Hedge Fund Database

THORNBURG INVESTMENT MANAGEMENT INC

Adviser information for THORNBURG INVESTMENT MANAGEMENT INC last updated from Form ADV on March 28th, 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 202
Investment Advisory/Research 42
Registered Broker-Dealer Representatives 88
Registered State Investment Advisers 29
Licensed Agents of an Insurance Company 0
No. of Firms/People that Solicit Clients 2

RAUM

Provides Management of Securities Portfolios Yes
Type Accounts RAUM
Discretionary 750 $41.8B
Non-Discretionary 0 $0
Total 750 $41.8B

Clients

Type Number RAUM
Individuals 391 $192.4M
HNW Individuals 233 $1.8B
Banking or thrift institutions 0 $0
Investment companies 26 $39.1B
Business development companies 0 $0
Pooled investment vehicles 13 $332.9M
Pension and profit sharing plans <5 $974,736
Charitable organizations 6 $10.3M
State or municipal gov entities <5 $18.3M
Other investment advisers 10 $55.8M
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 37 $310.4M
Other 10 $50.8M
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 2

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

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 312.0M
Both for Same 0
Portfolio Manager to Program Sponsor
CONSULTING SERVICES RAYMOND JAMES & ASSOCIATES, INC.
CONSULTING SOLUTIONS RBC CAPITAL MARKETS, LLC
VESTMARK MANAGER MARKETPLACE VESTMARK ADVISORY SOLUTIONS, INC.
INVESTMENT MANAGEMENT CONSULTANT (IMC) STIFEL, NICOLAUS & COMPANY, INCORPORATED
MANAGER ACCESS SELECT & MANAGER SELECT LPL FINANCIAL LLC
ADVISERS JANNEY MONTGOMERY SCOTT LLC
CAAMS SELECT CAPITAL ANALYSTS
LOCKWOOD SPONSORED PROGRAM & MANAGED360 PROGRAM BNY MELLON ADVISORS, INC.
MANAGER SELECTION PROGRAM CITIGROUP GLOBAL MARKETS INC.
ACCESS & SELECT CHARLES SCHWAB & CO., INC.
ACCESS & SWP UBS FINANCIAL SERVICES INC.
ENVESTNET SEPARATE ACCOUNT PROGRAM ENVESTNET PMC

Identifiers

SEC RIA File Number 801-17853
SEC ERA File Number 801-17853
SEC CIK Numbers 1145020
SEC CRD Numbers 106357
Legal Entity Identifier 8HJ584LSUOXRY4R82794

Principal Office

2300 NORTH RIDGETOP ROAD
SANTA FE
NM
United States
Monday - Friday, 8:00AM - 5:00PM
Tel: 505-467-7283, Fax: 505-467-7116

Websites

instagram.com/thornburgfunds www.thornburg.com www.facebook.com/thornburgfunds/ twitter.com/thornburgfunds www.linkedin.com/company/thornburg-investment-management/ youtube.com/@thornburgfunds

Chief Compliance Officer

STEPHEN VELIE
CHIEF COMPLIANCE OFFICER
2300 NORTH RIDGETOP ROAD
SANTA FE
NM
United States
Tel: 505-467-7283
Fax: 505-467-7116
(Full email address available in API data)

Regulatory Contact

MOLLY FISHER
COMPLIANCE OFFICER
2300 NORTH RIDGETOP ROAD
SANTA FE
NM
United States
Tel: 505-467-7246
Fax: 505-467-7116
(Full email address available in API data)

Industry Affiliates

THORNBURG INVESTMENT MANAGEMENT (ASIA) LTD Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
THORNBURG INVESTMENT MANAGEMENT (SHANGHAI) LTD Other investment adviser, including financial planners
THORNBURG SECURITIES LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
THORNBURG INTERNATIONAL EQUITY FUND (Q.P.) LLC COLLECTIVE INVESTMENT VEHICLE $29.0M $2.0M 4
TREV 2021 EIV LLC Real Estate Fund $3.4M $0.0M 15

