WELLINGTON FUNDS (US) LLC
Adviser information for WELLINGTON FUNDS (US) LLC last updated from Form ADV on March 29th, 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 | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 23 | $5.0B |
| Non-Discretionary | 0 | $0 |
| Total | 23 | $5.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 23 | $5.0B |
| 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 | 52 |
Services
| Advisory Services | GENERAL PARTNER OR MANAGER OF PRIVATELY OFFERED POOLED INVESTMENT VEHICLES |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-111643 |
|---|---|
| SEC ERA File Number | 801-111643 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 288313 |
| Legal Entity Identifier | 5493007617BARMGYJ883 |
Principal Office
280 CONGRESS STREETBOSTON
MA
United States
Monday - Friday, 8:30-5:30
Tel: 617-951-5786, Fax: None
Chief Compliance Officer
JAMES S. PETERSON
280 CONGRESS STREET
BOSTON
MA
United States
Tel:
617-289-3142
J********@*************M
(Full email address available in API data)
Regulatory Contact
MATTHEW N. SHEA
MANAGING DIRECTOR
280 CONGRESS STREET
BOSTON
MA
United States
Tel:
617-790-7453
M*****@*************M
(Full email address available in API data)
Industry Affiliates
| CLIMATE INNOVATION I CO-INVEST GP LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| WAI GP LSG LUXEMBOURG | Sponsor, GP, manager of pooled investment vehicles |
| WELLINGTON ALTERNATIVE INVESTMENTS | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| WELLINGTON BIOMEDICAL INNOVATION II GP L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| WELLINGTON CLIMATE INNOVATION I GP L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| WELLINGTON CLO GP LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| WELLINGTON FUNDS DISTRIBUTORS INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| WELLINGTON GLOBAL PRIVATE FUND MANAGEMENT (SHANGHAI) LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| WELLINGTON HADLEY HARBOR IV GP L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| WELLINGTON LUXEMBOURG, S.A R.L. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| WELLINGTON MANAGEMENT AUSTRALIA PTY LTD | Other investment adviser, including financial planners |
| WELLINGTON MANAGEMENT CANADA ULC | Other investment adviser, including financial planners |
| WELLINGTON MANAGEMENT CLO ADVISORS LLC | Other investment adviser, including financial planners |
| WELLINGTON MANAGEMENT COMPANY LLP | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| WELLINGTON MANAGEMENT EUROPE GMBH | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| WELLINGTON MANAGEMENT FUNDS LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| WELLINGTON MANAGEMENT HONG KONG LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| WELLINGTON MANAGEMENT INTERNATIONAL LTD | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| WELLINGTON MANAGEMENT JAPAN PTE LTD | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| WELLINGTON MANAGEMENT SINGAPORE PTE LTD | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| WELLINGTON MANAGEMENT SWITZERLAND GMBH | Other investment adviser, including financial planners |
