COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC
Adviser information for COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC last updated from Form ADV on March 27th, 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 | Minnesota, United States |
Employees
| Total Number of Employees | 1008 |
|---|---|
| Investment Advisory/Research | 411 |
| Registered Broker-Dealer Representatives | 280 |
| Registered State Investment Advisers | 166 |
| Licensed Agents of an Insurance Company | 2 |
| No. of Firms/People that Solicit Clients | 28 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 5,461 | $426.3B |
| Non-Discretionary | 34 | $783.6M |
| Total | 5,495 | $427.1B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 1,630 | $538.9M |
| HNW Individuals | 250 | $1.3B |
| Banking or thrift institutions | <5 | $10.9B |
| Investment companies | 169 | $273.0B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 168 | $30.8B |
| Pension and profit sharing plans | 112 | $20.7B |
| Charitable organizations | 58 | $1.2B |
| State or municipal gov entities | 18 | $2.3B |
| Other investment advisers | <5 | $0 |
| Insurance companies | 15 | $44.4B |
| Sovereign wealth funds and foreign official institutions | 8 | $8.5B |
| Corporations or other businesses | 185 | $33.0B |
| Other | 12 | $550.6M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 126 |
| No. of Non-U.S. Clients | 4 |
| 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 clientsSelection of other advisers (including private fund managers)ASSET LIABILITY MANAGEMENT, CREDIT ANALYSIS & ASSET ALLOCATION SVCS |
|---|---|
| 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 | 2.2B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| PERSONALIZED UMA SINGLE-STRATEGY | WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC |
| PERSONAL WEALTH PORTFOLIOS | LPL FINANCIAL LLC |
| PREMIER ASSET MANAGEMENT PROGRAM | ENVESTNET PMC |
| BLUEPRINT PROGRAM | BMO NESBITT BURNS SECURITIES LTD. |
| BANK WEALTH PORTFOLIOS | LPL FINANCIAL LLC |
| FIDELITY MANAGED ACCOUNT XCHANGE | FIDELITY INSTITUTIONAL WEALTH ADVISER LLC |
| ARCHITECT PROGRAM | BMO NESBITT BURNS SECURITIES LTD. |
| INVESTMENT MANAGEMENT PROGRAM | ORION PORTFOLIO SOLUTIONS, LLC |
| CHOICE SERVICES | PNC BANK |
| MODEL MANAGER | SIMPLICITY SOLUTIONS, LLC |
| SUB-ADVISER PROGRAM | BMO PRIVATE INVESTMENT COUNSEL INC. |
| NON-DISCRETIONARY INVESTMENT ADVISORY SERVICES | TOWNSQUARE CAPITAL, LLC |
| MANAGED ACCOUNT MARKETPLACE | CHARLES SCHWAB & CO., INC. |
| OPPORTUNITY MODEL-BASED TRADING (MBT) PROGRAM | STIFEL, NICOLAUS & COMPANY, INCORPORATED |
| MODEL WEALTH PORTFOLIOS PROGRAM | LPL FINANCIAL LLC |
| CONSULTING DIRECT | DEUTSCHE BANK SECURITIES INC. |
| PORTFOLIO SELECT UNIFIED MANAGER SELECT PROGRAM (PS UMA PROGRAM) | RAYMOND JAMES & ASSOCIATES, INC. |
| SEPARATELY MANAGED ACCOUNTS PROGRAM | BNY MELLON ADVISORS, INC. |
| UNIFIED MANAGED ACCOUNT | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
| PREFERRED ADVISORS | CREDIT SUISSE SECURITIES (USA) LLC |
| MANAGED ACCOUNT SELECT | CHARLES SCHWAB & CO., INC. |
| WRAP FEE PROGRAM | JANNEY MONTGOMERY SCOTT LLC |
| EDWARD JONES ADVISORY SOLUTIONS UMA PROGRAM | EDWARD JONES & CO., L.P. |
| PRIVATE LABEL MANAGED ACCOUNT PROGRAM | J.P. MORGAN PRIVATE WEALTH ADVISORS LLC |
| BRINKER CAPITAL INVESTMENT PROGRAMS | BRINKER CAPITAL INC |
| MANAGED ACCOUNT COMMAND (VIA LOCKWOOD) | PNC MANAGED ACCOUNT SOLUTIONS, INC. |
| MANAGED ACCOUNT ACCESS | CHARLES SCHWAB & CO., INC. |
| MANAGER SELECT | LPL FINANCIAL LLC |
| FREEDOM UNIFIED MANAGED ACCOUNT PROGRAM | RAYMOND JAMES & ASSOCIATES, INC. |