Control Persons

Name Type Entity Title Since Ownership
THORNBURG, GARRETT Individual – CHAIRMAN, DIRECTOR 08/1997 < 5%
MCMAHON, BRIAN, JOHN Individual – VICE CHAIRMAN, DIRECTOR 01/2016 < 5%
VELIE, STEPHEN, JOHN Individual – CHIEF COMPLIANCE OFFICER 07/2009 < 5%
BHATT, NIMISH, SANJAY Individual – CHIEF FINANCIAL OFFICER AND TREASURER 08/2016 < 5%
NAYLOR, BLAIR, CUDD Individual – DIRECTOR 04/2021 < 5%
DRY, RANDALL, LEON Individual – CHIEF OPERATING OFFICER 01/2020 < 5%
CALLOW, AMY Individual – GENERAL COUNSEL AND SECRETARY 01/2022 < 5%
KELLER, ROBIN, RIVERS Individual – DIRECTOR 08/2022 < 5%
ZINKULA, MARK, JOSEPH Individual – PRESIDENT, CHIEF EXECUTIVE OFFICER, DIRECTOR 09/2023 < 5%
Boyd, Brian Individual – DIRECTOR 12/2023 < 5%
GARRET THORNBURG REVOCABLE TRUST Domestic Entity – SHAREHOLDER 09/1990 > 75%
THORNBURG, GARRETT Individual GARRET THORNBURG REVOCABLE TRUST CHAIRMAN, DIRECTOR 08/1997 > 75%

No. Employees, Historic

30015002019202020212022202320242025195 on 6/21/2019195 on 11/21/2019195 on 1/6/2020195 on 1/16/2020195 on 1/17/2020199 on 3/27/2020199 on 3/30/2020199 on 5/20/2020199 on 11/13/2020199 on 2/5/2021194 on 3/30/2021194 on 5/21/2021194 on 2/17/2022194 on 3/28/2022203 on 3/31/2022203 on 11/11/2022203 on 11/11/2022203 on 12/20/2022203 on 2/1/2023203 on 2/1/2023204 on 3/31/2023204 on 4/28/2023204 on 5/2/2023204 on 5/17/2023204 on 10/3/2023204 on 10/4/2023204 on 1/18/2024204 on 2/27/2024204 on 3/12/2024202 on 3/28/2024

RAUM, Historic

50B25B0201920202021202220232024202540523499464 on 6/21/201940523499464 on 11/21/201940523499464 on 1/6/202040523499464 on 1/16/202040523499464 on 1/17/202042661582315 on 3/27/202042661582315 on 3/30/202042661582315 on 5/20/202042661582315 on 11/13/202042661582315 on 2/5/202143583549685 on 3/30/202143583549685 on 5/21/202143583549685 on 2/17/202243583549685 on 3/28/202247059818550 on 3/31/202247059818550 on 11/11/202247059818550 on 11/11/202247059818550 on 12/20/202247059818550 on 2/1/202347059818550 on 2/1/202338735282461 on 3/31/202338735282461 on 4/28/202338735282461 on 5/2/202338735282461 on 5/17/202338735282461 on 10/3/202338735282461 on 10/4/202338735282461 on 1/18/202438735282461 on 2/27/202438735282461 on 3/12/202441832394631 on 3/28/2024

No. Clients, Historic

2,0001,000020192020202120222023202420251165 on 6/21/20191165 on 11/21/20191165 on 1/6/20201165 on 1/16/20201165 on 1/17/2020766 on 3/27/2020766 on 3/30/2020766 on 5/20/2020766 on 11/13/2020766 on 2/5/2021702 on 3/30/2021702 on 5/21/2021702 on 2/17/2022702 on 3/28/2022719 on 3/31/2022719 on 11/11/2022719 on 11/11/2022719 on 12/20/2022719 on 2/1/2023719 on 2/1/2023658 on 3/31/2023658 on 4/28/2023658 on 5/2/2023658 on 5/17/2023658 on 10/3/2023658 on 10/4/2023658 on 1/18/2024658 on 2/27/2024658 on 3/12/2024729 on 3/28/2024

