Hedge Fund Database

ARIEL INVESTMENTS, LLC

Adviser information for ARIEL INVESTMENTS, LLC 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 101
Investment Advisory/Research 29
Registered Broker-Dealer Representatives 24
Registered State Investment Advisers 7
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 181 $13.4B
Non-Discretionary 2 $40.4M
Total 183 $13.4B

Clients

Type Number RAUM
Individuals 20 $12.3M
HNW Individuals 55 $1.5B
Banking or thrift institutions <5 $0
Investment companies 8 $4.6B
Business development companies 0 $0
Pooled investment vehicles 1 $134.3M
Pension and profit sharing plans 25 $1.9B
Charitable organizations 24 $632.7M
State or municipal gov entities 28 $3.8B
Other investment advisers 6 $19.4M
Insurance companies 6 $353.5M
Sovereign wealth funds and foreign official institutions <5 $0
Corporations or other businesses 8 $484.8M
Other <5 $0
Type Number
No. of Non-RAUM Clients 2
No. of Non-U.S. Clients 1

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

Identifiers

SEC RIA File Number 801-18767
SEC ERA File Number 801-18767
SEC CIK Numbers 936753
SEC CRD Numbers 108211
Legal Entity Identifier 5493007TOVD6LN5SJS12

Principal Office

200 EAST RANDOLPH STREET
SUITE 2900
CHICAGO
IL
United States
MONDAY - SUNDAY, M-F 7:30AM - 7PM; SAT 9AM - 4PM; SUN 10AM - 4PM
Tel: 312-726-0140, Fax: 312-726-7473

Websites

twitter.com/arielinvests www.arielinvestments.com vimeo.com/user165596483 www.youtube.com/arielinvestments www.facebook.com/arielinvestments/ www.linkedin.com/company/ariel-investments/ www.instagram.com/arielinvestments/

Chief Compliance Officer

WENDY D. FOX
SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER
200 EAST RANDOLPH STREET
SUITE 2900
CHICAGO
IL
United States
Tel: 312-726-0140
Fax: 312-726-7473
(Full email address available in API data)

Regulatory Contact

EMMA L. RODRIGUEZ-AYALA
EXECUTIVE VICE PRESIDENT, CAO & GENERAL COUNSEL
200 EAST RANDOLPH STREET
SUITE 2900
CHICAGO
IL
United States
Tel: 312-726-0140
Fax: 312-726-7473
(Full email address available in API data)

Industry Affiliates

ARIEL ALTERNATIVES, LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
ARIEL DISTRIBUTORS, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
PROJECT BLACK COORDINATED PARTICIPATION FUND GP, LP Sponsor, GP, manager of pooled investment vehicles
PROJECT BLACK COORDINATED PARTICIPATION FUND GP, LP Sponsor, GP, manager of pooled investment vehicles
PROJECT BLACK GP, LP Sponsor, GP, manager of pooled investment vehicles
PROJECT BLACK MANAGEMENT COMPANY, LLC Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
PROJECT BLACK SPARTA II CO-INVESTMENT MANAGER, LP Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
ARIEL INTERNATIONAL DM/EM LLC INTERNATIONAL (DEVELOPED AND EMERGING MARKETS) EQUITY $159.3M $5.0M 10

Control Persons

Name Type Entity Title Since Ownership
ROGERS, JOHN, WASHINGTON Individual – CHAIRMAN, CO-CEO, CHIEF INVESTMENT OFFICER AND DIRECTOR 05/2000 < 5%
HOBSON LUCAS, MELLODY, LOUISE Individual – CO-CEO, PRESIDENT AND DIRECTOR 05/2000 25-50%
ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. Domestic Entity – OWNER 02/2004 25-50%
ROGERS, JOHN, WASHINGTON Individual ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. SHAREHOLDER 02/2004 50-75%
BOBRINSKOY, CHARLES, KELLOGG Individual – VICE CHAIRMAN 09/2004 < 5%
FOX, WENDY, DEVORAH Individual – SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 10/2004 < 5%
FIDLER, TIMOTHY, ROBERT Individual – EXECUTIVE VICE PRESIDENT, DIRECTOR OF RESEARCH 12/2018 < 5%
CREMERS, KLAAS, JAN, MARTIJN Individual – DIRECTOR 07/2019 < 5%
WOLFF, PAULA Individual – DIRECTOR 07/2019 < 5%
DUNCAN, ARNE, STARKEY Individual – DIRECTOR 07/2019 < 5%
JARRETT, VALERIE, BOWMAN Individual – DIRECTOR 07/2019 < 5%
TOOKES, HEATHER, ELISE Individual – DIRECTOR 07/2019 < 5%
MERCHANT, FAZAL, FAROOK Individual – DIRECTOR 03/2021 < 5%
ROMERO, ANTHONY, DAVID Individual – DIRECTOR 03/2021 < 5%
KUHRT, KENNETH, EDWIN Individual – EXECUTIVE VICE PRESIDENT 01/2021 < 5%
SMITH, JUDY, ARLINE Individual – DIRECTOR 06/2021 < 5%
CALDERON, CARLOS, ESTUARDO Individual – SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER 06/2021 < 5%
RODRIGUEZ-AYALA, EMMA, LEONOR Individual – EXECUTIVE VICE PRESIDENT, CHIEF ADMINISTRATIVE OFFICER, GENERAL COUNSEL & SECRETARY 01/2023 < 5%
MALLARI-D'AURIA, HENRY, S Individual – EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, GLOBAL & EMERGING MARKETS EQUITIES 09/2023 < 5%