| CIBC WOOD GUNDY INVESTMENT CONSULTING SERVICE | CIBC WORLD MARKETS CORP. |
| MODEL PORTFOLIOS | US BANK NATIONAL ASSOCIATION |
| INVESTMENT COUNSELING SERVICE | JPMORGAN SECURITIES INC |
| UNIFIED OVERLAY MANAGEMENT PROGRAM | FDX ADVISORS, INC. |
| PERSONALIZED UMA MULTI-STRATEGY | WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC |
| VESTMARK ADVISORY SOLUTIONS, INC. (VAS) | ADHESION WEALTH ADVISOR SOLUTIONS |
| DYNAMIC ALLOCATION PORTFOLIOS - UMA PROGRAM | CITIGROUP GLOBAL MARKETS INC. |
| VESTMARK ADVISORY SOLUTIONS, INC. (VAS) | VESTMARK ADVISORY SOLUTIONS, INC. |
| NATIONAL FINANCIAL SERVICES | FIDELITY INSTITUTIONAL WEALTH ADVISER LLC |
| SEPARATE ACCOUNT EXCHANGE (SAE) | TD AMERITRADE, INC. |
| INSTITUTIONAL WEALTH SERVICES | FIDELITY INSTITUTIONAL WEALTH ADVISER LLC |
| USAA MANAGED PROGRAM (UMP PROGRAM) | CHARLES SCHWAB & CO., INC. |
| CONSULTING SERVICES SEPARATELY MANAGED ACCOUNT PROGRAM | RAYMOND JAMES & ASSOCIATES, INC. |
| MANAGED DIVERSIFIED PORTFOLIOS | WELLS FARGO BANK NA |
| AMERIPRISE SEPARATELY MANAGED ACCOUNT SERVICES | AMERIPRISE FINANCIAL SERVICES, LLC |
| MANAGED CONNECT PROGRAM | PERSHING LLC |
| STRATEGIC WEALTH PORTFOLIOS | UBS FINANCIAL SERVICES INC. |
| MERRILL LYNCH CONSULTS SERVICES | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
| AMERIPRISE SELECT SEPARATE ACCOUNT PROGRAM | AMERIPRISE FINANCIAL SERVICES, LLC |
| CONSULTING GROUP SELECT UMA | MORGAN STANLEY INVESTMENT MANAGEMENT INC. |
| STRATEGIC PORTFOLIO ADVISORY | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
| INVESTMENT ADVISORY PROGRAM/CUSTOM MANAGED STRATEGIES | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
| MANAGED ACCOUNT PROGRAM | RBC CAPITAL MARKETS, LLC |
| PRIVATE ADVISOR NETWORK | WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC |
| INVESTMENT MANAGEMENT SERVICES | MORGAN STANLEY INVESTMENT MANAGEMENT INC. |
| MANAGED ACCOUNTS CONSULTING | UBS FINANCIAL SERVICES INC. |
| ENVESTNET UNIFIED MANAGED ACCOUNT PROGRAM | ENVESTNET PMC |
| EQUITY OPTIMIZATION - TRANSITIONS MANAGEMENT SERVICES | WELLS FARGO BANK NA |
| UNIFIED MANAGED ACCOUNT | OPPENHEIMER ASSET MANAGEMENT |
| PERSHING ADVISOR SOLUTIONS | PERSHING LLC |
| MODEL PORTFOLIO | TRUIST BANK |
| MANAGER ACCESS SELECT | LPL FINANCIAL LLC |
| GLOBAL MANAGER STRATEGIES SEPARATE ACCOUNT PROGRAM | GOLDMAN SACHS & CO. LLC |
| SELECTS PORTFOLIO SOLUTIONS PLATFORM | BANK OF AMERICA, N.A. |
| CONSULTING AND EVALUATION SERVICES | MORGAN STANLEY INVESTMENT MANAGEMENT INC. |
| MODEL PORTFOLIO SERVICES | J.P. MORGAN PRIVATE WEALTH ADVISORS LLC |
| MODEL DELIVERY | VESTMARK ADVISORY SOLUTIONS, INC. |
| MANAGED ACCOUNT SERVICE/INVESTMENT MANAGEMENT SERVICES | MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED |
| SECURIAN ONE UNIFIED MANAGED ACCOUNT PROGRAM | SECURIAN FINANCIAL SERVICES, INC. |
| OUTSIDE MANAGED (OSM) PROGRAM | RAYMOND JAMES & ASSOCIATES, INC. |
| THIRD PARTY MODELS PROGRAM | ENVESTNET PMC |
| ACCESS | UBS FINANCIAL SERVICES INC. |
| FIDUCIARY SERVICES PROGRAM | CITIGROUP GLOBAL MARKETS INC. |
| STRATEGIC ASSET REVIEW | OPPENHEIMER ASSET MANAGEMENT |
Principal Office
290 CONGRESS STREETBOSTON
MA
United States
Monday - Friday, 8:00 AM TO 5:00 PM
Tel: 800-225-2365, Fax: None
Chief Compliance Officer
LEE A. FARIA
VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER
290 CONGRESS STREET
BX29-20658
BOSTON
MA
United States
Tel:
617- 385-9571
L********@***********************M
(Full email address available in API data)
Regulatory Contact
KAYLA SYLVIA
COUNSEL
290 CONGRESS STREET
BOSTON
MA
United States
Tel:
617-316-4915
K***********@***********************M
(Full email address available in API data)
