CAPITAL RESEARCH AND MANAGEMENT COMPANY
Adviser information for CAPITAL RESEARCH AND MANAGEMENT COMPANY last updated from Form ADV on March 1st, 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 | JUNE |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 1331 |
|---|---|
| Investment Advisory/Research | 362 |
| 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 | 18,358 | $2936.6B |
| Non-Discretionary | 0 | $0 |
| Total | 18,358 | $2936.6B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 18,046 | $8.9B |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 123 | $2841.8B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 49 | $78.2B |
| 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 | 129 | $256.8M |
| Other | 11 | $7.4B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 8 |
| No. of Non-U.S. Clients | 1 |
Services
| Advisory Services | Portfolio management for individuals and/or small businessesPortfolio management for investment companiesPortfolio management for pooled investment vehiclesPORTFOLIO MANAGEMENT FOR SMA AND WRAP FEE PROGRAMS |
|---|---|
| Compensation | % of AUMGROSS INVESTMENT INCOME |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Wrap Fee Program
| Offers Wrap Fee Program | Yes |
|---|
| Acting As | RAUM |
|---|---|
| Sponsor | 0 |
| Portfolio Manager | 16.4B |
| Both for Same | 0 |
| Portfolio Manager to Program | Sponsor |
|---|---|
| MANAGED ACCOUNT COMMAND (LOCKWOOD) | ARVEST WEALTH MANAGEMENT |
| MANAGED ACCOUNT COMMAND (LOCKWOOD) | FOLGER NOLAN FLEMING DOUGLAS INCORPORATED |
| MANAGER SELECT / MANAGER ACCESS SELECT (LPL) | EQUITABLE ADVISORS, LLC |
| MANAGED ACCOUNT COMMAND (LOCKWOOD) | BENJAMIN F. EDWARDS WEALTH MANAGEMENT, LLC |
| MANAGED ACCOUNT COMMAND (LOCKWOOD) | HSBC SECURITIES (USA) INC. |
| RJCS | RAYMOND JAMES (USA) LTD |
| ACCESS/SWP | UBS SECURITIES LLC |
| CES | MORGAN STANLEY |
| MAC | UBS SECURITIES LLC |
| PRIVATE ADVISOR NETWORK | WELLS FARGO CLEARING SERVICES, LLC |
| PWM | GOLDMAN SACHS & CO. LLC |
| NINE POINTS ADVISORY SERVICES | AMERICAN PORTFOLIOS ADVISORS, INC |
| MANAGED ACCOUNT SOLUTIONS (ENVESTNET) | FIDELITY BROKERAGE SERVICES LLC |
| MANAGED ACCOUNT COMMAND (LOCKWOOD) | CITIGROUP GLOBAL MARKETS INC. |
| SEPARATE ACCOUNT NETWORK | FIDELITY BROKERAGE SERVICES LLC |
| MANAGED ACCOUNT COMMAND (LOCKWOOD) | HEFREN-TILLOTSON, INC. |
| ENVESTNET | ROCKEFELLER CAPITAL MANAGEMENT |
| BAIRD SMA NETWORK (ENVESTNET) | ROBERT W. BAIRD & CO. INCORPORATED |
| IMS | MORGAN STANLEY |
| ADVISOR'S PLATFORM | JANNEY MONTGOMERY SCOTT LLC |
| MY ADVICE ARCHITECT - (CIS) ENVESTNET | CETERA ADVISORS LLC |
| PMP | JPMORGAN DISTRIBUTION SERVICES, INC. |
| STRATIS | J.P. MORGAN SECURITIES LLC |
| MANAGER SELECT / MANAGER ACCESS SELECT | LPL FINANCIAL LLC |
| MANAGED ACCOUNT COMMAND (LOCKWOOD) | MONEY CONCEPTS ADVISORY SERVICE |
| MANAGED ACCOUNT COMMAND (LOCKWOOD) | PERSHING LLC |
| ENVESTNET DUAL CONTRACT | RBC CAPITAL MARKETS, LLC |
| MANAGED ACCOUNT MARKETPLACE | CHARLES SCHWAB & CO., INC. |
| SMA & UMA PLATFORMS | ENVESTNET PMC |
| SELECT UMA | MORGAN STANLEY |
| ENVESTNET | AMERICAN PORTFOLIOS ADVISORS, INC |
| ENVESTNET | PRINCIPAL SECURITIES, INC. |
| PORTFOLIO SELECT UMA | RAYMOND JAMES & ASSOCIATES, INC. |
| ENVESTNET | AMERIPRISE FINANCIAL SERVICES, LLC |
| ENVESTNET | CAMBRIDGE INVESTMENT RESEARCH, INC. |
| ENVESTNET | LINCOLN FINANCIAL ADVISORS CORPORATION |
| MANAGED ACCOUNT COMMAND (LOCKWOOD) | PERSHING LLC |
| SCHWAB MARKETPLACE | CALLAN FAMILY OFFICE, LLC |
| FOLIO/DYNAMIX | DYNASTY SECURITIES, LLC |
Identifiers
| SEC RIA File Number | 801-8055 |
|---|---|
| SEC ERA File Number | 801-8055 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 110885 |
| Legal Entity Identifier | M02M7XSKLMK96MWKNF95 |
Principal Office
333 S HOPE STREET55TH FLOOR
LOS ANGELES
CA
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 213-486-9200, Fax: None
Websites
www.instagram.com/thecapitalideas/
