Hedge Fund Database

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

Adviser information for DWS INVESTMENT MANAGEMENT AMERICAS, 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 487
Investment Advisory/Research 206
Registered Broker-Dealer Representatives 109
Registered State Investment Advisers 0
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 596 $171.9B
Non-Discretionary 6 $1.1B
Total 602 $173.0B

Clients

Type Number RAUM
Individuals 0 $0
HNW Individuals <5 $73.2M
Banking or thrift institutions <5 $10.0M
Investment companies 59 $72.6B
Business development companies 2 $704.8M
Pooled investment vehicles 5 $1.1B
Pension and profit sharing plans 7 $2.0B
Charitable organizations <5 $1.6B
State or municipal gov entities <5 $961.4M
Other investment advisers 5 $689.5M
Insurance companies 54 $81.8B
Sovereign wealth funds and foreign official institutions <5 $4.2B
Corporations or other businesses 20 $7.3B
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 18

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 clientsSelection of other advisers (including private fund managers)
Compensation % of AUMFixed feesPerformance-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 0
Both for Same 0
Portfolio Manager to Program Sponsor
ADVISER SELECT DBSI SECURITIES CORPORATION

Identifiers

SEC RIA File Number 801-252
SEC ERA File Number 801-252
SEC CIK Numbers 1179124
SEC CRD Numbers 104518
Legal Entity Identifier CZ83K4EEEX8QVCT3B128

Principal Office

875 THIRD AVENUE
NEW YORK
NY
United States
Monday - Friday, 9:00AM TO 5:00PM
Tel: 212-454-4500, Fax: None

Websites

www.facebook.com/dws www.linkedin.com/company/dws-group-com www.dws.com www.youtube.com/channel/ucrl-si4_orlvl4vwbbnsdgg twitter.com/dws_group

Chief Compliance Officer

MICHELLE GOVEIA
CHIEF COMPLIANCE OFFICER
875 THIRD AVENUE
NEW YORK
NY
United States
Tel: (212) 454-8597
(Full email address available in API data)

Regulatory Contact

SCOTT D. HOGAN
SENIOR TEAM LEAD AFC & COMPLIANCE US
100 SUMMER STREET
BOSTON
MA
United States
Tel: 617-295-3986
(Full email address available in API data)

