SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD
Adviser information for SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LTD 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | United Kingdom |
Employees
| Total Number of Employees | 720 |
|---|---|
| Investment Advisory/Research | 317 |
| Registered Broker-Dealer Representatives | 0 |
| 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 | 96 | $68.0B |
| Non-Discretionary | 4 | $1.2B |
| Total | 100 | $69.3B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | <5 | $0 |
| HNW Individuals | <5 | $42.1M |
| Banking or thrift institutions | <5 | $0 |
| Investment companies | 48 | $47.5B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 21 | $7.0B |
| Pension and profit sharing plans | 4 | $772.9M |
| Charitable organizations | <5 | $0 |
| State or municipal gov entities | 18 | $11.4B |
| Other investment advisers | <5 | $1.2B |
| Insurance companies | <5 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $1.2B |
| Corporations or other businesses | <5 | $67.8M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 4 |
| No. of Non-U.S. Clients | 18 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio 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 | 801-37163 |
|---|---|
| SEC ERA File Number | 801-37163 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106585 |
| Legal Entity Identifier | 54930087VYMSIGK4TY26 |
Principal Office
1 LONDON WALL PLACELONDON
United Kingdom
Monday - Friday, 9:00 A.M. - 5:00 P.M. GMT
Tel: +44 (0)20 7658 6000, Fax: +44 (0)20 7658 6965
Websites
Chief Compliance Officer
RUCHIRA ROY
HEAD OF GLOBAL INVESTMENTS COMPLIANCE
1 LONDON WALL PLACE
LONDON
LONDON
United Kingdom
Tel:
+44 (0)20 7658 2254
Fax:
-
R**********@************M
(Full email address available in API data)
Regulatory Contact
SHANAK PATNAIK
COMPLIANCE OFFICER, AMERICAS
1045 6TH AVENUE, 7 BRYANT PARK, 19TH FLOOR
NEW YORK
NY
United States
Tel:
2126413800
N***********@************M
(Full email address available in API data)
Industry Affiliates
| SCHRODER INVESTMENT MANAGEMENT (EUROPE) S.A. | Other investment adviser, including financial planners |
| SCHRODER INVESTMENT MANAGEMENT (SWITZERLAND) AG | Other investment adviser, including financial planners |
| SCHRODER INVESTMENT MANAGEMENT HONG KONG LTD | Other investment adviser, including financial planners |
| SCHRODER INVESTMENT MANAGEMENT LTD. | Other investment adviser, including financial planners |
| SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| SCHRODER INVESTMENT MANAGEMENT SINGAPORE LTD | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHRODER INVESTMENT MANAGEMENT LTD. | Foreign Entity | – | DIRECT SHAREHOLDER | 05/1989 | > 75% |
| SCHRODER ADMINISTRATION LIMITED | Foreign Entity | SCHRODER INTERNATIONAL HOLDINGS LIMITED | SHAREHOLDER | 07/2017 | > 75% |
| SCHRODERS PLC | Foreign Entity | SCHRODER ADMINISTRATION LIMITED | SHAREHOLDER | 06/2004 | > 75% |
| CHISLETT, PAUL, JAMES | Individual | – | DIRECTOR | 10/2012 | < 5% |
| TAYLOR, CHRISTOPHER, NEIL | Individual | – | DIRECTOR | 10/2016 | < 5% |
| SCHRODER INTERNATIONAL HOLDINGS LIMITED | Foreign Entity | SCHRODER INVESTMENT MANAGEMENT LTD. | SHAREHOLDER | 07/2017 | > 75% |
| ROY, RUCHIRA | Individual | – | CHIEF COMPLIANCE OFFICER | 12/2019 | < 5% |
| MOSCOW, ANDREW, LEWIS | Individual | – | DIRECTOR | 01/2020 | < 5% |