ITAU USA ASSET MANAGEMENT
ITAU USA ASSET MANAGEMENT INC. Legal Name
Adviser information for ITAU USA ASSET MANAGEMENT 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 | Delaware, United States |
Employees
| Total Number of Employees | 21 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 4 |
| 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 | 45 | $8.0B |
| Non-Discretionary | 0 | $0 |
| Total | 45 | $8.0B |
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 | 45 | $6.5B |
| 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 | <5 | $1.5B |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 15 |
| No. of Non-U.S. Clients | 97 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMFixed feesPerformance-based feesPAYMENT OF INDIRECT AND DIRECT EXPENSES +ADMINISTRATIVE FEE |
Identifiers
| SEC RIA File Number | 801-72400 |
|---|---|
| SEC ERA File Number | 801-72400 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 156313 |
| Legal Entity Identifier | 549300ZX68T8893U6096 |
Principal Office
540 MADISON AVENUE24TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM TO 6PM
Tel: 212-845-0600, Fax: 212-888-9342
Chief Compliance Officer
KENNETH GOODALL
CHIEF COMPLIANCE OFFICER
540 MADISON AVENUE
24TH FLOOR
NEW YORK
NY
United States
Tel:
212-845-0600
Fax:
212-888-8347
K**********@******S
(Full email address available in API data)
Regulatory Contact
DEAN S. REICHE
VICE PRESIDENT, COMPLIANCE
540 MADISON AVENUE
24TH FLOOR
NEW YORK
NY
United States
Tel:
212-845-0600
Fax:
212-888-8347
D**********@******S
(Full email address available in API data)
Industry Affiliates
| BANCO ITAU INTERNATIONAL | Banking or thrift institution |
| BANCO ITA� (SUISSE) | Other investment adviser, including financial plannersBanking or thrift institution |
| ITAU ADMINISTRADORA GENERAL DE FONDOS S.A. | Other investment adviser, including financial planners |
| ITAU BBA EUROPE, S.A. | Other investment adviser, including financial plannersBanking or thrift institution |
| ITAU BBA USA SECURITIES, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| ITAU INTERNATIONAL SECURITIES INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| ITAU UNIBANCO ASSET MANAGEMENT LTDA | Other investment adviser, including financial planners |
| ITA� DISTRIBUIDORA DE T�TULOS E VALORES MOBILI�RIOS S.A. | Other investment adviser, including financial planners |
| ITA� UNIBANCO | Other investment adviser, including financial plannersBanking or thrift institution |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ITA� UNIBANCO HOLDING S.A. | Foreign Entity | ITA� UNIBANCO S.A. | SHAREHOLDER | 02/2009 | > 75% |
| PIPER, WILLIAM, SCOTT | Individual | – | CHIEF INVESTMENT OFFICER | 06/2012 | < 5% |
| ITB HOLDING BRASIL PARTICIPA��ES LTDA | Foreign Entity | – | SHAREHOLDER | 12/2016 | > 75% |
| ITA� UNIBANCO S.A. | Foreign Entity | ITB HOLDING BRASIL PARTICIPA��ES LTDA | SHAREHOLDER | 11/2004 | > 75% |
| MCCLANAN, JULIA, CHEN | Individual | – | GENERAL MANAGER | 03/2024 | < 5% |
| GOODALL, KENNETH, RAY | Individual | – | CHIEF COMPLIANCE OFFICER | 09/2018 | < 5% |
| DUARTE, JOAN, CHRISTINE | Individual | – | DIRECTOR | 05/2021 | < 5% |
| GRECCO, TATIANA, NMN | Individual | – | DIRECTOR | 05/2021 | < 5% |
| SALAMONDE, CARLOS, AUGUSTO | Individual | – | DIRECTOR | 05/2021 | < 5% |