SCHRODERS CAPITAL MANAGEMENT (US) INC.
Adviser information for SCHRODERS CAPITAL MANAGEMENT (US) INC. last updated from Form ADV on March 20th, 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 | 157 |
|---|---|
| Investment Advisory/Research | 67 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 126 | $20.1B |
| Non-Discretionary | 17 | $2.4B |
| Total | 143 | $22.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | <5 | $61.8M |
| Banking or thrift institutions | 5 | $204.1M |
| Investment companies | 4 | $87.9M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 66 | $12.9B |
| Pension and profit sharing plans | 36 | $6.3B |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 5 | $301.2M |
| Other investment advisers | 0 | $0 |
| Insurance companies | 6 | $1.0B |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 12 | $1.6B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 58 |
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 | 801-69112 |
|---|---|
| SEC ERA File Number | 801-69112 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 145194 |
| Legal Entity Identifier | None |
Principal Office
7 BRYANT PARKSUITE 1600
NEW YORK
NY
United States
Monday - Friday, 9:00 AM TO 5:30 PM
Tel: 1-212-488-5330, Fax: None
Chief Compliance Officer
ANNE-JULIANE KNAUER
HEAD OF COMPLIANCE
56 AFFOLTERNSTRASSE
ZURICH
Switzerland
Tel:
+41 58 445 55 02
A******************@************M
(Full email address available in API data)
Regulatory Contact
A. LEE GARDELLA
HEAD OF PRIVATE EQUITY NORTH AMERICA
7 BRYANT PARK
SUITE 1600
NEW YORK
NY
United States
Tel:
1-212-488-5330
L***********@************M
(Full email address available in API data)
Industry Affiliates
| AAF MANAGEMENT I L.P. | Sponsor, GP, manager of pooled investment vehicles |
| AAF MANAGEMENT II L.P., | Sponsor, GP, manager of pooled investment vehicles |
| AAF MANAGEMENT III L.P. | Sponsor, GP, manager of pooled investment vehicles |
| AEROW SMA MANAGEMENT I L.P. | Sponsor, GP, manager of pooled investment vehicles |
| AEROW SMA MANAGEMENT II L.P. | Sponsor, GP, manager of pooled investment vehicles |
| EEM MANAGEMENT II L.P. | Sponsor, GP, manager of pooled investment vehicles |
| EEM MANAGEMENT L.P. | Sponsor, GP, manager of pooled investment vehicles |
| EEM OPPORTUNITIES MANAGEMENT L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODER ADVEQ EUROPE MANAGEMENT II L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODER ADVEQ EUROPE MANAGEMENT III L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODER ADVEQ TECHNOLOGY MANAGEMENT V L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODER ADVEQ TECHNOLOGY MANAGEMENT VI L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODER ADVEQ US MANAGEMENT I L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODER FUND ADVISORS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| SCHRODER INVESTMENT MANAGEMENT (EUROPE) S.A. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| SCHRODER INVESTMENT MANAGEMENT (JAPAN) LIMITED | Other investment adviser, including financial planners |
