SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC
Adviser information for SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 314 |
|---|---|
| Investment Advisory/Research | 105 |
| Registered Broker-Dealer Representatives | 81 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 365 | $134.2B |
| Non-Discretionary | 4 | $1.2B |
| Total | 369 | $135.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | 25 | $1.0B |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 137 | $78.2B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 44 | $11.6B |
| Pension and profit sharing plans | 45 | $9.6B |
| Charitable organizations | 12 | $1.6B |
| State or municipal gov entities | 41 | $15.2B |
| Other investment advisers | 7 | $2.0B |
| Insurance companies | 34 | $12.0B |
| Sovereign wealth funds and foreign official institutions | 11 | $1.9B |
| Corporations or other businesses | 13 | $2.4B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 4 |
| No. of Non-U.S. Clients | 39 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
7 BRYANT PARK, 19TH FLOORNEW YORK
NY
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 212-641-3800, Fax: 212-641-3804
Chief Compliance Officer
PHILIP GALLO
CHIEF COMPLIANCE OFFICER
7 BRYANT PARK, 19TH FLOOR
NEW YORK
NY
United States
Tel:
(212) 641-3800
Fax:
(212) 641-3804
P***********@************M
(Full email address available in API data)
Regulatory Contact
SHANAK PATNAIK
DEPUTY CHIEF COMPLIANCE OFFICER
7 BRYANT PARK, 19TH FLOOR
NEW YORK
NY
United States
Tel:
(212) 641-3800
Fax:
(212) 641-3804
N***********@************M
(Full email address available in API data)
Industry Affiliates
| SCHRODER FUND ADVISORS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| SCHRODER INVESTMENT MANAGEMENT (EUROPE) S.A. | Other investment adviser, including financial planners |
| SCHRODER INVESTMENT MANAGEMENT (JAPAN) LIMITED | Other investment adviser, including financial planners |
| SCHRODER INVESTMENT MANAGEMENT (SINGAPORE) LTD | Other investment adviser, including financial planners |
| SCHRODER INVESTMENT MANAGEMENT (SWITZERLAND) AG | Other investment adviser, including financial planners |
| SCHRODER INVESTMENT MANAGEMENT AUSTRALIA LTD. | Other investment adviser, including financial planners |
| SCHRODER INVESTMENT MANAGEMENT HONG KONG LTD. | Other investment adviser, including financial planners |
| SCHRODER INVESTMENT MANAGEMENT LTD. | Other investment adviser, including financial planners |
| SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| SCHRODERS CAPITAL MANAGEMENT (US) INC. | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SCHRODER ALTERNATIVE RISK PREMIA PORTFOLIO, LP | MULTI-ASSET | $22.5M | $1.0M | 3 |
| SCHRODER COMMODITY TOTAL RETURN PORTFOLIO | COMMODITY POOL | $28.0M | $1.0M | 6 |
| SCHRODER DIVERSIFIED GROWTH PORTFOLIO LP | MULTI-ASSET | $694.0M | $10.0M | 10 |
| SCHRODER EMERGING MARKETS EQUITY ALPHA FUND | EMERGING MARKETS EQUITY | $350.0M | $1.0M | 5 |
| SCHRODER EMERGING MARKETS FUND | EMERGING MARKETS | $1,171.0M | $10.0M | 13 |
| SCHRODER FLEXIBLE SECURED INCOME MASTER A, L.P. | Securitized Asset Fund | $417.0M | $5.0M | 5 |
| SCHRODER FLEXIBLE SECURED INCOME MASTER B, L.P. | Securitized Asset Fund | $417.0M | $5.0M | 5 |
| SCHRODER FOCUS II MASTER A, L.P. | Securitized Asset Fund | $1,085.0M | $5.0M | 44 |
| SCHRODER FOCUS II MASTER B, L.P. | Securitized Asset Fund | $1,085.0M | $5.0M | 44 |
| SCHRODER INTERNATIONAL ALPHA PORTFOLIO | LONG EQUITY | $108.0M | $10.0M | 2 |
| SCHRODER JAPAN EQUITY MICRO CAP FUND | JAPAN EQUITY | $135.0M | $10.0M | 4 |
| SCHRODER LOAN OPPORTUNITIES FUND I, L.P. | COMMERCIAL MORTGAGE LOANS | $1.6M | $10.0M | 9 |
| SCHRODER TAFT-HARTLEY INCOME (CAYMAN), L.P. | Securitized Asset Fund | $527.0M | $5.0M | 29 |
| SCHRODER TAFT-HARTLEY INCOME REIT, LLC | Securitized Asset Fund | $527.0M | $5.0M | 29 |
| SCHRODERS CAPITAL ERISA FLEXIBLE SECURED INCOME, L.P. | Securitized Asset Fund | $122.0M | $10.0M | 4 |
| SCHRODERS CAPITAL FOCUS III INVESTMENT A, L.P. | Securitized Asset Fund | $6.0M | $5.0M | 10 |
| SCHRODERS CAPITAL FOCUS III INVESTMENT B, L.P. | Securitized Asset Fund | $6.0M | $5.0M | 10 |
| SCHRODERS CAPITAL FOCUS III INVESTMENT C, L.P. | Securitized Asset Fund | $6.0M | $5.0M | 10 |
| SCHRODERS CAPITAL PILLARS FUND, L.P. | Securitized Asset Fund | $335.0M | $20.0M | 3 |
| SCHRODERS CAPITAL SECURITIZED HI-GRADE FLEXIBLE TOTAL RETURN, L.P. | Securitized Asset Fund | $1,288.0M | $10.0M | 4 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHRODER US HOLDINGS INC. | Domestic Entity | – | SHAREHOLDER | 06/1999 | > 75% |
| SCHRODER INTERNATIONAL HOLDINGS LIMITED | Foreign Entity | SCHRODER US HOLDINGS INC. | SHAREHOLDER | 12/1980 | > 75% |
| SCHRODER ADMINISTRATION LIMITED | Foreign Entity | SCHRODER INTERNATIONAL HOLDINGS LTD. | SHAREHOLDER | 06/2004 | > 75% |
| SCHRODERS PLC | Foreign Entity | SCHRODER ADMINISTRATION LIMITED | SHAREHOLDER | 06/2004 | > 75% |
| MIDDLETON, PHILIP | Individual | – | CHIEF EXECUTIVE OFFICER, CHAIR AND DIRECTOR | 05/2021 | < 5% |
| POTESTA, TIFFANI, ANNE | Individual | – | DIRECTOR | 02/2022 | < 5% |
| GALLO, PHILIP | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2022 | < 5% |
| PATNAIK, SHANAK | Individual | – | DEPUTY CC OFFICER | 03/2022 | < 5% |
| HORNBY, LISA, MARIE | Individual | – | DIRECTOR | 02/2022 | < 5% |
| CHELF, RYAN | Individual | – | GENERAL COUNSEL, AMERICAS | 01/2024 | < 5% |
| PRIESTMAN, JAMES | Individual | – | DIRECTOR | 03/2024 | < 5% |