NEWTON INVESTMENT MANAGEMENT NORTH AMERICA
NEWTON INVESTMENT MANAGEMENT NORTH AMERICA LLC Legal Name
Adviser information for NEWTON INVESTMENT MANAGEMENT NORTH AMERICA 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 | 172 |
|---|---|
| Investment Advisory/Research | 83 |
| Registered Broker-Dealer Representatives | 23 |
| Registered State Investment Advisers | 22 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 9 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 177 | $47.5B |
| Non-Discretionary | 3 | $334.9M |
| Total | 180 | $47.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | <5 | $0 |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 41 | $24.2B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 68 | $16.4B |
| Pension and profit sharing plans | 26 | $2.8B |
| Charitable organizations | 7 | $414.8M |
| State or municipal gov entities | 26 | $2.0B |
| Other investment advisers | 6 | $433.9M |
| Insurance companies | <5 | $204.8M |
| Sovereign wealth funds and foreign official institutions | <5 | $1.4B |
| Corporations or other businesses | <5 | $46.9M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 25 |
| No. of Non-U.S. Clients | 18 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-120501 |
|---|---|
| SEC ERA File Number | 801-120501 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 312937 |
| Legal Entity Identifier | 549300USELNALQ9OYY51 |
Principal Office
ONE BOSTON PLACE201 WASHINGTON STREET
BOSTON
MA
United States
Monday - Friday, 8:00 AM - 5:00 PM
Tel: (617) 248-3000, Fax: None
Chief Compliance Officer
JAIME R. UTANO
ONE BOSTON PLACE
201 WASHINGTON STREET
BOSTON
MA
United States
Tel:
(617) 722-3894
J**********@***********M
(Full email address available in API data)
Regulatory Contact
JENNIFER MORALES
SVP, SENIOR COMPLIANCE OFFICER
ONE BOSTON PLACE
201 WASHINGTON STREET
BOSTON
MA
United States
Tel:
(617) 248-4509
J***************@***********M
(Full email address available in API data)
Industry Affiliates
| ARX INVESTIMENTOS LTDA | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| BNY MELLON ADVISORS, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| BNY MELLON ALOCACAO DE PATRIMONIO LTDA | Other investment adviser, including financial planners |
| BNY MELLON ASSET MANAGEMENT CANADA LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BNY MELLON BANCO S.A. | Banking or thrift institutionTrust company |
| BNY MELLON CAPITAL MARKETS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerRegistered municipal advisor |
| BNY MELLON ETF INVESTMENT ADVISER, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| BNY MELLON FUND MANAGEMENT (LUXEMBOURG) S.A. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BNY MELLON IM KOREA LIMITED | Other investment adviser, including financial planners |
| BNY MELLON IM TAIWAN SECURITIES INVESTMENT CONSULTING CO., LTD | Other investment adviser, including financial planners |
| BNY MELLON INTERNATIONAL MANAGEMENT LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BNY MELLON INVESTMENT ADVISER, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| BNY MELLON INVESTMENT MANAGEMENT JAPAN LIMITED | Other investment adviser, including financial planners |
| BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED | Other investment adviser, including financial planners |
| BNY MELLON INVESTMENT SERVICING TRUST COMPANY | Trust company |
| BNY MELLON NATIONAL ASSOCIATION | Other investment adviser, including financial plannersBanking or thrift institutionTrust company |
| BNY MELLON SECURITIES CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| BNY MELLON SERVICOS FINANCEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| BNY MELLON TRUST COMPANY OF ILLINOIS | Banking or thrift institutionTrust company |
| BNY MELLON TRUST OF DELAWARE | Other investment adviser, including financial plannersBanking or thrift institutionTrust company |
| CIBC MELLON GLOBAL SECURITIES SERVICES COMPANY | Banking or thrift institutionTrust company |
| CIBC MELLON TRUST COMPANY | Banking or thrift institutionTrust company |
| IM EMEA | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| INSIGHT INVESTMENT | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| INSIGHT INVESTMENT | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| INSIGHT INVESTMENT AUSTRALIA PTY LIMITED | Other investment adviser, including financial planners |
| INSIGHT INVESTMENT FUNDS MANAGEMENT LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| INSIGHT INVESTMENT MANAGEMENT (GLOBAL) LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| INSIGHT INVESTMENT MANAGEMENT EUROPE LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| MELLON HEDGE ADVISORS | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| MELLON INVESTMENTS CORPORATION | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| MFM | Sponsor, GP, manager of pooled investment vehicles |
| NEWTON INVESTMENT MANAGEMENT JAPAN LTD. | Other investment adviser, including financial planners |
| NEWTON INVESTMENT MANAGEMENT LTD | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| PERSHING (CHANNEL ISLANDS) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING ADVISOR SOLUTIONS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING SECURITIES CANADA LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING SECURITIES INTERNATIONAL LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING SECURITIES LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING SECURITIES SINGAPORE PRIVATE LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| THE BANK OF NEW YORK MELLON | Other investment adviser, including financial plannersBanking or thrift institutionTrust company |
| THE BANK OF NEW YORK MELLON (INTERNATIONAL) LIMITED | Banking or thrift institutionTrust company |
| THE BANK OF NEW YORK MELLON SA/NV | Banking or thrift institution |
| THE BANK OF NEW YORK MELLON SECURITIES COMPANY JAPAN LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. | Banking or thrift institutionTrust company |
| THE BANK OF NEW YORK MELLON, S.A., INSTITUCION DE BANCA MULTIPLE | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersTrust company |
| WALTER SCOTT & PARTNERS LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ZIA RISK PARITY FUND, L.P. | Hedge Fund | $1,559.9M | $10.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| GERMANO, MICHAEL, ANTHONY | Individual | – | CHIEF EXECUTIVE OFFICER & MANAGER | 01/2021 | < 5% |
| THE BANK OF NEW YORK MELLON CORPORATION | Domestic Entity | BNY MELLON IHC, LLC | SHAREHOLDER | 04/2017 | > 75% |
| BNY MELLON IHC, LLC | Domestic Entity | MBC INVESTMENTS CORPORATION | SHAREHOLDER | 04/2017 | > 75% |
| WERTZ, PARKER, Webb | Individual | – | CHIEF FINANCIAL OFFICER | 01/2021 | < 5% |
| SMITS, HANNEKE, (NMI) | Individual | – | MANAGER | 01/2021 | < 5% |
| UTANO, JAIME | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2021 | < 5% |
| MBC INVESTMENTS CORPORATION | Domestic Entity | – | MEMBER | 08/2021 | > 75% |
| MUNRO, EUAN, GEORGE | Individual | – | MANAGER | 08/2021 | < 5% |
| FRENCH, SHARON | Individual | – | MANAGER | 12/2021 | < 5% |
| MARLINSKI, JUDY | Individual | – | MANAGER | 07/2022 | < 5% |
| MILLER, JOHN, RANDOLPH | Individual | – | MANAGER | 02/2023 | < 5% |