Industry Affiliates
| ADVISORY CAPITAL STRATEGIES GROUP, INC. | Commodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| AMERICAN ENTERPRISE INVESTMENT SERVICES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| AMERIPRISE BANK, FSB | Banking or thrift institution |
| AMERIPRISE CAPTIVE INSURANCE COMPANY | Insurance company or agency |
| AMERIPRISE FINANCIAL SERVICES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| AMERIPRISE TRUST COMPANY | Commodity pool operator or commodity trading advisorTrust company |
| COLUMBIA CENT CLO ADVISERS, LLC | Other investment adviser, including financial planners |
| COLUMBIA MANAGEMENT INVESTMENT DISTRIBUTORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| COLUMBIA THREADNEEDLE (EM) INVESTMENTS LIMITED | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE FUND MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE INVESTMENT BUSINESS LIMITED | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE INVESTMENTS | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| COLUMBIA THREADNEEDLE INVESTMENTS (ME) LIMITED | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE INVESTMENTS JAPAN CO., LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE MANAGEMENT (SWISS) GMBH | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE MULTI-MANAGER LLP | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE NETHERLANDS B.V. | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE REAL ESTATE PARTNERS LLP | Real estate broker or dealer |
| COLUMBIA THREADNEEDLE REP AM PLC | Other investment adviser, including financial planners |
| COLUMBIA THREADNEEDLE REP SARL | Sponsor or syndicator of limited partnerships |
| COLUMBIA WANGER ASSET MANAGEMENT, LLC | Other investment adviser, including financial planners |
| CT REAL ESTATE PARTNERS GMBH & CO. KG | Real estate broker or dealer |
| LIONSTONE BBP GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LIONSTONE CFRE II REAL ESTATE CAPITAL, LP | Sponsor, GP, manager of pooled investment vehicles |
| LIONSTONE CREAD PARTNERS TWO, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LIONSTONE INVESTMENTS | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| LIONSTONE LORE TWO, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LIONSTONE RALEIGH DEVELOPMENT PARTNERS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LIONSTONE RDP CHANNEL HOUSE INVESTORS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LIONSTONE RDP CO-INVESTMENT FUND I GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LIONSTONE RDP PCS PHASE I INVESTORS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LIONSTONE RDP PLATFORM INVESTORS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LIONSTONE RDP ST. ALBANS INVESTORS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LIONSTONE RDP TOWER V INVESTORS GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LIONSTONE U.S. LAND ONE GP, L.L.C. | Sponsor, GP, manager of pooled investment vehicles |
| LIONSTONE USL TWO GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| LIONSTONE VA FIVE, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| LIONSTONE VA FOUR, L.P. | Sponsor, GP, manager of pooled investment vehicles |
| PYRFORD INTERNATIONAL LTD | Other investment adviser, including financial planners |
| RIVERSOURCE DISTRIBUTORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| RIVERSOURCE LIFE INSURANCE COMPANY | Insurance company or agency |
| RIVERSOURCE LIFE INSURANCE CO OF NEW YORK | Insurance company or agency |
| THAMES RIVER CAPITAL LLP | Other investment adviser, including financial planners |