Industry Affiliates

DBRE GLOBAL REAL ESTATE MANAGEMENT IB, LTD Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles
DBX ADVISORS LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
DEUTSCHE BANK (CAYMAN) LIMITED Banking or thrift institutionTrust company
DEUTSCHE BANK (CHINA) CO., LTD., SHANGHAI BRANCH Banking or thrift institutionTrust company
DEUTSCHE BANK (MALAYSIA) BERHAD Banking or thrift institutionTrust company
DEUTSCHE BANK A.S. Banking or thrift institutionTrust company
DEUTSCHE BANK AG Broker-dealer, municipal securities dealer, or gov securities broker or dealerRegistered security-based swap dealerBanking or thrift institutionTrust companySponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles
DEUTSCHE BANK AG BANGKOK BRANCH Banking or thrift institutionTrust company
DEUTSCHE BANK AG HUNGARY BRANCH Banking or thrift institutionTrust company
DEUTSCHE BANK AG JAKARTA BRANCH Banking or thrift institutionTrust company
DEUTSCHE BANK AG TAIPE BRANCH Banking or thrift institutionTrust company
DEUTSCHE BANK AG, AMSTERDAM BRANCH Banking or thrift institutionTrust company
DEUTSCHE BANK AG, AMSTERDAM BRANCH (BELGIUM) Banking or thrift institutionTrust company
DEUTSCHE BANK AG, AMSTERDAM BRANCH (FRANCE) Banking or thrift institutionTrust company
DEUTSCHE BANK AG, AMSTERDAM BRANCH (PORTUGAL) Banking or thrift institutionTrust company
DEUTSCHE BANK AG, COLOMBO BRANCH Banking or thrift institutionTrust company
DEUTSCHE BANK AG, FRANKFURT Banking or thrift institutionTrust company
DEUTSCHE BANK AG, HO CHI MINH CITY BRANCH Banking or thrift institutionTrust company
DEUTSCHE BANK AG, HONG KONG BRANCH Banking or thrift institutionTrust company
DEUTSCHE BANK AG, KARACHI BRANCH Banking or thrift institutionTrust company
DEUTSCHE BANK AG, LONDON BRANCH Banking or thrift institutionTrust company
DEUTSCHE BANK AG, MANILA BRANCH Banking or thrift institutionTrust company
DEUTSCHE BANK AG, MUMBAI BRANCH Banking or thrift institutionTrust company
DEUTSCHE BANK AG, NEW YORK BRANCH Banking or thrift institutionTrust company
DEUTSCHE BANK AG, SEOUL BRANCH Banking or thrift institutionTrust company
DEUTSCHE BANK AG, SINGAPORE BRANCH Banking or thrift institutionTrust company
DEUTSCHE BANK AKTIENGESELLSCHAFT FILIALE PRAG, ORGANIZACN� SLO?KA Banking or thrift institutionTrust company
DEUTSCHE BANK ALTERNATIVE FUND SERVICES Banking or thrift institutionTrust company
DEUTSCHE BANK POLSKA S.A. Banking or thrift institutionTrust company
DEUTSCHE BANK S.A. BANCO ALEM�O Banking or thrift institutionTrust company
DEUTSCHE BANK S.A.E. Banking or thrift institutionTrust company
DEUTSCHE BANK S.P.A. MILAN Banking or thrift institutionTrust company
DEUTSCHE BANK SECURITIES INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersFutures commission merchant
DEUTSCHE BANK TRUST COMPANY, N.A. Banking or thrift institutionTrust company
DEUTSCHE SECURITIES AND SERVICES, DUBAI Banking or thrift institutionTrust company
DEUTSCHE SECURITIES SAUDI ARABIA LLC Banking or thrift institutionTrust company
DWS ALTERNATIVES GLOBAL LIMITED Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
DWS ASSET MANAGEMENT (KOREA) COMPANY LIMITED Other investment adviser, including financial planners
DWS DISTRIBUTORS, INC. Broker-dealer, municipal securities dealer, or gov securities broker or dealer
DWS INTERNATIONAL GMBH Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
DWS INVESTMENTS AUSTRALIA LIMITED Other investment adviser, including financial planners
DWS INVESTMENTS HONG KONG LIMITED Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
DWS INVESTMENTS JAPAN LIMITED Other investment adviser, including financial planners
DWS INVESTMENTS SINGAPORE LIMITED Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
DWS INVESTMENTS UK LIMITED Other investment adviser, including financial planners
DWS TRUST COMPANY Commodity pool operator or commodity trading advisorTrust company
RREEF AMERICA L.L.C. Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
CAYMAN COMMODITY FUND II, LTD. WHOLLY-OWNED SUBSIDIARY OF OPEN-ENDED INVESTMENT COMPANY $243.6M $0.0M 1
CAYMAN GLOBAL MACRO FUND LLC WHOLLY OWNED SUBSIDIARY OF OPEN-ENDED INVESTMENT COMPANY $1.0M $0.0M 1
CAYMAN REAL ASSETS FUND, LTD WHOLLY OWNED SUBSIDIARY OF OPEN-ENDED INVESTMENT COMPANY $476.9M $0.0M 1
DB REAL ESTATE GLOBAL OPPORTUNITIES IB, L.P. Real Estate Fund $7.4M $10.0M 169
FLAGSHIP CLO VIII, LTD. Securitized Asset Fund $0.1M $0.3M 16

Control Persons

Name Type Entity Title Since Ownership
TANZIL, NANCY, LEE Individual – CHIEF FINANCIAL OFFICER AND TREASURER 04/2013 < 5%
MILLETTE, JOHN, BRIAN Individual – CHIEF LEGAL OFFICER 05/2015 < 5%
DWS USA CORPORATION Domestic Entity – SHAREHOLDER 08/2017 > 75%
GOVEIA, MICHELLE, SHARON Individual – CHIEF COMPLIANCE OFFICER 08/2017 < 5%
DWS GROUP GMBH & CO. KGAA Foreign Entity DWS USA CORPORATION SHAREHOLDER 04/2018 > 75%
DB BETEILIGUNGS-HOLDING GMBH Foreign Entity DWS GROUP GMBH & CO. KGAA SHAREHOLDER 04/2018 > 75%
DEUTSCHE BANK AG Foreign Entity DB BETEILIGUNGS-HOLDING GMBH SHAREHOLDER 04/2018 > 75%
BIANCO, DAVID, S Individual – DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND PRESIDENT 05/2018 < 5%
SCULAC, SANDY Individual – CHIEF OPERATING OFFICER 01/2021 < 5%
CATRAMBONE, GEORGE, L Individual – DIRECTOR 05/2023 < 5%
UZCAN, HEPSEN Individual – DIRECTOR 07/2023 < 5%

