LGIM AMERICA
LEGAL & GENERAL INVESTMENT MANAGEMENT AMERICA INC. Legal Name
Adviser information for LGIM AMERICA last updated from Form ADV on March 29th, 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 | 286 |
|---|---|
| Investment Advisory/Research | 85 |
| Registered Broker-Dealer Representatives | 3 |
| 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 | 554 | $222.1B |
| Non-Discretionary | 5 | $263.4M |
| Total | 559 | $222.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 7 | $7.8B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 50 | $39.3B |
| Pension and profit sharing plans | 104 | $44.7B |
| Charitable organizations | <5 | $273.8M |
| State or municipal gov entities | 6 | $8.7B |
| Other investment advisers | 17 | $107.8B |
| Insurance companies | 9 | $7.8B |
| Sovereign wealth funds and foreign official institutions | <5 | $466.6M |
| Corporations or other businesses | 7 | $5.0B |
| Other | 4 | $464.2M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 5 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Identifiers
| SEC RIA File Number | 801-69862 |
|---|---|
| SEC ERA File Number | 801-69862 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 149156 |
| Legal Entity Identifier | 549300M32WBVVFDTS111 |
Principal Office
71 SOUTH WACKER DRIVESUITE 800
CHICAGO
IL
United States
Monday - Friday, 8.00 AM TO 5.00 PM
Tel: 312-585-0300, Fax: 312-229-6455
Chief Compliance Officer
MICHAEL CHICK
71 S WACKER DRIVE
SUITE 800
CHICAGO
IL
United States
Tel:
(312) 585-0300
M*********@********M
(Full email address available in API data)
Regulatory Contact
AMANDA HARB
SENIOR COMPLIANCE OFFICER
71 S WACKER DRIVE
SUITE 800
CHICAGO
IL
United States
Tel:
319-964-3098
A**********@********M
(Full email address available in API data)
Industry Affiliates
| LEGAL & GENERAL (UNIT TRUST MANAGERS) LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| LEGAL & GENERAL AMERICA INC. | Insurance company or agency |
| LEGAL & GENERAL INVESTMENT MANAGEMENT ASIA LIMITED | Other investment adviser, including financial planners |
| LEGAL & GENERAL INVESTMENT MANAGEMENT JAPAN KK | Other investment adviser, including financial planners |
| LEGAL & GENERAL INVESTMENT MANAGEMENT LIMITED | Other investment adviser, including financial planners |
| LEGAL & GENERAL PROPERTY LIMITED | Other investment adviser, including financial planners |
| LEGAL AND GENERAL ASSURANCE (PENSIONS MANAGEMENT) LIMITED | Insurance company or agency |
| LGIM (IRELAND) RISK MANAGEMENT SOLUTIONS PLC | Sponsor, GP, manager of pooled investment vehicles |
| LGIM COMMERCIAL LENDING LIMITED | Other investment adviser, including financial planners |
| LGIM INTERNATIONAL LTD | Other investment adviser, including financial planners |
| LGIM MANAGERS (EUROPE) LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| LGIM REAL ASSETS (OPERATOR) LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| L&G GLOBAL HIGH YIELD FUND, LLC | INDEX FUND | $87.9M | $0.5M | 2 |
| LEGAL & GENERAL DEVELOPED MULTI-FACTOR SL FUND, LLC | INDEX FUND | $207.1M | $0.5M | 4 |
| LEGAL & GENERAL MSCI CANADA FUND, LLC | Hedge Fund | $109.5M | $50.0M | 2 |
| LEGAL & GENERAL MSCI EAFE FUND, LLC | Hedge Fund | $1,086.6M | $50.0M | 13 |
| LEGAL & GENERAL MSCI EAFE SL FUND, LLC | Hedge Fund | $1,292.9M | $50.0M | 1 |
| LEGAL & GENERAL MSCI USA FUND, LLC | Hedge Fund | $226.5M | $50.0M | 1 |
| LEGAL & GENERAL MSCI WORLD EX USA FUND, LLC | Hedge Fund | $1,018.0M | $50.0M | 3 |
| LEGAL & GENERAL MSCI WORLD FUND, LLC | Hedge Fund | $324.0M | $50.0M | 3 |
| LEGAL & GENERAL RUSSELL 1000 FUND, LLC | Hedge Fund | $2,215.2M | $50.0M | 1 |
| LEGAL & GENERAL S&P 400 SL FUND | Hedge Fund | $246.7M | $50.0M | 2 |
| LEGAL & GENERAL S&P 500 FUND, LLC | Hedge Fund | $311.2M | $50.0M | 6 |
| LEGAL & GENERAL S&P 500 SL FUND, LLC | Hedge Fund | $534.3M | $50.0M | 1 |
| LEGAL & GENERAL S&P 600 SL FUND, LLC | Hedge Fund | $279.9M | $50.0M | 3 |
| LEGAL & GENERAL SCIENTIFIC BETA EMERGING MARKETS FUND, LLC | INDEX FUND | $36.2M | $0.5M | 1 |
| LGIMA LONG DURATION US CREDIT FUND, LLC | LONG DURATION FIXED INCOME FUND | $1,990.0M | $0.5M | 37 |
| LGIMA LONG DURATION US GOVERNMENT/CREDIT FUND, LLC | LONG DURATION FIXED INCOME FUND | $201.4M | $0.5M | 8 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| LEGAL & GENERAL INVESTMENT MANAGEMENT UNITED STATES (HOLDINGS) INC. | Domestic Entity | – | SHAREHOLDER | 05/2014 | > 75% |
| BENDER, JOHN, THOMAS | Individual | – | DIRECTOR | 01/2023 | < 5% |
| LEGAL & GENERAL GROUP PLC | Foreign Entity | LEGAL & GENERAL INVESTMENT MANAGEMENT (HOLDINGS), LTD. | SHAREHOLDER | 10/2001 | > 75% |
| LEGAL & GENERAL INVESTMENT MANAGEMENT (HOLDINGS), LTD. | Foreign Entity | LEGAL & GENERAL INVESTMENT MANAGEMENT UNITED STATES (HOLDINGS) INC. | SHAREHOLDER | 05/2014 | > 75% |
| RYAN, PATRICK, JOSEPH | Individual | – | CHIEF FINANCIAL OFFICER, DIRECTOR | 02/2015 | < 5% |
| KING, MICHELLE, SYLVIA | Individual | – | DIRECTOR | 08/2019 | < 5% |
| PANOS, BETH ANNE | Individual | – | HEAD OF HUMAN RESOURCES, DIRECTOR | 03/2021 | < 5% |
| ANDREWS, DONALD, OLIVER | Individual | – | HEAD OF CLIENT SOLUTIONS, DIRECTOR | 03/2021 | < 5% |
| St. Charles, Kristina, Lois Jean | Individual | – | GENERAL COUNSEL | 12/2022 | < 5% |
| GOTTSCHALCH, ALEXIA, KAROLINA | Individual | – | HEAD OF REAL ESTATE EQUITY | 01/2023 | < 5% |
| SHOUP, JASON, B | Individual | – | CHIEF INVESTMENT OFFICER | 01/2023 | < 5% |
| RAFFSTECK, CLAUDE, MICHEL | Individual | – | HEAD OF US OPERATIONS | 01/2023 | < 5% |
| CHICK, MICHAEL, STEPHEN | Individual | – | CHIEF COMPLIANCE OFFICER | 04/2023 | < 5% |
| PROCTER, KERRIGAN, WILLIAM | Individual | – | INTERIM HEAD OF LGIMA | 01/2023 | < 5% |