Holdings

From latest 13F, filed August 7th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
AT&T INC COM 478M 25M –
ATS CORPORATION COM 5M 181K –
ABBVIE INC COM 139M 808K –
ACADIA HEALTHCARE COMPANY IN COM 8M 116K –
ACUSHNET HLDGS CORP COM 8M 123K –
ADVANCED MICRO DEVICES INC COM 33M 203K –
AGILYSYS INC COM 22M 213K –
AIRBNB INC COM CL A 1M 9K –
AIR LEASE CORP CL A 8M 166K –
ALIBABA GROUP HLDG LTD SPONSORED ADS 34M 475K –
ALPHABET INC CAP STK CL A 100M 547K –
ALTRIA GROUP INC COM 9M 188K –
AMAZON COM INC COM 2M 10K –
MIDCAP FINANCIAL INVSTMNT CO COM NEW 44M 3M –
APPLE INC COM 1M 5K –
APPLIED INDL TECHNOLOGIES IN COM 20M 101K –
ARCOSA INC COM 14M 166K –
ASSURANT INC COM 11M 64K –
ASTRAZENECA PLC SPONSORED ADR 38M 491K –
AVANTOR INC COM 16M 772K –
BJS WHSL CLUB HLDGS INC COM 13M 151K –
BELLRING BRANDS INC COMMON STOCK 9M 154K –
BENTLEY SYS INC COM CL B 7M 147K –
BHP GROUP LTD SPONSORED ADS 279K 5K –
BIOMARIN PHARMACEUTICAL INC COM 13M 161K –
BLUE OWL CAPITAL INC COM CL A 16M 892K –
BOOKING HOLDINGS INC COM 67M 17K –
BRIDGE INVT GROUP HLDGS INC COM CL A 211K 29K –
BRISTOL-MYERS SQUIBB CO COM 3M 69K –
BROADCOM INC COM 579M 361K –
BUILDERS FIRSTSOURCE INC COM 30M 214K –
CCC INTELLIGENT SOLUTIONS HL COM 18M 2M –
CME GROUP INC COM 247M 1M –
CACI INTL INC CL A 39M 92K –
CANADIAN PACIFIC KANSAS CITY COM 107M 1M –
CAPITAL ONE FINL CORP COM 30M 218K –
CASELLA WASTE SYS INC CL A 31M 309K –
CELSIUS HLDGS INC COM NEW 6M 100K –
CENTRAIS ELETRICAS BRASILEIR SPON ADR PFD B 802K 109K –
CHURCHILL DOWNS INC COM 7M 51K –
CISCO SYS INC COM 100M 2M –
CITIGROUP INC COM NEW 445M 7M –
CLEAN HARBORS INC COM 17M 76K –
CLEARWATER ANALYTICS HLDGS I CL A 6M 331K –
COHERENT CORP COM 15M 205K –
COMCAST HOLDINGS CORP ZONES CV2% PCS 9M – –
COSTCO WHSL CORP NEW COM 11M 13K –
CYTOKINETICS INC COM NEW 14M 253K –
DECKERS OUTDOOR CORP COM 11M 11K –
DIAGEO PLC SPON ADR NEW 3M 26K –
DIAMONDBACK ENERGY INC COM 509K 3K –
DIGITALBRIDGE GROUP INC CL A NEW 12M 909K –
ASPEN TECHNOLOGY INC COM 9M 45K –
ENBRIDGE INC COM 127M 4M –
ENTEGRIS INC COM 11M 83K –
EQUITABLE HLDGS INC COM 215M 5M –
META PLATFORMS INC CL A 122M 242K –
FREEPORT-MCMORAN INC CL B 67M 1M –
FRESHPET INC COM 9M 68K –
GLAUKOS CORP COM 4M 30K –
GROUP 1 AUTOMOTIVE INC COM 10M 33K –
HDFC BANK LTD SPONSORED ADS 50M 773K –
