BNY MELLON INVESTMENT ADVISER, INC.
Adviser information for BNY MELLON INVESTMENT ADVISER, INC. 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 | New York, United States |
Employees
| Total Number of Employees | 96 |
|---|---|
| Investment Advisory/Research | 23 |
| 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 | 117 | $339.7B |
| Non-Discretionary | 0 | $0 |
| Total | 117 | $339.7B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 108 | $330.5B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 9 | $9.2B |
| 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 | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 117 |
| No. of Non-U.S. Clients | 3 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehicles |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
240 GREENWICH STREETNEW YORK
NY
United States
Monday - Friday, 9:00 A.M. - 5:00 P.M.
Tel: 212-635-8827, Fax: None
Websites
Chief Compliance Officer
JOHN SQUILLACE
CHIEF COMPLIANCE OFFICER
240 GREENWICH STREET
NEW YORK
NY
United States
Tel:
212-635-8827
J*************@************M
(Full email address available in API data)
Regulatory Contact
LISA ZELLER
DEPUTY CHIEF COMPLIANCE OFFICER
240 GREENWICH STREET
NEW YORK
NY
United States
L**********@************M
(Full email address available in API data)
Industry Affiliates
| ARX INVESTIMENTOS LTDA | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| BNY MELLON ADVISORS, INC. | Other investment adviser, including financial planners |
| BNY MELLON ALOCACAO DE PATRIMONIO LTDA. | Other investment adviser, including financial planners |
| BNY MELLON ASSET MANAGEMENT CANADA, LTD | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BNY MELLON BANCO S.A. | Banking or thrift institutionTrust company |
| BNY MELLON CAPITAL MARKETS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealerRegistered municipal advisor |
| BNY MELLON ETF INVESTMENT ADVISER, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| BNY MELLON IM KOREA LIMITED | Other investment adviser, including financial planners |
| BNY MELLON IM TAIWAN SECURITIES INVESTMENT CONSULTING CO., LTD | Other investment adviser, including financial planners |
| BNY MELLON INTERNATIONAL MANAGEMENT LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BNY MELLON INVESTMENT MANAGEMENT (SHANGHAI) LIMITED | Other investment adviser, including financial planners |
| BNY MELLON INVESTMENT MANAGEMENT AUSTRALIA LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| BNY MELLON INVESTMENT MANAGEMENT JAPAN LIMITED | Other investment adviser, including financial planners |
| BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED | Other investment adviser, including financial planners |
| BNY MELLON INVESTMENT SERVICING TRUST COMPANY | Trust company |
| BNY MELLON NATIONAL ASSOCIATION | Other investment adviser, including financial plannersBanking or thrift institutionTrust company |
| BNY MELLON SECURITIES CORPORATION | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersInsurance company or agency |
| BNY MELLON SERVICOS FINACEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| BNY MELLON TRUST COMPANY OF ILLINOIS | Banking or thrift institutionTrust company |
| BNY MELLON TRUST OF DELAWARE | Other investment adviser, including financial plannersBanking or thrift institutionTrust company |
| BNYMFM-LUX | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| CIBC MELLON GLOBAL SECURITIES SERVICES COMPANY | Banking or thrift institutionTrust company |
| CIBC MELLON TRUST COMPANY | Banking or thrift institutionTrust company |
| IM EMEA | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| INSIGHT INVESTMENT | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| INSIGHT INVESTMENT | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| INSIGHT INVESTMENT AUSTRALIA PTY LIMITED | Other investment adviser, including financial planners |