No. Employees, Historic

60030002019202020212022202320242025511 on 6/28/2019511 on 8/27/2019511 on 8/27/2019511 on 9/23/2019511 on 10/16/2019511 on 10/16/2019511 on 12/6/2019447 on 3/30/2020447 on 6/11/2020447 on 6/29/2020447 on 7/17/2020447 on 10/16/2020447 on 10/23/2020447 on 11/13/2020447 on 12/8/2020447 on 1/28/2021447 on 3/5/2021440 on 3/29/2021440 on 4/9/2021440 on 5/27/2021440 on 6/7/2021440 on 7/1/2021440 on 7/23/2021440 on 8/24/2021440 on 9/14/2021440 on 9/28/2021440 on 11/18/2021440 on 1/14/2022442 on 3/30/2022442 on 5/18/2022442 on 6/16/2022442 on 6/30/2022442 on 8/30/2022442 on 10/25/2022442 on 10/25/2022442 on 11/16/2022442 on 3/20/2023506 on 3/31/2023506 on 3/31/2023506 on 4/11/2023506 on 4/18/2023506 on 5/22/2023506 on 6/20/2023506 on 7/27/2023506 on 8/10/2023506 on 10/25/2023506 on 1/9/2024506 on 2/6/2024506 on 2/22/2024506 on 3/4/2024506 on 3/7/2024487 on 3/28/2024

RAUM, Historic

300B150B02019202020212022202320242025179309234179 on 6/28/2019178422202326 on 8/27/2019178422202326 on 8/27/2019178422202326 on 9/23/2019178422202326 on 10/16/2019178422202326 on 10/16/2019178422202326 on 12/6/2019187727590220 on 3/30/2020187727590220 on 6/11/2020187727590220 on 6/29/2020187727590220 on 7/17/2020187727590220 on 10/16/2020187727590220 on 10/23/2020187727590220 on 11/13/2020187727590220 on 12/8/2020187727590220 on 1/28/2021187727590220 on 3/5/2021200769785921 on 3/29/2021200769785921 on 4/9/2021200769785921 on 5/27/2021200769785921 on 6/7/2021200769785921 on 7/1/2021200769785921 on 7/23/2021200769785921 on 8/24/2021200769785921 on 9/14/2021200769785921 on 9/28/2021200769785921 on 11/18/2021200769785921 on 1/14/2022207205510236 on 3/30/2022207205510236 on 5/18/2022207205510236 on 6/16/2022207205510236 on 6/30/2022207205510236 on 8/30/2022207205510236 on 10/25/2022207205510236 on 10/25/2022207205510236 on 11/16/2022207205510236 on 3/20/2023164890183366 on 3/31/2023164890183366 on 3/31/2023164890183366 on 4/11/2023164890183366 on 4/18/2023164890183366 on 5/22/2023164890183366 on 6/20/2023164890183366 on 7/27/2023164890183366 on 8/10/2023164890183366 on 10/25/2023164890183366 on 1/9/2024164890183366 on 2/6/2024164890183366 on 2/22/2024164890183366 on 3/4/2024164890183366 on 3/7/2024173044132320 on 3/28/2024

No. Clients, Historic

70035002019202020212022202320242025174 on 6/28/2019176 on 8/27/2019176 on 8/27/2019176 on 9/23/2019176 on 10/16/2019176 on 10/16/2019176 on 12/6/2019188 on 3/30/2020188 on 6/11/2020188 on 6/29/2020188 on 7/17/2020188 on 10/16/2020188 on 10/23/2020188 on 11/13/2020188 on 12/8/2020188 on 1/28/2021188 on 3/5/2021178 on 3/29/2021178 on 4/9/2021178 on 5/27/2021178 on 6/7/2021178 on 7/1/2021178 on 7/23/2021178 on 8/24/2021178 on 9/14/2021178 on 9/28/2021178 on 11/18/2021178 on 1/14/2022181 on 3/30/2022181 on 5/18/2022181 on 6/16/2022181 on 6/30/2022181 on 8/30/2022181 on 10/25/2022181 on 10/25/2022181 on 11/16/2022181 on 3/20/2023609 on 3/31/2023609 on 3/31/2023609 on 4/11/2023609 on 4/18/2023609 on 5/22/2023609 on 6/20/2023609 on 7/27/2023609 on 8/10/2023609 on 10/25/2023609 on 1/9/2024609 on 2/6/2024609 on 2/22/2024609 on 3/4/2024609 on 3/7/2024164 on 3/28/2024