| WELLINGTON PRIVATE FUND MANAGEMENT (SHANGHAI) LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| WELLINGTON TRUST COMPANY, NA | Trust company |
| WELLINGTON VENTURE INVESTMENTS I GP L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| EMERGING MARKETS SMALL CAP DISCOVERY FUND (CAYMAN), LTD. | POOLED INVESTMENT VEHICLE | $0.0M | $0.5M | 0 |
| EMERGING MARKETS SMALL CAP DISCOVERY FUND, L.P. | POOLED INVESTMENT VEHICLE | $0.0M | $0.5M | 0 |
| EMERGING MARKETS SMALL CAP DISCOVERY MASTER FUND (CAYMAN) L.P. | POOLED INVESTMENT VEHICLE | $0.0M | $0.5M | 0 |
| NEXT GENERATION VEHICLES FUND (CAYMAN), LTD. | POOLED INVESTMENT VEHICLE | $237.8M | $0.5M | 532 |
| NEXT GENERATION VEHICLES FUND, L.P. | POOLED INVESTMENT VEHICLE | $271.5M | $0.5M | 439 |
| NEXT GENERATION VEHICLES MASTER FUND (CAYMAN) L.P. | POOLED INVESTMENT VEHICLE | $510.0M | $0.5M | 970 |
| PAN EUROPEAN SMALL CAP EQUITY | POOLED INVESTMENT VEHICLE | $0.0M | $0.5M | 0 |
| WELLINGTON BLENDED OPPORTUNISTIC EMD, L.P. | Hedge Fund | $2,642.3M | $0.0M | 2 |
| WELLINGTON CLIMATE RESILIENCE FUND (CAYMAN), LTD. | POOLED INVESTMENT VEHICLE | $0.0M | $0.5M | 0 |
| WELLINGTON CLIMATE RESILIENCE FUND, L.P. | POOLED INVESTMENT VEHICLE | $0.0M | $0.5M | 0 |
| WELLINGTON CLIMATE RESILIENCE MASTER FUND (CAYMAN) L.P | POOLED INVESTMENT VEHICLE | $0.0M | $0.5M | 0 |
| WELLINGTON COMPOUND GROWTH (CAYMAN), LTD. | POOLED INVESTMENT VEHICLE | $10.4M | $0.5M | 1 |
| WELLINGTON COMPOUND GROWTH, L.P. | POOLED INVESTMENT VEHICLE | $362.4M | $0.5M | 25 |
| WELLINGTON DURABLE ENTERPRISES, L.P. | POOLED INVESTMENT VEHICLE | $60.9M | $0.5M | 9 |
| WELLINGTON DYNAMIC ACTIVE EQUITY FUND (CAYMAN), LTD. | Hedge Fund | $0.0M | $0.5M | 0 |
| WELLINGTON DYNAMIC ACTIVE EQUITY FUND, L.P. | Hedge Fund | $0.0M | $0.5M | 0 |
| WELLINGTON DYNAMIC ACTIVE EQUITY MASTER FUND (CAYMAN) L.P. | Hedge Fund | $0.0M | $0.5M | 0 |
| WELLINGTON EXTENDED HORIZONS, L.P. | POOLED INVESTMENT VEHICLE | $66.6M | $0.5M | 54 |
| WELLINGTON FOCUSED ASIA EQUITY, L.P. | POOLED INVESTMENT VEHICLE | $42.7M | $1.0M | 5 |
| WELLINGTON INDIA OPPORTUNITIES FUND, LTD. | Hedge Fund | $50.5M | $1.0M | 5 |
| WELLINGTON NATURAL GAS OPPORTUNITIES II FUND (CAYMAN), LTD. | Hedge Fund | $8.3M | $1.0M | 13 |
| WELLINGTON NATURAL GAS OPPORTUNITIES II FUND, L.P. | Hedge Fund | $28.6M | $1.0M | 39 |
| WELLINGTON NATURAL GAS OPPORTUNITIES II MASTER FUND (CAYMAN) L.P. | Hedge Fund | $37.4M | $1.0M | 0 |
| WELLINGTON SECURITIZED OPPORTUNITIES, LTD. | POOLED INVESTMENT VEHICLE/ OTHER INVESTMENT FUNDS | $804.5M | $1.0M | 13 |
| WELLINGTON SELECT CHINA, L.P. | POOLED INVESTMENT VEHICLE | $263.3M | $0.5M | 44 |
| WELLINGTON SELECT QUALITY EQUITY, L.P. | POOLED INVESTMENT VEHICLE | $165.9M | $0.5M | 9 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WELLINGTON MANAGEMENT FUNDS HOLDINGS LLP | Domestic Entity | – | MEMBER | 12/2016 | > 75% |
| WELLINGTON MANAGEMENT GROUP LLP | Domestic Entity | WELLINGTON GROUP HOLDINGS LLP | MANAGING PARTNER | 05/2014 | > 75% |
| WELLINGTON GROUP HOLDINGS LLP | Domestic Entity | WELLINGTON MANAGEMENT FUNDS HOLDINGS LLP | MANAGING PARTNER | 05/2014 | > 75% |
| KIRK, CHRISTOPHER, GEORGE | Individual | – | PRESIDENT | 08/2020 | < 5% |
| PETERSON, JAMES, SCOTT | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2021 | < 5% |