T. ROWE PRICE ADVISORY SERVICES, INC.
Adviser information for T. ROWE PRICE ADVISORY SERVICES, 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 | Maryland, United States |
Employees
| Total Number of Employees | 58 |
|---|---|
| Investment Advisory/Research | 42 |
| Registered Broker-Dealer Representatives | 53 |
| Registered State Investment Advisers | 52 |
| 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 | 7,398 | $2.6B |
| Non-Discretionary | 0 | $0 |
| Total | 7,398 | $2.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 7,397 | $2.6B |
| 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 | 1 | $794,313 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 6500 |
Services
| Advisory Services | Financial planningPortfolio management for individuals and/or small businesses |
|---|---|
| Compensation | % of AUMSEE SCHEDULE D |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-58098 |
|---|---|
| SEC ERA File Number | 801-58098 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 108958 |
| Legal Entity Identifier | None |
Principal Office
4515 PAINTERS MILLS ROADOWINGS MILLS
MD
United States
Monday - Friday, 8:00 A.M. - 5:00 P.M.
Tel: 800-225-5132, Fax: 410-345-6575
Chief Compliance Officer
STEPHANIE MUMFORD
CHIEF COMPLIANCE OFFICER
4515 PAINTERS MILL ROAD, OM-2225
OWINGS MILLS
MD
United States
Tel:
410-345-6638
Fax:
410-577-5435
S****************@*************M
(Full email address available in API data)
Regulatory Contact
MICHELLE NELSON
VICE PRESIDENT
4515 PAINTERS MILL ROAD
OWINGS MILLS
MD
United States
Tel:
410-577-5362
Fax:
410-345-6575
M**************@*************M
(Full email address available in API data)
Industry Affiliates
| OAK HILL ADVISORS (AUSTRALIA) PTY LTD | Other investment adviser, including financial planners |
| OAK HILL ADVISORS (EUROPE) LLP | Other investment adviser, including financial planners |
| OAK HILL ADVISORS, L.P. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| OHA (UK) LLP | Other investment adviser, including financial planners |
| OHA PRIVATE CREDIT ADVISORS II, L.P. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| OHA PRIVATE CREDIT ADVISORS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| T. ROWE PRICE (CANADA), INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| T. ROWE PRICE (LUXEMBOURG) MANAGEMENT, S.A.R.L. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| T. ROWE PRICE ASSOCIATES, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| T. ROWE PRICE AUSTRALIA LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| T. ROWE PRICE INTERNATIONAL LTD | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| T. ROWE PRICE INVESTMENT SERVICES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| T. ROWE PRICE JAPAN, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| T. ROWE PRICE SINGAPORE PRIVATE LTD | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| T. ROWE PRICE TRUST COMPANY | Trust companySponsor, GP, manager of pooled investment vehicles |
| T.ROWE PRICE HONG KONG LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| T.ROWE PRICE INVESTMENT MANAGEMENT, INC. | 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 |
|---|---|---|---|---|---|
| T. ROWE PRICE GROUP, INC. | Domestic Entity | – | DIRECT OWNER | 09/2000 | > 75% |
| MUMFORD, STEPHANIE, PETERS | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2018 | < 5% |
| Korenman, Phillip | Individual | – | PRESIDENT/DIRECTOR | 01/2022 | < 5% |
| THOMPSON, TOBY, MARCUS | Individual | – | DIRECTOR | 01/2022 | < 5% |
| Gross, Craig, Michael | Individual | – | DIRECTOR | 01/2022 | < 5% |
| Johnson, Christine, Marie | Individual | – | DIRECTOR | 01/2022 | < 5% |