CAPITAL RESEARCH COMPANY
Adviser information for CAPITAL RESEARCH COMPANY last updated from Form ADV on November 21st, 2023. 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 | JUNE |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 90 |
|---|---|
| Investment Advisory/Research | 76 |
| 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 | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 1 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | INVESTMENT ADVISORY RESEARCH AND RELATED SERVICES TO 1 AFFILIATED COMPANY. |
|---|---|
| Compensation | AMOUNTS AGREED UPON BY REGISTRANT AND ITS AFFILIATE |
Identifiers
| SEC RIA File Number | 801-54942 |
|---|---|
| SEC ERA File Number | 801-54942 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110684 |
| Legal Entity Identifier | None |
Principal Office
333 SOUTH HOPE ST55TH FL
LOS ANGELES
CA
United States
Monday - Friday, 9:00 AM - 5:00 PM
Tel: 213-486-9200, Fax: None
Chief Compliance Officer
HERBERT Y. POON
333 SOUTH HOPE STREET, 55TH FLOOR
LOS ANGELES
CA
United States
Tel:
213-615-0432
H**@***********M
(Full email address available in API data)
Regulatory Contact
WALTER R. BURKLEY
DIRECTOR
333 SOUTH HOPE STREET, 55TH FLOOR
LOS ANGELES
CA
United States
Tel:
213-452-2060
W**@***********M
(Full email address available in API data)
Industry Affiliates
| AMERICAN FUNDS DISTRIBUTORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| CAPITAL BANK AND TRUST COMPANY | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorBanking or thrift institutionTrust companySponsor, GP, manager of pooled investment vehicles |
| CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| CAPITAL GROUP UK MANAGEMENT COMPANY LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| CAPITAL INTERNATIONAL K.K. | Other investment adviser, including financial planners |
| CAPITAL INTERNATIONAL LIMITED | Other investment adviser, including financial planners |
| CAPITAL INTERNATIONAL MANAGEMENT COMPANY SARL | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| CAPITAL INTERNATIONAL SARL | Other investment adviser, including financial planners |
| CAPITAL INTERNATIONAL, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | 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 |
|---|---|---|---|---|---|
| CAPITAL RESEARCH AND MANAGEMENT COMPANY | Domestic Entity | – | SHAREHOLDER | 08/1940 | > 75% |
| THE CAPITAL GROUP COMPANIES, INC. | Domestic Entity | CAPITAL RESEARCH AND MANAGEMENT COMPANY | SHAREHOLDER | 12/1984 | > 75% |
| SILVERMAN, SUSI, MICHELE | Individual | – | TREASURER | 01/2008 | < 5% |
| SPENCE, KIRSTEN | Individual | – | DIRECTOR | 04/2013 | < 5% |
| BURKLEY, WALTER, RODNEY | Individual | – | DIRECTOR | 09/2013 | < 5% |
| CHEN, NORIKO, HONDA | Individual | – | DIRECTOR, PRESIDENT, CHAIRMAN & PRINCIPAL EXECUTIVE OFFICER | 01/2019 | < 5% |
| POON, HERBERT, YUNGTAI | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2019 | < 5% |
| ESPIN, AARON | Individual | – | DIRECTOR | 11/2023 | < 5% |