NEWTON INVESTMENT MANAGEMENT LTD
Adviser information for NEWTON INVESTMENT MANAGEMENT LTD 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 | United Kingdom |
Employees
| Total Number of Employees | 269 |
|---|---|
| Investment Advisory/Research | 65 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 7 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 155 | $45.2B |
| Non-Discretionary | 1 | $4.8M |
| Total | 156 | $45.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | <5 | $430.2M |
| Investment companies | 12 | $3.7B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 77 | $37.0B |
| Pension and profit sharing plans | <5 | $1.6B |
| Charitable organizations | 33 | $2.3B |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | <5 | $173.4M |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 2 |
| No. of Non-U.S. Clients | 90 |
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 |
Principal Office
160 QUEEN VICTORIA STREETLONDON
United Kingdom
Monday - Friday, 0900 - 1700 GMT
Tel: +44-20-7163-9000, Fax: None
Chief Compliance Officer
ELIZABETH ROACH
CHIEF COMPLIANCE OFFICER
160 QUEEN VICTORIA STREET
LONDON
United Kingdom
Tel:
+44-20-7163-2028
E**************@***********M
(Full email address available in API data)
Regulatory Contact
EMMA SULLIVAN
SENIOR COMPLIANCE MANAGER
160 QUEEN VICTORIA STREET
LONDON
United Kingdom
Tel:
+44-20-7163-0127
E************@***********M
(Full email address available in API data)
Industry Affiliates
| ARX INVESTIMENTOS LTDA | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| BNY MELLON ADVISORS, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| BNY MELLON ALOCACAO DE PATRIMONIO LTDA | Other investment adviser, including financial planners |
| BNY MELLON ASSET MANAGEMENT CANADA LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| BNY MELLON BANCO S.A. | Banking or thrift institutionTrust company |
| BNY MELLON CAPITAL MARKETS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerRegistered municipal advisor |
| BNY MELLON ETF INVESTMENT ADVISER, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| BNY MELLON FUND MANAGEMENT (LUXEMBOURG) S.A. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BNY MELLON IM KOREA LIMITED | Other investment adviser, including financial planners |
| BNY MELLON IM TAIWAN SECURITIES INVESTMENT CONSULTING CO., LTD | Other investment adviser, including financial planners |
| BNY MELLON INTERNATIONAL MANAGEMENT LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BNY MELLON INVESTMENT ADVISER, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| BNY MELLON INVESTMENT MANAGEMENT (SHANGHAI) LIMITED | Other investment adviser, including financial planners |
| BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| BNY MELLON INVESTMENT MANAGEMENT JAPAN LIMITED | Other investment adviser, including financial planners |
| BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED | Other investment adviser, including financial planners |
| BNY MELLON NATIONAL ASSOCIATION | Other investment adviser, including financial plannersBanking or thrift institutionTrust company |
| BNY MELLON SECURITIES CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| BNY MELLON SERVICOS FINANCEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) SA | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| BNY MELLON TRUST COMPANY OF ILLINOIS | Banking or thrift institutionTrust company |
| BNY MELLON TRUST OF DELAWARE | Other investment adviser, including financial plannersBanking or thrift institutionTrust company |
| CIBC MELLON GLOBAL SECURITIES SERVICES COMPANY | Banking or thrift institutionTrust company |
| CIBC MELLON TRUST COMPANY | Banking or thrift institutionTrust company |
| IM EMEA | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| INSIGHT INVESTMENT | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| INSIGHT INVESTMENT | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| INSIGHT INVESTMENT AUSTRALIA PTY LIMITED | Other investment adviser, including financial planners |
| INSIGHT INVESTMENT FUNDS MANAGEMENT LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| INSIGHT INVESTMENT MANAGEMENT (GLOBAL) LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| INSIGHT INVESTMENT MANAGEMENT EUROPE LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| MELLON HEDGE ADVISORS | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| MELLON INVESTMENTS CORPORATION | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| MFM | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NEWTON INVESTMENT MANAGEMENT JAPAN LTD | Other investment adviser, including financial planners |
| NEWTON INVESTMENT MANAGEMENT NORTH AMERICA | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PERSHING (CHANNEL ISLANDS) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING ADVISOR SOLUTIONS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING SECURITIES CANADA | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING SECURITIES INTERNATIONAL LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING SECURITIES LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING SECURITIES SINGAPORE PRIVATE LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| THE BANK OF NEW YORK MELLON | Other investment adviser, including financial plannersBanking or thrift institutionTrust company |
| THE BANK OF NEW YORK MELLON (INTERNATIONAL) LIMITED | Banking or thrift institutionTrust company |
| THE BANK OF NEW YORK MELLON SA/NV | Banking or thrift institution |
| THE BANK OF NEW YORK MELLON SECURITIES COMPANY JAPAN LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. | Banking or thrift institutionTrust company |
| THE BANK OF NEW YORK MELLON, S.A., INSTITUCION DE BANCA MULTIPLE | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersTrust company |
| WALTER SCOTT & PARTNERS LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| THE BANK OF NEW YORK MELLON CORPORATION | Domestic Entity | BNY MELLON IHC, LLC | OWNER | 07/2007 | > 75% |
| BNY MELLON IHC, LLC | Domestic Entity | MBC INVESTMENTS CORPORATION | OWNER | 04/2017 | > 75% |
| MBC INVESTMENTS CORPORATION | Domestic Entity | BNY MELLON INVESTMENT MANAGEMENT (JERSEY) LIMITED | OWNER | 11/2012 | > 75% |
| NEWTON MANAGEMENT LIMITED | Foreign Entity | – | OWNER | 01/1992 | > 75% |
| BNY MELLON INVESTMENT MANAGEMENT (JERSEY) LIMITED | Foreign Entity | BNY MELLON INVESTMENT MANAGEMENT EUROPE HOLDINGS LIMITED | OWNER | 11/2012 | > 75% |
| BNY MELLON INVESTMENT MANAGEMENT EUROPE HOLDINGS LIMITED | Foreign Entity | BNY MELLON INTERNATIONAL ASSET MANAGEMENT GROUP LIMITED | OWNER | 02/2013 | > 75% |
| BNY MELLON INTERNATIONAL ASSET MANAGEMENT GROUP LIMITED | Foreign Entity | NEWTON MANAGEMENT LIMITED | OWNER | 01/1992 | > 75% |
| CARTER, KEVIN, JAMES | Individual | – | INDEPENDENT NON-EXECUTIVE DIRECTOR | 03/2019 | < 5% |
| ROACH, ELIZABETH, ANNE | Individual | – | CHIEF COMPLIANCE OFFICER | 05/2020 | < 5% |
| SMITS, HANNEKE, (NMI) | Individual | – | NON-EXECUTIVE DIRECTOR | 10/2020 | < 5% |
| MUNRO, EUAN, GEORGE | Individual | – | CHIEF EXECUTIVE OFFICER & DIRECTOR | 06/2021 | < 5% |
| FRENCH, SHARON | Individual | – | INDEPENDENT NON-EXECUTIVE DIRECTOR | 12/2021 | < 5% |
| MARLINSKI, JUDY | Individual | – | INDEPENDENT NON-EXECUTIVE DIRECTOR | 07/2022 | < 5% |
| MILLER, JOHN, RANDOLPH | Individual | – | INDEPENDENT NON EXECUTIVE DIRECTOR | 02/2023 | < 5% |
| HELBY, JAMES, MORECROFT | Individual | – | CHIEF RISK OFFICER & DIRECTOR | 04/2023 | < 5% |