| THREADNEEDLE ASSET MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| THREADNEEDLE INVESTMENT SERVICES LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| THREADNEEDLE INVESTMENTS SINGAPORE (PTE) LIMITED | Other investment adviser, including financial planners |
| THREADNEEDLE MANAGEMENT LUXEMBOURG S.A. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| THREADNEEDLE PENSIONS LIMITED | Insurance company or agency |
| THREADNEEDLE PORTFOLIO SERVICES AG | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| THREADNEEDLE PORTFOLIO SERVICES HONG KONG LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| ARIEL CBO | Securitized Asset Fund | $0.5M | $1.0M | 3 |
| CENTURION CDO IV LIMITED | Securitized Asset Fund | $0.3M | $1.0M | 4 |
| COLUMBIA EMERGING MARKETS EQUITY PRIVATE (MASTER) FUND | LONG ONLY PRIVATE FUND THAT CHARGES NO PERFORMANCE FEES | $98.4M | $1.0M | 3 |
| COLUMBIA INSTITUTIONAL HIGH YIELD FIXED INCOME PRIVATE (MASTER) FUND | LONG ONLY PRIVATE FUND THAT CHARGES NO PERFORMANCE FEES | $29.8M | $1.0M | 4 |
| COLUMBIA INTEGRATED LARGE CAP CORE PRIVATE FUND, LLC | LONG ONLY PRIVATE FUND | $0.0M | $5.0M | 0 |
| COLUMBIA INTEGRATED LARGE CAP VALUE PRIVATE FUND, LLC | LONG ONLY PRIVATE FUND | $0.0M | $5.0M | 0 |
| COLUMBIA INTEGRATED MICRO CAP CORE PRIVATE FUND, LLC | LONG ONLY PRIVATE FUND | $14.3M | $1.0M | 2 |
| COLUMBIA INTEGRATED SMALL AND MID CAP PRIVATE FUND, LLC | LONG ONLY PRIVATE FUND | $21.6M | $5.0M | 3 |
| COLUMBIA PYRFORD INTERNATIONAL STOCK PRIVATE FUND, LLC | LONG ONLY PRIVATE FUND | $575.5M | $5.0M | 3 |
| COLUMBIA SOLUTIONS CATHOLIC VALUES INTERMEDIATE BOND PRIVATE FUND, LLC | LONG ONLY PRIVATE FUND | $49.0M | $1.0M | 5 |
| COLUMBIA U.S. CONTRARIAN CORE EQUITY PRIVATE FUND, LLC | LONG ONLY PRIVATE FUND THAT CHARGES NO PERFORMANCE FEES | $52.0M | $1.0M | 2 |
| GLOBAL EMERGING MARKETS ESG FUND | LONG ONLY PRIVATE FUND | $0.0M | $1.0M | 0 |
| MULTI-MANAGER SOLUTIONS U.S LARGE CAP PRIVATE FUND, LLC | LONG ONLY PRIVATE FUND | $81.1M | $1.0M | 6 |
| SELIGMAN HEALTHCARE SPECTRUM (MASTER) FUND | LONG ONLY PRIVATE FUND THAT CHARGES NO PERFORMANCE FEES | $0.0M | $1.0M | 0 |
| SELIGMAN TECH SPECTRUM (MASTER) FUND | Hedge Fund | $621.4M | $1.0M | 114 |
| SELIGMAN TECH SPECTRUM OFFSHORE FUND | Hedge Fund | $762.0M | $1.0M | 53 |
| SOUTH LASALLE INTERNATIONAL EQUITIES TRUST | LONG ONLY PRIVATE FUND | $313.5M | $1.0M | 14 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| AMERIPRISE FINANCIAL, INC. | Domestic Entity | – | SOLE MEMBER | 10/1985 | > 75% |
| TRUSCOTT, WILLIAM, FREDERICK | Individual | – | CHAIRMAN OF THE BOARD AND PRESIDENT | 02/2012 | < 5% |
| FARIA, LEE, A | Individual | – | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | 01/2014 | < 5% |
| MERGEN, MELDA | Individual | – | MANAGING DIRECTOR AND GLOBAL HEAD OF EQUITIES | 10/2021 | < 5% |
| CLARKE, MICHAEL, GERALD | Individual | – | MEMBER, BOARD OF GOVERNORS, SENIOR VICE PRESIDENT AND NORTH AMERICA HEAD OF OPERATIONS AND INVESTOR SERVICES | 06/2019 | < 5% |
| ENGELKING, BRIAN, MICHAEL | Individual | – | MEMBER, BOARD OF GOVERNORS, VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | 06/2020 | < 5% |
| TANNUZZO, GENE, RICHARD | Individual | – | MANAGING DIRECTOR AND GLOBAL HEAD OF FIXED INCOME | 03/2021 | < 5% |
| DEFAO, MICHAEL, E | Individual | – | VICE PRESIDENT, CHIEF LEGAL OFFICER AND ASSISTANT SECRETARY | 10/2021 | < 5% |
| ASSELTA, FRANCINE | Individual | – | VICE PRESIDENT AND HEAD OF NORTH AMERICA INSTITUTIONAL | 01/2024 | < 5% |
| KUTIN, JOSHUA, BARRY | Individual | – | HEAD OF ASSET ALLOCATION, NORTH AMERICA | 01/2024 | < 5% |
| WALDNER, MATT, M | Individual | – | SENIOR VICE PRESIDENT AND GLOBAL HEAD OF TRADING | 03/2024 | < 5% |