HOME DEPOT INC COM 176M 510K –
H WORLD GROUP LTD SPONSORED ADS 634K 20K –
HYATT HOTELS CORP COM CL A 3M 18K –
ITT INC COM 12M 93K –
ICICI BANK LIMITED ADR 7M 235K –
INFOSYS LTD SPONSORED ADR 1M 57K –
ING GROEP N.V. SPONSORED ADR 8M 466K –
INSPIRE MED SYS INC COM 3M 26K –
INVESCO DB MULTI-SECTOR COMM BASE METALS FD 693K 34K –
ISHARES TR MSCI EMG MKT ETF 577K 14K –
ISHARES TR MSCI EAFE ETF 8M 107K –
ISHARES TR MSCI ACWI EX US 11M 198K –
ITAU UNIBANCO HLDG S A SPON ADR REP PFD 1M 183K –
JPMORGAN CHASE & CO COM 203M 1M –
JACOBS SOLUTIONS INC COM 866K 6K –
KB FINL GROUP INC SPONSORED ADR 848K 14K –
KANZHUN LIMITED SPONSORED ADS 9M 462K –
KEMPER CORP COM 11M 187K –
KITE RLTY GROUP TR COM NEW 10M 427K –
LPL FINL HLDGS INC COM 14M 51K –
L3HARRIS TECHNOLOGIES INC COM 29M 130K –
LAUDER ESTEE COS INC CL A 24M 223K –
LIBERTY ENERGY INC COM CL A 8M 389K –
LIBERTY MEDIA CORP DEL COM LBTY ONE S C 6M 79K –
MYR GROUP INC DEL COM 18M 129K –
MACOM TECH SOLUTIONS HLDGS I COM 10M 91K –
MASTERCARD INCORPORATED CL A 50M 114K –
MATADOR RES CO COM 10M 168K –
MERCADOLIBRE INC COM 58M 35K –
MERCK & CO INC COM 232M 2M –
MICROSOFT CORP COM 6M 14K –
MICRON TECHNOLOGY INC COM 29M 219K –
MITSUBISHI UFJ FINL GROUP IN SPONSORED ADS 12M 1M –
MOBILEYE GLOBAL INC COMMON CLASS A 29M 1M –
MONOLITHIC PWR SYS INC COM 5M 7K –
NEW ORIENTAL ED & TECHNOLOGY SPON ADR 43M 554K –
NOVARTIS AG SPONSORED ADR 830K 8K –
NOVO-NORDISK A S ADR 106M 740K –
NUTANIX INC CL A 10M 181K –
NVIDIA CORPORATION COM 56M 456K –
ONTO INNOVATION INC COM 8M 35K –
OPEN TEXT CORP COM 4M 128K –
ORANGE SPONSORED ADR 8M 823K –
PJT PARTNERS INC COM CL A 6M 58K –
PNM RES INC COM 10M 269K –
PACIRA BIOSCIENCES INC COM 5M 189K –
P T TELEKOMUNIKASI INDONESIA SPONSORED ADR 506K 27K –
PETIQ INC COM CL A 15M 663K –
PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 111M 8M –
PFIZER INC COM 274M 10M –
PDD HOLDINGS INC SPONSORED ADS 24M 182K –
PINNACLE FINL PARTNERS INC COM 12M 144K –
POOL CORP COM 11M 37K –
PURE STORAGE INC CL A 21M 324K –
QUALCOMM INC COM 974K 5K –
QUANTA SVCS INC COM 476K 2K –
RAMBUS INC DEL COM 5M 80K –
REGIONS FINANCIAL CORP NEW COM 115M 6M –
REPLIGEN CORP COM 5M 37K –
REPAY HLDGS CORP COM CL A 14M 1M –
SHELL PLC SPON ADS 7M 91K –
RYAN SPECIALTY HOLDINGS INC CL A 7M 123K –
SPDR GOLD TR GOLD SHS 1M 5K –
