Hedge Fund Database

ROYCE INVESTMENT PARTNERS

ROYCE & ASSOCIATES, LP Legal Name

Adviser information for ROYCE INVESTMENT PARTNERS last updated from Form ADV on December 20th, 2023. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.

Advisory Business

Type of Organization Limited Partnership
Fiscal Year End SEPTEMBER
Legal Location Delaware, United States

Employees

Total Number of Employees 95
Investment Advisory/Research 32
Registered Broker-Dealer Representatives 19
Registered State Investment Advisers 1
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 561 $11.6B
Non-Discretionary 6 $161.4M
Total 567 $11.7B

Clients

Type Number RAUM
Individuals 525 $88.8M
HNW Individuals 1 $4.5M
Banking or thrift institutions 0 $0
Investment companies 18 $10.1B
Business development companies 0 $0
Pooled investment vehicles 12 $1.5B
Pension and profit sharing plans 0 $0
Charitable organizations 2 $60.4M
State or municipal gov entities 0 $0
Other investment advisers 4 $14.3M
Insurance companies 0 $0
Sovereign wealth funds and foreign official institutions 0 $0
Corporations or other businesses 5 $794,540
Other 0 $0
Type Number
No. of Non-RAUM Clients 0
No. of Non-U.S. Clients 2

Services

Advisory Services Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients
Compensation % of AUMPerformance-based fees

Wrap Fee Program

Offers Wrap Fee Program Yes
Acting As RAUM
Sponsor 0
Portfolio Manager 104.3M
Both for Same 0
Portfolio Manager to Program Sponsor
CONSULTING AND EVALUATION SERVICES MORGAN STANLEY
THIRD PARTY MODELS PROGRAM ENVESTNET PMC
THIRD PARTY MODELS PROGRAM ROBERT W. BAIRD & CO. INCORPORATED
CONSULTING GROUP SELECT UMA MORGAN STANLEY
NO PROGRAM NAME STONEGATE INVESTMENT GROUP, LLC
PRIVATE ADVISOR NETWORK WELLS FARGO CLEARING SERVICES, LLC

Identifiers

SEC RIA File Number 801-8268
SEC ERA File Number 801-8268
SEC CIK Numbers 709364
SEC CRD Numbers 107689
Legal Entity Identifier 254900TRO66DNJJNUA45

Principal Office

745 FIFTH AVENUE
NEW YORK
NY
United States
Monday - Friday, 9:00 A.M. TO 5:00 P.M.
Tel: 212-508-4500, Fax: 212-223-8478

Websites

www.royceinvest.com www.youtube.com/royceinvestmentpartners www.linkedin.com/company/royceinvest twitter.com/royceinvestment

Chief Compliance Officer

JOHN E. DENNEEN
GENERAL COUNSEL
745 FIFTH AVENUE
NEW YORK
NY
United States
Tel: 212-508-4500
Fax: 212-223-8478
(Full email address available in API data)

Industry Affiliates

FRANKLIN ADVISERS, INC. Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
FRANKLIN DISTRIBUTORS, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer
FRANKLIN TEMPLETON JAPAN CO., LTD Other investment adviser, including financial planners
FRANKLIN TEMPLETON AUSTRALIA LIMITED Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
FRANKLIN TEMPLETON FUND ADVISER, LLC Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
FRANKLIN TEMPLETON FUND MANAGEMENT LIMITED Other investment adviser, including financial planners
FRANKLIN TEMPLETON INTERNATIONAL SERVICES S.A R.L. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
FRANKLIN TEMPLETON INVESTMENT MANAGEMENT LIMITED Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
FRANKLIN TEMPLETON INVESTMENTS (ASIA) LIMITED Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners
FRANKLIN TEMPLETON INVESTMENTS CORP. Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial plannersCommodity pool operator or commodity trading advisor
FRANKLIN TEMPLETON PRIVATE PORTFOLIO GROUP, LLC Other investment adviser, including financial planners
ROYCE FUND SERVICES, LLC Broker-dealer, municipal securities dealer, or gov securities broker or dealer

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
ROYCE INSTITUTIONAL, LLC - OPPORTUNITY PORTFOLIO LONG ONLY $23.2M $10.0M 2