| INSIGHT INVESTMENT FUNDS MANAGEMENT LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| INSIGHT INVESTMENT MANAGEMENT (EUROPE) LIMITED | Sponsor, GP, manager of pooled investment vehicles |
| INSIGHT INVESTMENT MANAGEMENT (GLOBAL) LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| MELLON HEDGE ADVISORS | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| MELLON INVESTMENTS CORPORATION | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| MFM | Sponsor, GP, manager of pooled investment vehicles |
| NEWTON INVESTMENT MANAGEMENT JAPAN LTD. | Other investment adviser, including financial planners |
| NEWTON INVESTMENT MANAGEMENT LTD | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| NEWTON INVESTMENT MANAGEMENT NORTH AMERICA | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| PERSHING (CHANNEL ISLANDS) LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING ADVISOR SOLUTIONS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING SECURITIES CANADA | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING SECURITIES INTERNATIONAL LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING SECURITIES LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| PERSHING SECURITIES SINGAPORE PRIVATE LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| THE BANK OF NEW YORK MELLON | Other investment adviser, including financial plannersBanking or thrift institutionTrust company |
| THE BANK OF NEW YORK MELLON (INTERNATIONAL) LIMITED | Banking or thrift institutionTrust company |
| THE BANK OF NEW YORK MELLON SA/NV | Banking or thrift institution |
| THE BANK OF NEW YORK MELLON SECURITIES COMPANY JAPAN LIMITED | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| THE BANK OF NEW YORK MELLON TRUST COMPANY, N.A. | Banking or thrift institutionTrust company |
| THE BANK OF NEW YORK MELLON, S.A., INSTITUCION DE BANCA MULTIPLE | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersTrust company |
| WALTER SCOTT & PARTNERS LIMITED | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| NCS GLOBAL FUND LLC | LONG ONLY EQUITIES | $399.9M | $5.0M | 31 |
| NCS GROUP TRUST GLOBAL EMERGING MARKETS FUND | LONG ONLY EMERGING MARKET EQUITIES | $0.0M | $5.0M | 0 |
| NCS GROUP TRUST GLOBAL FUND | LONG ONLY EQUITIES | $2,899.8M | $5.0M | 43 |
| NCS GROUP TRUST INTERNATIONAL FUND | LONG ONLY INTERNATIONAL EQUITIES | $1,243.0M | $5.0M | 24 |
| NCS GROUP TRUST US FUND | LONG ONLY US EQUITIES | $0.0M | $5.0M | 0 |
| NCS INTERNATIONAL FUND LLC | LONG ONLY EQUITIES | $586.3M | $5.0M | 21 |
| NCS MILLBURN LLC | LONG ONLY INTERNATIONAL EQUITIES | $279.5M | $50.0M | 3 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BITETTO, JAMES, NMI | Individual | – | SECRETARY | 09/2007 | < 5% |
| MBC INVESTMENTS CORPORATION | Domestic Entity | – | SOLE SHAREHOLDER | 02/2017 | > 75% |
| THE BANK OF NEW YORK MELLON CORPORATION | Domestic Entity | MBC INVESTMENTS CORPORATION | SOLE SHAREHOLDER | 05/1987 | > 75% |
| BRADLE, KENNETH, JAMES | Individual | – | VICE PRESIDENT & DIRECTOR | 06/2019 | < 5% |
| Pasquale, Gregory, John | Individual | – | CHIEF FINANCIAL OFFICER | 01/2021 | < 5% |
| DIPETRILLO, DAVID, JOHN | Individual | – | VICE PRESIDENT & DIRECTOR | 02/2021 | < 5% |
| SQUILLACE, JOHN | Individual | – | CHIEF COMPLIANCE OFFICER | 07/2021 | < 5% |
| Sullivan, Peter, Michael | Individual | – | CHIEF LEGAL OFFICER | 07/2021 | < 5% |
| Windels, James | Individual | – | DIRECTOR | 02/2023 | < 5% |
| MANNAN, BUSHRA | Individual | – | DIRECTOR | 08/2023 | < 5% |
| PAPADOULIS, IRENE, DESPINA | Individual | – | DIRECTOR | 08/2023 | < 5% |
| BNY MELLON IHC, LLC | Domestic Entity | THE BANK OF NEW YORK MELLON CORPORATION | OWNER | 12/2019 | > 75% |
| MBC INVESTMENT CORPORATION | Domestic Entity | BNY MELLON IHC, LLC | OWNER | 02/2017 | > 75% |