SAIA INC COM 6M 13K –
SAP SE SPON ADR 8M 40K –
SAREPTA THERAPEUTICS INC COM 6M 40K –
SCHWAB CHARLES CORP COM 74M 998K –
SCOTTS MIRACLE-GRO CO CL A 9M 135K –
SEA LTD SPONSORD ADS 20M 284K –
SENDAS DISTRIBUIDORA S A SPON ADS 685K 68K –
SENSIENT TECHNOLOGIES CORP COM 11M 151K –
SERVICENOW INC COM 5M 6K –
SHIFT4 PMTS INC CL A 6M 82K –
SHOPIFY INC CL A 24M 371K –
SMITH DOUGLAS HOMES CORP COM SHS CL A 5M 213K –
SLR INVESTMENT CORP COM 70M 4M –
SONY GROUP CORP SPONSORED ADR 16M 191K –
SUNOPTA INC COM 10M 2M –
SURGERY PARTNERS INC COM 2M 93K –
TJX COS INC NEW COM 49M 449K –
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADS 163M 932K –
TC ENERGY CORP COM 136M 4M –
TECK RESOURCES LTD CL B 23M 471K –
TENCENT MUSIC ENTMT GROUP SPON ADS 14M 975K –
TETRA TECH INC NEW COM 13M 65K –
TOTALENERGIES SE SPONSORED ADS 24M 360K –
TRADEWEB MKTS INC CL A 4M 36K –
TRANSUNION COM 18M 243K –
TRIP COM GROUP LTD ADS 13M 276K –
VANGUARD INTL EQUITY INDEX F ALLWRLD EX US 347K 6K –
VERTIV HOLDINGS CO COM CL A 28M 319K –
VESTA REAL ESTATE CORP ADS 11M 366K –
VISA INC COM CL A 12M 45K –
VISTA ENERGY S.A.B. DE C.V. SPONSORED ADS 10M 227K –
VISTRA CORP COM 674K 8K –
VODAFONE GROUP PLC NEW SPONSORED ADR 6M 627K –
WALKER & DUNLOP INC COM 11M 108K –
ELME COMMUNITIES SH BEN INT 39M 2M –
WASTE CONNECTIONS INC COM 12M 70K –
WESTERN ALLIANCE BANCORP COM 11M 171K –
WILLSCOT MOBIL MINI HLDNG CO COM CL A 5M 138K –
WYNDHAM HOTELS & RESORTS INC COM 11M 150K –
XPO INC COM 11M 103K –
YUM CHINA HLDGS INC COM 8M 262K –
BBB FOODS INC CL A COM 13M 560K –
CREDICORP LTD COM 12M 76K –
CREDO TECHNOLOGY GROUP HOLDI ORDINARY SHARES 8M 254K –
GRAB HOLDINGS LIMITED CLASS A ORD 715K 201K –
ICON PLC SHS 38M 123K –
LINDE PLC SHS 112M 254K –
MEDTRONIC PLC SHS 144M 2M –
NU HLDGS LTD ORD SHS CL A 32M 2M –
SHARKNINJA INC COM SHS 17M 230K –
TECHNIPFMC PLC COM 22M 828K –
ALCON AG ORD SHS 50M 553K –
ON HLDG AG NAMEN AKT A 7M 170K –
GLOBANT S A COM 27M 151K –
CYBERARK SOFTWARE LTD SHS 8M 29K –
JFROG LTD ORD SHS 5M 130K –
MONDAY COM LTD SHS 7M 28K –
ASML HOLDING N V N Y REGISTRY SHS 45M 44K –
FERRARI N V COM 33M 80K –
FERROVIAL SE COM 8M 195K –
LYONDELLBASELL INDUSTRIES N SHS - A - 188M 2M –
STELLANTIS N.V SHS 42M 2M –
STEVANATO GROUP S P A ORD SHS 14M 746K –
MAKEMYTRIP LIMITED MAURITIUS SHS 2M 25K –