Control Persons

Name Type Entity Title Since Ownership
ROYCE, CHARLES, MORGAN Individual – MEMBER OF BOARD OF MANAGERS, PORTFOLIO MANAGER, AND LIMITED PARTNER 11/1972 < 5%
DENNEEN, JOHN, EDWARD Individual – MEMBER OF BOARD OF MANAGERS, GENERAL COUNSEL, SECRETARY & CHIEF LEGAL AND CHIEF COMPLIANCE OFFICER, AND LIMITED PARTNER 01/2003 < 5%
CLARK, CHRISTOPHER, DEWITT Individual – MEMBER OF BOARD OF MANAGERS, PRESIDENT AND CHIEF EXECUTIVE OFFICER, AND LIMITED PARTNER 07/2014 < 5%
LEGG MASON ROYCE HOLDINGS, LLC Domestic Entity – LIMITED PARTNER 03/2016 > 75%
ROYCE & ASSOCIATES GP, LLC Domestic Entity – GENERAL PARTNER 03/2016 < 5%
LEGG MASON, INC. Domestic Entity LEGG MASON ROYCE HOLDINGS, LLC SOLE MEMBER 03/2016 > 75%
LEGG MASON ROYCE HOLDINGS, LLC Domestic Entity ROYCE & ASSOCIATES GP, LLC MEMBER 03/2016 > 75%
ROYCE, CHARLES, MORGAN Individual ROYCE & ASSOCIATES GP, LLC MEMBER OF BOARD OF MANAGERS AND PORTFOLIO MANAGER 11/1972
DENNEEN, JOHN, EDWARD Individual ROYCE & ASSOCIATES GP, LLC MEMBER OF BOARD OF MANAGERS, GENERAL COUNSEL, SECRETARY & CHIEF LEGAL AND CHIEF COMPLIANCE OFFICER 01/2003
CLARK, CHRISTOPHER, DEWITT Individual ROYCE & ASSOCIATES GP, LLC MEMBER OF BOARD OF MANAGERS, AND PRESIDENT AND CHIEF EXECUTIVE OFFICER 07/2014
FRANKLIN RESOURCES, INC. Domestic Entity LEGG MASON, INC. SOLE SHAREHOLDER 07/2020 > 75%
SHANEYFELT, GWEN, LOUISE Individual – MEMBER OF BOARD OF MANAGERS 11/2020 < 5%
PLAFKER, JED, ANDREW Individual – MEMBER OF BOARD OF MANAGERS 11/2020 < 5%
NICHOLLS, MATTHEW Individual – MEMBER OF BOARD OF MANAGERS 11/2020 < 5%
SHANEYFELT, GWEN, LOUISE Individual ROYCE & ASSOCIATES GP, LLC MEMBER OF BOARD OF MANAGERS 11/2020
PLAFKER, JED, ANDREW Individual ROYCE & ASSOCIATES GP, LLC MEMBER OF BOARD OF MANAGERS 11/2020
NICHOLLS, MATTHEW Individual ROYCE & ASSOCIATES GP, LLC MEMBER OF BOARD OF MANAGERS 11/2020
BOYDSTON, LAURA, ANDREA Individual – MEMBER OF BOARD OF MANAGERS 11/2020 < 5%
BOYDSTON, LAURA, ANDREA Individual ROYCE & ASSOCIATES GP, LLC MEMBER OF BOARD OF MANAGERS 11/2020

No. Employees, Historic

10050020192020202120222023202496 on 6/27/201996 on 12/16/201996 on 12/18/201996 on 1/8/202096 on 3/6/202095 on 6/26/202095 on 8/3/202095 on 8/3/202095 on 11/23/202095 on 11/30/202095 on 3/17/202195 on 6/29/202195 on 6/29/202192 on 12/22/202192 on 7/5/202292 on 7/6/202296 on 1/3/202396 on 7/27/202395 on 12/20/2023

RAUM, Historic

20B10B020192020202120222023202412994323929 on 6/27/201912994323929 on 12/16/201912994323929 on 12/18/201912994323929 on 1/8/202012994323929 on 3/6/20209193016531 on 6/26/20209193016531 on 8/3/20209193016531 on 8/3/20209193016531 on 11/23/20209193016531 on 11/30/20209193016531 on 3/17/202117738212543 on 6/29/202117738212543 on 6/29/202116374266508 on 12/22/202116374266508 on 7/5/202216374266508 on 7/6/202210725058056 on 1/3/202310725058056 on 7/27/202311718790798 on 12/20/2023

No. Clients, Historic

600300020192020202120222023202431 on 6/27/201931 on 12/16/201931 on 12/18/201931 on 1/8/202031 on 3/6/202030 on 6/26/202030 on 8/3/202030 on 8/3/202030 on 11/23/202030 on 11/30/202030 on 3/17/2021206 on 6/29/2021206 on 6/29/2021269 on 12/22/2021269 on 7/5/2022269 on 7/6/2022363 on 1/3/2023363 on 7/27/2023567 on 12/20/2023