| SCHRODER INVESTMENT MANAGEMENT AUSTRALIA 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 NORTH AMERICA LTD | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| SCHRODERS CAPITAL MANAGEMENT (CURACAO) N.V. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL MANAGEMENT (JERSEY) LTD. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL MANAGEMENT (LUXEMBOURG) S.� R.L | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY ASIA MANAGEMENT I L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY ASIA MANAGEMENT II L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY ASIA MANAGEMENT III L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY ASIA MANAGEMENT IV L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY ASIA MANAGEMENT S.� R.L. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY EUROPE DIRECT MANAGEMENT L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY EUROPE MANAGEMENT IV A L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY EUROPE MANAGEMENT IV B L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY EUROPE MANAGEMENT V L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY EUROPE MANAGEMENT VI L.P | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY EUROPE MANAGEMENT VIII S.� R.L. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY GLOBAL DIRECT MANAGEMENT III S.� R.L. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY GLOBAL INNOVATION MANAGEMENT VII L.P | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY GLOBAL INNOVATION MANAGEMENT VIII L.P | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY GLOBAL INNOVATION MANAGEMENT X S.� R.L. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY GLOBAL MANAGEMENT I L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY GLOBAL MANAGEMENT III S.� R.L. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY HEALTHCARE MANAGEMENT S.� R.L. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY SECONDARIES MANAGEMENT I L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY SECONDARIES MANAGEMENT II L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY SECONDARIES MANAGEMENT III L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY SECONDARIES MANAGEMENT IV S.� R.L. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY US MANAGEMENT II L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY US MANAGEMENT III L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY US MANAGEMENT IV L.P. | Sponsor, GP, manager of pooled investment vehicles |
| SCHRODERS CAPITAL PRIVATE EQUITY US MANAGEMENT V S.� R.L. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| AAF I L.P. | Private Equity Fund | $13.2M | $0.0M | 2 |
| AAF II L.P. | Private Equity Fund | $15.2M | $0.0M | 2 |
| AAF III L.P. | Private Equity Fund | $34.8M | $0.0M | 2 |
| AEROW SMA I L.P. | Private Equity Fund | $343.5M | $0.0M | 2 |
| AEROW SMA II L.P. | Private Equity Fund | $226.0M | $0.0M | 2 |
| EEM II L.P. | Private Equity Fund | $19.7M | $0.0M | 2 |
| EEM L.P. | Private Equity Fund | $108.5M | $0.0M | 2 |
| EEM OPPORTUNITIES L.P. | Private Equity Fund | $175.4M | $0.0M | 2 |
| SA-EL ASIA I S.C.S. | Private Equity Fund | $31.9M | $0.0M | 2 |
| SA-EL II S.C.S. | Private Equity Fund | $125.3M | $0.0M | 2 |
| SA-EL OPPORTUNITY S.C.S. | Private Equity Fund | $28.8M | $0.0M | 2 |
| SC GLOBAL OPPORTUNITIES S.L.P. | Private Equity Fund | $246.1M | $0.0M | 2 |
| SCHRODER ADVEQ EUROPE II L.P. | Private Equity Fund | $4.0M | $5.5M | 31 |
| SCHRODER ADVEQ EUROPE III L.P. | Private Equity Fund | $22.7M | $5.5M | 25 |
| SCHRODER ADVEQ TECHNOLOGY V C.V. | Private Equity Fund | $3.2M | $5.0M | 23 |
| SCHRODER ADVEQ TECHNOLOGY VI C.V. | Private Equity Fund | $58.9M | $5.0M | 12 |
| SCHRODERS CAPITAL MULTI PRIVATE CREDIT L.P. | Private Equity Fund | $104.9M | $6.8M | 4 |