No. Employees, Historic

2001000201920202021202220232024202579 on 8/5/201979 on 1/3/202060 on 3/26/202060 on 6/24/202060 on 8/13/202086 on 3/24/202186 on 7/7/202197 on 3/24/202297 on 10/12/202297 on 10/27/202297 on 1/12/202397 on 1/12/202393 on 3/16/202393 on 3/20/202393 on 4/18/202393 on 9/1/202393 on 11/16/2023101 on 3/29/2024

RAUM, Historic

20B10B0201920202021202220232024202511565879935 on 8/5/201911565879935 on 1/3/202013217118786 on 3/26/202013217118786 on 6/24/202013217118786 on 8/13/202014582679279 on 3/24/202114582679279 on 7/7/202117426654825 on 3/24/202217426654825 on 10/12/202217426654825 on 10/27/202217426654825 on 1/12/202317426654825 on 1/12/202314794395707 on 3/16/202314794395707 on 3/20/202314834828856 on 4/18/202314834828856 on 9/1/202314834828856 on 11/16/202313392842256 on 3/29/2024

No. Clients, Historic

30015002019202020212022202320242025203 on 8/5/2019203 on 1/3/2020189 on 3/26/2020189 on 6/24/2020189 on 8/13/2020204 on 3/24/2021204 on 7/7/2021200 on 3/24/2022200 on 10/12/2022200 on 10/27/2022200 on 1/12/2023200 on 1/12/2023208 on 3/16/2023208 on 3/20/2023208 on 4/18/2023208 on 9/1/2023208 on 11/16/2023181 on 3/29/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
ADT Inc COM 223M 29M –
ADT Inc COM 320K 42K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
ADT Inc COM 7M 922K VANGUARD GROUP INC
Adtalem Global Education Inc COM 196M 3M –
Adtalem Global Education Inc COM 343K 5K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Adtalem Global Education Inc COM 4M 57K VANGUARD GROUP INC
Affiliated Managers Group Inc COM 217M 1M –
Affiliated Managers Group Inc COM 8M 53K VANGUARD GROUP INC
Aflac Inc COM 46M 514K –
Aflac Inc COM 279K 3K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Allstate Corp/The COM 38M 240K –
APA Corp COM 6M 210K –
Aptiv PLC COM 74M 1M –
Axalta Coating Systems Ltd COM 144M 4M –
Axalta Coating Systems Ltd COM 326K 10K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Axalta Coating Systems Ltd COM 6M 180K VANGUARD GROUP INC
Baidu Inc ADR 95M 1M –
Bank of America Corp COM 7M 172K –
Barrick Gold Corp COM 4M 252K –
Bio-Rad Laboratories Inc COM 25M 93K –
Bio-Rad Laboratories Inc COM 205K 750 CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Bio-Rad Laboratories Inc COM 3M 11K VANGUARD GROUP INC
BOK Financial Corp COM 170M 2M –
BOK Financial Corp COM 6M 62K VANGUARD GROUP INC
BorgWarner Inc COM 30M 919K –
BorgWarner Inc COM 238K 7K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Boyd Gaming Corp COM 161M 3M –
Boyd Gaming Corp COM 6M 115K VANGUARD GROUP INC
Brady Corp COM 18M 275K –
Brady Corp COM 244K 4K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Brink's Co/The COM 121M 1M –
Brink's Co/The COM 793K 8K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Brink's Co/The COM 9M 83K VANGUARD GROUP INC
Bristol-Myers Squibb Co COM 26M 619K –
Capital One Financial Corp COM 60M 436K –
Carlyle Group Inc/The COM 190M 5M –
Carlyle Group Inc/The COM 8M 209K VANGUARD GROUP INC
CarMax Inc COM 52M 707K –
CarMax Inc COM 229K 3K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
CBRE Group Inc COM 37M 413K –
CBRE Group Inc COM 389K 4K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
CBRE Group Inc COM 6M 67K VANGUARD GROUP INC
Charles River Laboratories International Inc COM 181M 874K –
Charles River Laboratories International Inc COM 423K 2K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Charles River Laboratories International Inc COM 6M 30K VANGUARD GROUP INC
Charles Schwab Corp/The COM 43M 584K –
Check Point Software Technologies Ltd COM 220M 1M –
Chevron Corp COM 5M 33K –
CNH Industrial NV COM 30M 3M –
Core Laboratories Inc COM 201M 10M –
Core Laboratories Inc COM 8M 404K VANGUARD GROUP INC
Credicorp Ltd COM 66M 410K –
CVS Health Corp COM 40M 669K –
DaVita Inc COM 50M 360K –
DR Horton Inc COM 23M 166K –
Dun & Bradstreet Holdings Inc COM 39M 4M –
Dun & Bradstreet Holdings Inc COM 263K 28K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Envista Holdings Corp COM 161M 10M –
Envista Holdings Corp COM 117K 7K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Envista Holdings Corp COM 3M 189K VANGUARD GROUP INC
