email address available in API data)
Industry Affiliates
| DEUTSCHE BANK AG | Broker-dealer, municipal securities dealer, or gov securities broker or dealerRegistered security-based swap dealerBanking or thrift institutionTrust companySponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| DEUTSCHE BANK SECURITIES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisorFutures commission merchant |
| DWS DISTRIBUTORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| DWS INVESTMENT MANAGEMENT AMERICAS, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| RREEF AMERICA L.L.C. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| KLASSEN, FREDDI | Individual | – | ELECTED MANAGER / CHIEF OPERATING OFFICER | 11/2016 | < 5% |
| GILLIGAN, MICHAEL, JOSEPH | Individual | – | ELECTED MANAGER/CHIEF FINANCIAL OFFICER | 09/2012 | < 5% |
| GECSEDI, FRANK, JOSEPH | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2010 | < 5% |
| DEUTSCHE BANK AG | Foreign Entity | DB BETEILIGUNGS HOLDING GMBH | SHAREHOLDER | 04/2018 | > 75% |
| DWS USA CORPORATION | Domestic Entity | – | DIRECT OWNER | 08/2017 | > 75% |
| DWS GROUP GMBH & CO. KGAA | Foreign Entity | DWS USA CORPORATION | SHAREHOLDER | 04/2018 | > 75% |
| DB BETEILIGUNGS HOLDING GMBH | Foreign Entity | DWS GROUP GMBH & CO. KGAA | SHAREHOLDER | 04/2018 | > 75% |
| PEARSON, CAROLINE | Individual | – | CHIEF LEGAL OFFICER | 03/2020 | < 5% |
| NOACK, ARNE, FREDERICK | Individual | – | CHIEF EXECUTIVE OFFICER & ELECTED MANAGER | 09/2023 | < 5% |
| UZCAN, Hepsen | Individual | – | ELECTED MANAGER | 07/2023 | < 5% |