| SCHRODERS CAPITAL PRIVATE EQUITY ASIA IV L.P. | Private Equity Fund | $128.5M | $5.0M | 15 |
| SCHRODERS CAPITAL PRIVATE EQUITY ASIA C.V. | Private Equity Fund | $16.5M | $5.0M | 25 |
| SCHRODERS CAPITAL PRIVATE EQUITY ASIA II C.V. | Private Equity Fund | $98.0M | $5.0M | 20 |
| SCHRODERS CAPITAL PRIVATE EQUITY ASIA III L.P. | Private Equity Fund | $129.9M | $5.0M | 16 |
| SCHRODERS CAPITAL PRIVATE EQUITY ASIA V S.C.S. | Private Equity Fund | $226.6M | $5.0M | 20 |
| SCHRODERS CAPITAL PRIVATE EQUITY ASIA VI S.C.S. | Private Equity Fund | $52.5M | $1.0M | 3 |
| SCHRODERS CAPITAL PRIVATE EQUITY CHINA II S.C.S | Private Equity Fund | $193.5M | $0.0M | 4 |
| SCHRODERS CAPITAL PRIVATE EQUITY CHINA III S.C.S. | Private Equity Fund | $67.8M | $0.0M | 2 |
| SCHRODERS CAPITAL PRIVATE EQUITY CHINA IV S.C.S. | Private Equity Fund | $63.6M | $0.0M | 2 |
| SCHRODERS CAPITAL PRIVATE EQUITY CHINA S.C.S. | Private Equity Fund | $80.7M | $0.0M | 3 |
| SCHRODERS CAPITAL PRIVATE EQUITY CHINA V S.C.S. | Private Equity Fund | $19.8M | $0.0M | 2 |
| SCHRODERS CAPITAL PRIVATE EQUITY ELTIF 2023 | Private Equity Fund | $0.0M | $0.0M | 0 |
| SCHRODERS CAPITAL PRIVATE EQUITY EUROPE DIRECT II S.C.S. | Private Equity Fund | $397.7M | $5.5M | 10 |
| SCHRODERS CAPITAL PRIVATE EQUITY EUROPE DIRECT III S.C.S. | Private Equity Fund | $308.3M | $1.0M | 12 |
| SCHRODERS CAPITAL PRIVATE EQUITY EUROPE DIRECT L.P. | Private Equity Fund | $99.1M | $5.5M | 12 |
| SCHRODERS CAPITAL PRIVATE EQUITY EUROPE IV A C.V. | Private Equity Fund | $63.3M | $5.5M | 12 |
| SCHRODERS CAPITAL PRIVATE EQUITY EUROPE IV B C.V. | Private Equity Fund | $70.0M | $5.5M | 11 |
| SCHRODERS CAPITAL PRIVATE EQUITY EUROPE IX S.C.S. | Private Equity Fund | $88.6M | $5.5M | 6 |
| SCHRODERS CAPITAL PRIVATE EQUITY EUROPE V L.P. | Private Equity Fund | $152.8M | $5.5M | 23 |
| SCHRODERS CAPITAL PRIVATE EQUITY EUROPE VI L.P. | Private Equity Fund | $456.1M | $5.5M | 20 |
| SCHRODERS CAPITAL PRIVATE EQUITY EUROPE VII S.C.S. | Private Equity Fund | $902.1M | $5.0M | 22 |
| SCHRODERS CAPITAL PRIVATE EQUITY EUROPE VIII S.C.S. | Private Equity Fund | $462.0M | $5.5M | 24 |
| SCHRODERS CAPITAL PRIVATE EQUITY GLOBAL DIRECT III EUR S.C.S. | Private Equity Fund | $289.2M | $5.0M | 18 |
| SCHRODERS CAPITAL PRIVATE EQUITY GLOBAL DIRECT III USD S.C.S. | Private Equity Fund | $176.2M | $5.5M | 10 |
| SCHRODERS CAPITAL PRIVATE EQUITY GLOBAL DIRECT IV EUR S.C.S. | Private Equity Fund | $0.0M | $5.5M | 0 |
| SCHRODERS CAPITAL PRIVATE EQUITY GLOBAL DIRECT IV USD S.C.S. | Private Equity Fund | $0.0M | $6.3M | 0 |
| SCHRODERS CAPITAL PRIVATE EQUITY GLOBAL II S.C.S. | Private Equity Fund | $417.9M | $5.5M | 23 |
| SCHRODERS CAPITAL PRIVATE EQUITY GLOBAL III EUR S.C.S. | Private Equity Fund | $338.5M | $5.5M | 25 |
| SCHRODERS CAPITAL PRIVATE EQUITY GLOBAL III USD S.C.S. | Private Equity Fund | $0.0M | $5.0M | 0 |
| SCHRODERS CAPITAL PRIVATE EQUITY GLOBAL INNOVATION IX S.C.S. | Private Equity Fund | $296.8M | $5.0M | 13 |
| SCHRODERS CAPITAL PRIVATE EQUITY GLOBAL INNOVATION VII L.P. | Private Equity Fund | $229.8M | $5.0M | 8 |
| SCHRODERS CAPITAL PRIVATE EQUITY GLOBAL INNOVATION VIII L.P. | Private Equity Fund | $222.8M | $5.0M | 12 |
| SCHRODERS CAPITAL PRIVATE EQUITY GLOBAL INNOVATION X S.C.S. | Private Equity Fund | $451.9M | $5.0M | 28 |
| SCHRODERS CAPITAL PRIVATE EQUITY GLOBAL INNOVATION XI S.C.S. | Private Equity Fund | $303.5M | $1.0M | 26 |