Evercore Inc COM 25M 121K –
Fair Isaac Corp COM 503K 338 CHARLES SCHWAB INVESTMENT MANAGEMENT INC
First American Financial Corp COM 187M 3M –
First American Financial Corp COM 451K 8K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
First American Financial Corp COM 7M 137K VANGUARD GROUP INC
Fiserv Inc COM 692K 5K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
GCM Grosvenor Inc COM 44M 5M –
Generac Holdings Inc COM 246M 2M –
Generac Holdings Inc COM 492K 4K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Generac Holdings Inc COM 8M 63K VANGUARD GROUP INC
Gentex Corp COM 198M 6M –
Gentex Corp COM 433K 13K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Gentex Corp COM 7M 206K VANGUARD GROUP INC
Gilead Sciences Inc COM 25M 368K –
Goldman Sachs Group Inc/The COM 82M 181K –
Goldman Sachs Group Inc/The COM 549K 1K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Hackett Group Inc/The COM 14M 651K –
Hackett Group Inc/The COM 206K 9K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Intel Corp COM 38M 1M –
Interpublic Group of Cos Inc/The COM 158M 5M –
Interpublic Group of Cos Inc/The COM 276K 9K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Interpublic Group of Cos Inc/The COM 8M 275K VANGUARD GROUP INC
iShares Russell 2000 Value ETF ETF 959K 6K –
J M Smucker Co/The COM 143M 1M –
J M Smucker Co/The COM 164K 2K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
J M Smucker Co/The COM 5M 46K VANGUARD GROUP INC
Janus Henderson Group PLC COM 76M 2M –
Johnson & Johnson COM 3M 24K –
Jones Lang LaSalle Inc COM 265M 1M –
Jones Lang LaSalle Inc COM 425K 2K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Jones Lang LaSalle Inc COM 7M 34K VANGUARD GROUP INC
Kaspi.KZ JSC ADR 285K 2K –
KB Financial Group Inc ADR 17M 302K –
Kennametal Inc COM 196M 8M –
Kennametal Inc COM 355K 15K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Kennametal Inc COM 7M 315K VANGUARD GROUP INC
Keysight Technologies Inc COM 34M 250K –
Keysight Technologies Inc COM 349K 3K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Keysight Technologies Inc COM 6M 45K VANGUARD GROUP INC
KKR & Co Inc COM 33M 315K –
KKR & Co Inc COM 628K 6K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Knowles Corp COM 88M 5M –
Knowles Corp COM 359K 21K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Korn Ferry COM 50M 737K –
Korn Ferry COM 211K 3K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Labcorp Holdings Inc COM 84M 415K –
Labcorp Holdings Inc COM 276K 1K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Labcorp Holdings Inc COM 6M 29K VANGUARD GROUP INC
Lazard Inc COM 224M 6M –
Lazard Inc COM 338K 9K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Lazard Inc COM 6M 156K VANGUARD GROUP INC
Lennar Corp COM 24M 157K –
Leslie's Inc COM 147M 35M –
Leslie's Inc COM 207K 49K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Leslie's Inc COM 6M 1M VANGUARD GROUP INC
Lindblad Expeditions Holdings Inc COM 82M 8M –
Lindblad Expeditions Holdings Inc COM 773K 80K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Littelfuse Inc COM 84M 327K –
Littelfuse Inc COM 372K 1K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Lockheed Martin Corp COM 6M 13K –
M&T Bank Corp COM 402K 3K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Madison Square Garden Entertainment Corp COM 218M 6M –
Madison Square Garden Entertainment Corp COM 274K 8K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Madison Square Garden Entertainment Corp COM 6M 170K VANGUARD GROUP INC
Madison Square Garden Sports Corp COM 177M 942K –
Madison Square Garden Sports Corp COM 278K 1K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Madison Square Garden Sports Corp COM 5M 26K VANGUARD GROUP INC
Manchester United Plc COM 125M 8M –
Manchester United Plc COM 305K 19K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Manchester United Plc COM 4M 259K VANGUARD GROUP INC
Masco Corp COM 65M 982K –
Masco Corp COM 252K 4K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Masco Corp COM 7M 108K VANGUARD GROUP INC
