NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC.
Adviser information for NORDEA INVESTMENT MANAGEMENT NORTH AMERICA, INC. last updated from Form ADV on March 26th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 4 |
|---|---|
| Investment Advisory/Research | 2 |
| 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 | 5 | $884.0M |
| Non-Discretionary | 0 | $0 |
| Total | 5 | $884.0M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $371.0M |
| 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 | <5 | $513.0M |
| 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 | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
1211 AVENUE OF THE AMERICAS23RD FLOOR
NEW YORK
NY
United States
Monday - Friday, 8:00 A.M. TO 5:00 P.M.
Tel: 212-318-9300, Fax: 212-603-2859
Chief Compliance Officer
JAMES O'CONNOR
6TH FLOOR, ALDERMANBURY SQUARE
LONDON
United Kingdom
Tel:
004555469199
J************@*********M
(Full email address available in API data)
Regulatory Contact
CHRISTOPHER SPITLER
CEO AND PRESIDENT
1211 AVENUE OF THE AMERICAS
23RD FLOOR
NEW YORK
NY
United States
Tel:
212-318-9597
C*************************@*********M
(Full email address available in API data)
Industry Affiliates
| NORDEA ASSET MANAGEMENT SINGAPORE PTE. LTD | Other investment adviser, including financial planners |
| NORDEA ASSET MANAGEMENT UK LTD. | Other investment adviser, including financial planners |
| NORDEA BANK ABP | Banking or thrift institution |
| NORDEA INVESTMENT FUNDS S.A. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| NORDEA INVESTMENT MANAGEMENT AB | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| NORDEA PRIVATE EQUITY HOLDING | Sponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| NORDEA SECURITIES LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| NORDEA INVESTMENT MANAGEMENT AB | Foreign Entity | – | OWNER | 07/2005 | > 75% |
| NORDEA BANK ABP | Foreign Entity | NORDEA ASSET MANAGEMENT HOLDING AB | OWNER | 12/2001 | > 75% |
| SINGER, JARRETT, GLEN | Individual | – | CHIEF FINANCIAL OFFICER | 03/2004 | < 5% |
| NORDEA ASSET MANAGEMENT HOLDING AB | Foreign Entity | NORDEA INVESTMENT MANAGEMENT AB | OWNER | 10/2017 | > 75% |
| SPITLER, CHRISTOPHER, GRANNIS | Individual | – | CEO & PRESIDENT | 11/2020 | < 5% |
| VIKMAN, MARIA, HENRIKA | Individual | – | CHAIRPERSON & DIRECTOR | 08/2021 | < 5% |
| O'CONNOR, JAMES, PETER | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |
| Edstrom Larsson, Linn, Maria | Individual | – | DIRECTOR | 07/2023 | < 5% |