RUSSELL INVESTMENTS
RUSSELL INVESTMENT MANAGEMENT, LLC Legal Name
Adviser information for RUSSELL INVESTMENTS 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 | Washington, United States |
Employees
| Total Number of Employees | 653 |
|---|---|
| Investment Advisory/Research | 115 |
| Registered Broker-Dealer Representatives | 226 |
| Registered State Investment Advisers | 84 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 5 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 70,941 | $52.4B |
| Non-Discretionary | 3 | $121.8M |
| Total | 70,944 | $52.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 70,125 | $9.0B |
| HNW Individuals | 262 | $373.9M |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 38 | $40.9B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $1.7B |
| Pension and profit sharing plans | 344 | $167.1M |
| Charitable organizations | 111 | $30.1M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 4 | $273.1M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 43 | $9.4M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. 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 clientsPension consulting servicesSelection of other advisers (including private fund managers) |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees% OF REVENUE/INTRACOMPANY AGRMTS AND % OF ASSETS/ADVSMT |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 9.4B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| AMERIPRISE ACTIVE PORTFOLIOS | AMERIPRISE FINANCIAL SERVICES, LLC |
Principal Office
1301 SECOND AVENUE18TH FLOOR
SEATTLE
WA
United States
Monday - Friday, 8:00 A.M. - 4:00 P.M. PST
Tel: 206-505-7877, Fax: 206-505-3495
Chief Compliance Officer
AMY CURRAN
US ADVISER CHIEF COMPLIANCE OFFICER
575 FIFTH AVENUE
SUITE 20B
NEW YORK
NY
United States
Tel:
212-702-7855
R************@*********************M
(Full email address available in API data)
Regulatory Contact
ANNA MCDONALD
COMPLIANCE MANAGER
1301 SECOND AVENUE
18TH FLOOR
SEATTLE
WA
United States
Tel:
206-505-2866
R************@*********************M
(Full email address available in API data)
Industry Affiliates
| FRF PARTNERS II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| FRF PARTNERS IV, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| IN PARTNERSHIP | Other investment adviser, including financial planners |
| IN PARTNERSHIP | Other investment adviser, including financial planners |
| IN PARTNERSHIP | Other investment adviser, including financial planners |
| RUSSELL INVESTMENT GROUP LTD | Other investment adviser, including financial planners |
| RUSSELL INVESTMENT GROUP PTY LTD | Other investment adviser, including financial planners |
| RUSSELL INVESTMENT MANAGEMENT (SHANGHAI) COMPANY, LTD. | Other investment adviser, including financial planners |
| RUSSELL INVESTMENT MANAGEMENT LTD. | Other investment adviser, including financial planners |
| RUSSELL INVESTMENTS | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| RUSSELL INVESTMENTS | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| RUSSELL INVESTMENTS | Commodity pool operator or commodity trading advisorBanking or thrift institutionTrust company |
| RUSSELL INVESTMENTS CANADA LIMITED | Other investment adviser, including financial planners |
| RUSSELL INVESTMENTS DELAWARE, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RUSSELL INVESTMENTS EMPLOYEE BENEFITS PTY. LTD. | Other investment adviser, including financial planners |
| RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RUSSELL INVESTMENTS FINANCIAL SOLUTIONS PTY LTD. | Other investment adviser, including financial planners |
| RUSSELL INVESTMENTS FRANCE SAS | Other investment adviser, including financial planners |
| RUSSELL INVESTMENTS FUNDS MANAGEMENT, LLC | Sponsor, GP, manager of pooled investment vehicles |
| RUSSELL INVESTMENTS GPCF GP S.A.R.L. | Sponsor, GP, manager of pooled investment vehicles |
| RUSSELL INVESTMENTS GUI GP S.A.R.L. | Sponsor, GP, manager of pooled investment vehicles |
| RUSSELL INVESTMENTS IMPLEMENTATION SERVICES LIMITED | Other investment adviser, including financial planners |
| RUSSELL INVESTMENTS IRELAND LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| RUSSELL INVESTMENTS JAPAN CO., LTD. | Other investment adviser, including financial planners |
| RUSSELL INVESTMENTS KOREA LIMITED | Other investment adviser, including financial planners |
| RUSSELL INVESTMENTS LIMITED | Other investment adviser, including financial planners |
| RUSSELL INVESTMENTS PMF 2019 GP, LLC | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| RUSSELL INVESTMENTS PMF 23 GP S.A.R.L. | Sponsor, GP, manager of pooled investment vehicles |
| RUSSELL INVESTMENTS WPP GLOBAL PRIVATE CREDIT GP LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| RUSSELL INVESTMENTS WPP GLOBAL PRIVATE CREDIT GP1 LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| TOTAL RISK MANAGEMENT PTY. LIMITED | Trust company |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| US CASH COLLATERAL FUND | Liquidity Fund | $244.4M | $0.0M | 46 |
| US CASH MANAGEMENT FUND | Liquidity Fund | $1,469.3M | $0.0M | 29 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| RUSSELL INVESTMENTS US RETAIL HOLDCO, INC. | Domestic Entity | – | OWNER | 06/2016 | > 75% |
| EMERALD ACQUISITION LIMITED | Foreign Entity | RUSSELL INVESTMENTS US RETAIL HOLDCO, INC. | OWNER | 06/2016 | > 75% |
| RUSSELL INVESTMENTS GROUP, LTD. | Foreign Entity | RUSSELL INVESTMENTS CAYMAN MIDCO, LTD | OWNER | 09/2016 | > 75% |
| TA XII-A EU AIV, L.P. | Foreign Entity | RUSSELL INVESTMENTS GROUP, LTD. | SHAREHOLDER | 09/2016 | 25-50% |
| RUSSELL INVESTMENTS CAYMAN MIDCO, LTD | Foreign Entity | EMERALD ACQUISITION LIMITED | OWNER | 06/2016 | > 75% |
| BELGRAD, STEPHEN, HAROLD | Individual | – | CHIEF FINANCIAL OFFICER | 07/2019 | < 5% |
| EL-HILLOW, KATHERINE, ANNE | Individual | – | CHAIRMAN, PRESIDENT AND CHIEF INVESTMENT OFFICER | 05/2021 | < 5% |
| BARBACK, VERNON, RICHARD | Individual | – | DIRECTOR | 10/2022 | < 5% |
| SURLOFF, HOWARD, BRIAN | Individual | – | CHIEF LEGAL OFFICER | 02/2023 | < 5% |
| Mortensen, Peter | Individual | – | CHIEF RISK OFFICER | 06/2023 | < 5% |
| CURRAN, AMY, E | Individual | – | US ADVISER CHIEF COMPLIANCE OFFICER | 03/2024 | < 5% |