| SCHRODERS CAPITAL PRIVATE EQUITY GLOBAL L.P. | Private Equity Fund | $389.1M | $5.5M | 16 |
| SCHRODERS CAPITAL PRIVATE EQUITY HEALTHCARE S.C.S. | Private Equity Fund | $97.0M | $5.5M | 8 |
| SCHRODERS CAPITAL PRIVATE EQUITY INDIA S.C.S. | Private Equity Fund | $84.7M | $5.0M | 3 |
| SCHRODERS CAPITAL PRIVATE EQUITY SECONDARIES II L.P. | Private Equity Fund | $59.6M | $5.0M | 12 |
| SCHRODERS CAPITAL PRIVATE EQUITY SECONDARIES C.V. | Private Equity Fund | $15.4M | $5.0M | 3 |
| SCHRODERS CAPITAL PRIVATE EQUITY SECONDARIES III L.P. | Private Equity Fund | $395.7M | $5.5M | 19 |
| SCHRODERS CAPITAL PRIVATE EQUITY SECONDARIES IV EUR S.C.S. | Private Equity Fund | $382.3M | $5.5M | 19 |
| SCHRODERS CAPITAL PRIVATE EQUITY SECONDARIES IV USD S.C.S. | Private Equity Fund | $53.5M | $5.0M | 9 |
| SCHRODERS CAPITAL PRIVATE EQUITY US III L.P. | Private Equity Fund | $101.0M | $5.0M | 11 |
| SCHRODERS CAPITAL PRIVATE EQUITY US V S.C.S. | Private Equity Fund | $246.1M | $5.0M | 22 |
| SCHRODERS CAPITAL PRIVATE EQUITY US II C.V. | Private Equity Fund | $42.0M | $5.0M | 22 |
| SCHRODERS CAPITAL PRIVATE EQUITY US IV L.P. | Private Equity Fund | $107.3M | $5.0M | 11 |
| SCHRODERS CAPITAL PRIVATE EQUITY US VI S.C.S. | Private Equity Fund | $94.2M | $1.0M | 11 |
| SCHRODERS CAPITAL SEMI-LIQUID CIRCULAR ECONOMY PRIVATE PLUS | Private Equity Fund | $26.0M | $0.1M | 14 |
| SCHRODERS CAPITAL SEMI-LIQUID GLOBAL INNOVATION PRIVATE PLUS | Private Equity Fund | $44.8M | $0.1M | 11 |
| SCHRODERS CAPITAL SEMI-LIQUID GLOBAL PRIVATE EQUITY | Private Equity Fund | $1,388.9M | $0.1M | 55 |
| SCHRODERS CAPITAL TAFT-HARTLEY VENTURES S.C.S. | Private Equity Fund | $81.1M | $0.0M | 9 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| SCHRODERS US HOLDINGS INC | Domestic Entity | – | OWNER | 06/2023 | > 75% |
| RASCHLE, BRUNO, EDUARD | Individual | – | VICE CHAIRMAN OF THE BOARD | 06/1997 | < 5% |
| ENDER, RAINER, MARKUS | Individual | – | GLOBAL HEAD OF PRIVATE EQUITY | 01/2006 | < 5% |
| RODE, NILS, (NMN) | Individual | – | CHIEF INVESTMENT OFFICER | 05/2008 | < 5% |
| GARDELLA, LEE, ANTHONY | Individual | – | HEAD OF PRIVATE EQUITY NORTH AMERICA | 05/2008 | < 5% |
| KNAUER, ANNE-JULIANE | Individual | – | HEAD OF COMPLIANCE (CCO) | 05/2012 | < 5% |
| CREED, TIMOTHY, SEBASTIAN | Individual | – | HEAD OF PRIVATE EQUITY'S INVESTMENTS | 07/2012 | < 5% |
| ARNOLD, PETER, CHRISTOPHER | Individual | – | CHIEF OPERATING OFFICER, PRIVATE ASSETS | 05/2017 | < 5% |
| MILLS, STEPHEN, JONATHAN | Individual | – | EXECUTIVE CHAIRMAN OF THE BOARD | 07/2017 | < 5% |
| SCHRODER INTERNATIONAL HOLDINGS LIMITED | Foreign Entity | SCHRODERS US HOLDINGS INC | SHAREHOLDER | 12/1980 | > 75% |
| SCHRODER ADMINISTRATION LTD | Foreign Entity | SCHRODER INTERNATIONAL HOLDINGS LIMITED | SHAREHOLDER | 06/2004 | > 75% |
| SCHRODERS PLC | Foreign Entity | SCHRODER ADMINISTRATION LTD | SHAREHOLDER | 06/2004 | > 75% |
| UNTERSANDER, PASCAL, NMN | Individual | – | HEAD OF RISK MANAGEMENT | 01/2019 | < 5% |
| WUNDERLIN, GEORG, FRITZ | Individual | – | GLOBAL HEAD OF SCHRODERS CAPITAL | 09/2019 | < 5% |
| DILLINGER, DIRK, NMN | Individual | – | HEAD OF FINANCE | 07/2022 | < 5% |
| GASSER, SVEN, MARC | Individual | – | HEAD OF OPERATIONS PRIVATE EQUITY AND SOLUTIONS | 07/2017 | < 5% |
| ALDAG, STEPHANIE, (NMN) | Individual | – | GENERAL COUNSEL PRIVATE EQUITY | 07/2017 | < 5% |