Mattel Inc COM 233M 14M –
Mattel Inc COM 345K 21K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Mattel Inc COM 8M 495K VANGUARD GROUP INC
MGP Ingredients Inc COM 38M 516K –
Microsoft Corp COM 119M 265K –
Middleby Corp/The COM 62M 508K –
Middleby Corp/The COM 233K 2K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Mohawk Industries Inc COM 201M 2M –
Mohawk Industries Inc COM 182K 2K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Mohawk Industries Inc COM 6M 50K VANGUARD GROUP INC
Molson Coors Beverage Co COM 24M 464K –
Mosaic Co/The COM 4M 133K –
Motorola Solutions Inc COM 360K 933 CHARLES SCHWAB INVESTMENT MANAGEMENT INC
NetApp Inc COM 62M 481K –
Northern Trust Corp COM 214M 3M –
Northern Trust Corp COM 478K 6K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Northern Trust Corp COM 8M 91K VANGUARD GROUP INC
Norwegian Cruise Line Holdings Ltd COM 106M 6M –
Norwegian Cruise Line Holdings Ltd COM 765K 41K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
NOV Inc COM 40M 2M –
nVent Electric PLC COM 70M 917K –
nVent Electric PLC COM 667K 9K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
nVent Electric PLC COM 5M 68K VANGUARD GROUP INC
OneSpaWorld Holdings Ltd COM 133M 9M –
OneSpaWorld Holdings Ltd COM 948K 62K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
OneSpaWorld Holdings Ltd COM 17M 1M VANGUARD GROUP INC
Oracle Corp COM 9M 60K –
Paramount Global COM 142M 14M –
Paramount Global COM 135K 13K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Paramount Global COM 4M 346K VANGUARD GROUP INC
Patterson Cos Inc COM 218K 9K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Philip Morris International Inc COM 32M 319K –
Phinia Inc COM 6M 143K –
Phinia Inc COM 58K 1K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Prestige Consumer Healthcare Inc COM 187M 3M –
Prestige Consumer Healthcare Inc COM 479K 7K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Prestige Consumer Healthcare Inc COM 8M 116K VANGUARD GROUP INC
Progressive Corp/The COM 217K 1K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Resideo Technologies Inc COM 180M 9M –
Resideo Technologies Inc COM 511K 26K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Resideo Technologies Inc COM 8M 387K VANGUARD GROUP INC
Reynolds Consumer Products Inc COM 201K 7K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Royal Caribbean Cruises Ltd COM 172M 1M –
Royal Caribbean Cruises Ltd COM 16M 103K VANGUARD GROUP INC
Sensata Technologies Holding PLC COM 311K 8K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Simpson Manufacturing Co Inc COM 24M 141K –
Simpson Manufacturing Co Inc COM 261K 2K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Simpson Manufacturing Co Inc COM 3M 15K VANGUARD GROUP INC
Snap-on Inc COM 7M 29K –
Snap-on Inc COM 264K 1K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Snap-on Inc COM 3M 11K VANGUARD GROUP INC
Sphere Entertainment Co COM 189M 5M –
Sphere Entertainment Co COM 214K 6K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Sphere Entertainment Co COM 5M 151K VANGUARD GROUP INC
Stanley Black & Decker Inc COM 44M 547K –
Stericycle Inc COM 84M 1M –
Stericycle Inc COM 165K 3K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Stericycle Inc COM 5M 80K VANGUARD GROUP INC
Taiwan Semiconductor Manufacturing Co Ltd ADR 26M 151K –
Telefonica Brasil SA ADR 3M 312K –
Teradata Corp COM 28M 808K –
Truist Financial Corp COM 39M 996K –
US Bancorp COM 6M 156K –
Vail Resorts Inc COM 45M 247K –
Vanguard FTSE Developed Markets ETF ETF 9M 182K –
Vanguard Total International Stock ETF ETF 5M 80K –
Vanguard Total World Stock ETF ETF 12M 106K –
Verizon Communications Inc COM 71M 2M –
Walgreens Boots Alliance Inc COM 25M 2M –
Western Union Co/The COM 4M 340K –
Zebra Technologies Corp COM 94M 305K –
Zebra Technologies Corp COM 534K 2K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Zebra Technologies Corp COM 7M 23K VANGUARD GROUP INC
Zimmer Biomet Holdings Inc COM 32M 295K –
Zimmer Biomet Holdings Inc COM 309K 3K CHARLES SCHWAB INVESTMENT MANAGEMENT INC
Zimvie Inc COM 1M 80K –