PICTET ASSET MANAGEMENT (USA) CORP
Adviser information for PICTET ASSET MANAGEMENT (USA) CORP last updated from Form ADV on March 22nd, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 14 |
|---|---|
| Investment Advisory/Research | 2 |
| Registered Broker-Dealer Representatives | 11 |
| 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 | 3 | $253.0M |
| Non-Discretionary | 0 | $0 |
| Total | 3 | $253.0M |
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 | 3 | $253.0M |
| 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 | 100 |
Services
| Advisory Services | Portfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-120136 |
|---|---|
| SEC ERA File Number | 801-120136 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 306378 |
| Legal Entity Identifier | 222100M14IEB9HSO3A29 |
Principal Office
OFFICE 712, 5TH AVENUE MANHATTAN25TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 1 212 237 3190, Fax: None
Chief Compliance Officer
DAVID CAWTHROW
CHIEF COMPLIANCE OFFICER
MOOR HOUSE - LEVEL 11
120 LONDON WALL
LONDON
United Kingdom
Tel:
+44 207 847 50 40
Fax:
+44 207 847 50 46
D********@*********M
(Full email address available in API data)
Regulatory Contact
MARC TONNERRE
SENIOR COMPLIANCE MANAGER
MOOR HOUSE - LEVEL 11
120 LONDON WALL
LONDON
United Kingdom
Tel:
+44 207 847 50 41
Fax:
+ 44 207 847 5046
M********@*********M
(Full email address available in API data)
Industry Affiliates
| BANK PICTET & CIE (EUROPE) AG | Other investment adviser, including financial plannersBanking or thrift institution |
| BANQUE PICTET & CIE SA | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersFutures commission merchantBanking or thrift institutionSponsor, GP, manager of pooled investment vehicles |
| PAA SA | Other investment adviser, including financial planners |
| PAA UK | Other investment adviser, including financial planners |
| PICTET ASSET MANAGEMENT (EUROPE) SA | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| PICTET ASSET MANAGEMENT (SINGAPORE) PTE LTD | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| PICTET ASSET MANAGEMENT INC. | Other investment adviser, including financial planners |
| PICTET ASSET MANAGEMENT LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| PICTET ASSET MANAGEMENT SA | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| DILLON, ELIZABETH, RETTA | Individual | – | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR | 10/2019 | < 5% |
| QUINN, NIALL, MICHAEL | Individual | – | DIRECTOR | 10/2019 | < 5% |
| GULATI, NOBEL, (NMN) | Individual | – | DIRECTOR | 10/2019 | < 5% |
| CAWTHROW, DAVID, ROBERT | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2020 | < 5% |
| TSCHOPP, NICOLAS, CHRISTIAN | Individual | – | CHIEF LEGAL OFFICER | 02/2020 | < 5% |
| DI PATRIZI, LUCA | Individual | – | VICE PRESIDENT AND TREASURER | 01/2020 | < 5% |
| PICTET & PARTNERS | Foreign Entity | PICTET & CIE GROUP SCA | SHAREHOLDER | 10/2019 | > 75% |
| PICTET ASSET MANAGEMENT LIMITED | Foreign Entity | – | SHAREHOLDER | 10/2019 | > 75% |
| PICTET ASSET MANAGEMENT HOLDING SA | Foreign Entity | PICTET ASSET MANAGEMENT LIMITED | SHAREHOLDER | 10/2019 | > 75% |
| PICTET & CIE GROUP SCA | Foreign Entity | PICTET ASSET MANAGEMENT HOLDING SA | SHAREHOLDER | 10/2019 | > 75% |