www.linkedin.com/company/capital-group
www.myplanrs.com/tf/myplan/sponsorwelcome?cz=3000518
www.myretirement.com/
www.retirementplaninsights.com/
www.youtube.com/c/capitalgroupvideos
pr.retire.americanfunds.com/
www.youtube.com/lifeatcapitalgroup
www.instagram.com/capitalgroup/
americanfundsretirement.retire.americanfunds.com/
planadmin-americanfunds.retirementpartner.com/planweb/#/login/?accu=instafcr&role=psc_tpa
twitter.com/capitalgroup
pro.capitalgroup.com/
sponsor-americanfunds.retirementpartner.com/planweb/#/login/?accu=instafcr&role=psc_user
www.capitalgroup.com
retirementsolutions.financialtrans.com/tf/myplan/mpnwelcome?cz=3000518
www.facebook.com/capitalgroup
www.icanretire.com/
Chief Compliance Officer
HERBERT Y. POON
333 SOUTH HOPE STREET
55TH FLOOR
LOS ANGELES
CA
United States
Tel:
213-615-0432
H**@***********M
(Full email address available in API data)
Industry Affiliates
| AMERICAN FUNDS DISTRIBUTORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| CAPITAL BANK AND TRUST COMPANY | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorBanking or thrift institutionTrust companySponsor, GP, manager of pooled investment vehicles |
| CAPITAL GROUP INVESTMENT MANAGEMENT PTE. LTD. | Other investment adviser, including financial planners |
| CAPITAL GROUP PRIVATE CLIENT SERVICES, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| CAPITAL GROUP UK MANAGEMENT COMPANY LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| CAPITAL GUARDIAN (CANADA), INC. | Other investment adviser, including financial planners |
| CAPITAL INTERNATIONAL ASSET MANAGEMENT (CANADA), INC. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CAPITAL INTERNATIONAL K.K. | Other investment adviser, including financial planners |
| CAPITAL INTERNATIONAL LIMITED | Other investment adviser, including financial planners |
| CAPITAL INTERNATIONAL MANAGEMENT COMPANY S�RL | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| CAPITAL INTERNATIONAL S�RL | Other investment adviser, including financial planners |
| CAPITAL INTERNATIONAL, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| CAPITAL RESEARCH COMPANY | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| THE CAPITAL GROUP COMPANIES, INC. | Domestic Entity | – | STOCKHOLDER | 02/1967 | > 75% |
| SPINELLA, CARMELO | Individual | – | DIRECTOR, TREASURER | 07/2009 | < 5% |
| O'CONNOR, MATTHEW, PHILIP | Individual | – | DIRECTOR | 09/2015 | < 5% |
| POON, HERBERT, YUNGTAI | Individual | – | CHIEF COMPLIANCE OFFICER | 03/2019 | < 5% |
| KAWAJA, CARL, MICHAEL | Individual | – | DIRECTOR AND CHAIRMAN | 03/2019 | < 5% |
| GITLIN, MICHAEL, CRAIG | Individual | – | DIRECTOR AND VICE CHAIRMAN | 03/2019 | < 5% |
| TRIESSL, MICHAEL, JAMES | Individual | – | DIRECTOR | 03/2019 | < 5% |
| BURKLEY, WALTER, RODNEY | Individual | – | DIRECTOR | 11/2019 | < 5% |
| ARREDONDO, CANISE, MARIE | Individual | – | DIRECTOR, SENIOR VICE PRESIDENT & CHIEF FINANCIAL OFFICER | 11/2019 | < 5% |
| JONSSON, JOANNA, FOWLER | Individual | – | DIRECTOR, VICE CHAIR & PRESIDENT | 08/2020 | < 5% |
| WAESCHE, WILLIAM, HARDEN | Individual | – | DIRECTOR, SENIOR VICE PRESIDENT & CHIEF OPERATING OFFICER - INVESTMENT GROUP | 11/2020 | < 5% |
| LORD, HEATHER, MARIE | Individual | – | DIRECTOR | 11/2021 | < 5% |
| ATLURI, PRAMOD | Individual | – | DIRECTOR | 11/2021 | < 5% |
| DESSNER, MADDI, LYNN | Individual | – | DIRECTOR | 11/2021 | < 5% |
| ELLWEIN, CHARLES, ERWIN | Individual | – | DIRECTOR | 11/2021 | < 5% |
| MURESIANU, ANDREI, MICHAEL | Individual | – | DIRECTOR | 11/2021 | < 5% |
| ZARRAGA-URQUIJO, MARTA | Individual | – | DIRECTOR | 11/2021 | < 5% |
| Lotwin, Steven, David | Individual | – | DIRECTOR | 11/2022 | < 5% |
| FRAMSTED, HOLLY, CATHERINE | Individual | – | DIRECTOR | 11/2023 | < 5% |
| Abdey, Julian, N | Individual | – | DIRECTOR | 11/2023 | < 5% |
| PHOA, WESLEY, KYM-SON | Individual | – | DIRECTOR | 11/2023 | < 5% |