Schroder Investment Management North America Inc (New York)

Name: Schroder Investment Management North America Inc
Address: 7 Bryant Park, 19 Th Floor, New York, NY, 10018
Telephone: 212-641-3800

Schroder Investment Management North America Inc is a large advisory firm based in New York. It manages $53.37 billion of regulatory assets for 408 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 48 other states.

Schroder Investment Management North America provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Schroder Investment Management North America: assets under management

The assets under management (AUM) of Schroder Investment Management North America Inc is $53.37 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 108% since the beginning of its operation, and $31.05 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $53.37 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $130.81 million each.

Schroder Investment Management North America has custody of $620 million in cash and securities for 6 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in other assets the most. They account for 19% of the total AUM. The second-largest asset type is government bonds, which make up 18% of the firm’s portfolio. Investments in state and local bonds form 8% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Schroder Investment Management North America Inc for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Paul James Chislett serves?

The firm provides services to insurance companies, investment companies, charitable organizations, other investment advisers, high net worth individuals, pooled investment vehicles, corporations or other businesses, pension and profit sharing plans, state or municipal government entities, and sovereign wealth funds and foreign official institutions. The largest group of clients of Paul James Chislett is investment companies with 153 clients and $25.02 billion of assets under management. Among the 9 most similar advisory firms, Schroder Investment Management North America has the 3rd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $53.35 billion for 407 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 41% of the firm’s clients are foreign persons or businesses.

Schroder Investment Management North America also advises several private funds. Namely, fifteen other private funds and one securitized asset fund. The minimum investment commitment required of non-related persons ranges from $0 to $50,000,000.

Careers at Schroder Investment Management North America Inc

The company employs 280 people that are either part- or full-time employees. 43 percent of the employees work as investment advisers or researchers. Only one employee is registered as an investment adviser representative with the state securities authorities.

There’s a single person with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Paul James Chislett has been acting as President since 1 Oct 2012. Marc Orlans Mayer joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Philip John Hardy	Director	1 Jan 1999	Other	4347288
Schroder Us Holdings Inc.	Shareholder	1 Jun 1999	75% - 100%	13-2621402
Sharon Louise Haugh	Chairman, director	1 Jun 1999	Other	703411
Andrew R Barker	Director, senior vice president	1 Jun 1999	Other	4344182
William Henry Barnes	Director, executive vice president	1 Jun 1999	Other	2832138
Robert Geoffrey Davy	Executive vice president, director	1 Jun 1999	Other	4345045
Margaret Hambrecht Douglashamilton	Secretary, director	1 Jun 1999	Other	2083096
Barbara Brooke Manning	Senior vice president, director, chief compliance officer	1 Jun 1999	Other	3198494
Catherine Andrea Mazza	Senior vice president, director	1 Jun 1999	Other	1444025
Thomas Melendez	Senior vice president, director	1 Jun 1999	Other	2423301
Robert Charles Michele	Director, managing director	1 Jun 1999	Other	2424610
Connie Jo Moakmazur	Director, senior vice president	1 Jun 1999	Other	1164151
Michael Mark Perelstein	Director, senior investment officer	1 Jun 1999	Other	4345157
Frances Prout Selby	Executive vice president, director	1 Jun 1999	Other	1266912
Mark Julian Smith	Executive vice president, director	1 Jun 1999	Other	1931664
Ellen Carole Sullivan	Executive vice president, director	1 Jun 1999	Other	849205
Nancy Briggs Tooke	Executive vice president, director	1 Jun 1999	Other	448094
Ira Unschuld	Executive vice president, director	1 Jun 1999	Other	2753405
Reza Vishkai	Senior vice president, director	1 Jun 1999	Other	1799710
Heather Frances Crighton	Senior vice president, director	1 Jun 1999	Other	4347264
Louise Croset	Executive vice president, director	1 Jun 1999	Other	4347266
Tapan Datta	Senior vice president, director	1 Jun 1999	Other	4347268
Donald Hugh Miller Farquharson	Senior vice president, director	1 Jun 1999	Other	4347274
Richard Ralston Foulkes	Deputy chairman, director	1 Jun 1999	Other	4347278
Roger Duncan Goodchild	Vice president/controller	1 Jun 1999	Other	4347284
Gavin Douglas Lewis Ralston	Director	1 Jun 1999	Other	4347297
David John Ridgway	Senior vice president, director	1 Jun 1999	Other	4347298
Guy Varney	Senior vice president, director	1 Jun 1999	Other	4347304
Thomas Jeremy Willoughby	Compliance officer	1 Jun 1999	Other	4347306
Barbara Manning	First vp, chief compliance officer	1 Jun 1999	Other	3198494
John Alexander Troiano	Chief executive officer, director	1 Jun 1999	Other	2196436
Stefan Bottcher	Director	1 Jul 1999	Other	4347256
Walter William Zepf	Controller, vice president	1 Feb 2000	Other	4254823
Steven Scott Lear	Senior vice president, director	1 Apr 2000	Other	2267519
Teresa H Myers	Senior vice president, director	1 Apr 2000	Other	2262163
Mark Go Bridgeman	Director, senior vice president	1 Apr 2000	Other	4347259
Deborah Alice Chaplin	Director, executive vice president	1 May 2000	Other	2620078
Timothy Platt Pettee	Executive vice president, director	1 Nov 2000	Other	2097556
Christopher John Fasciano	Director, senior vice president	1 Apr 2001	Other	2715800
Andrew Willard Smethurst	Director, senior vice president	1 Apr 2001	Other	1535921
Susan S Huang	Director, senior vice president	1 Jun 2001	Other	4430476
John Alexander Troiano	Deputy chairman, director	1 Jul 2001	Other	2196436
John Ford	Chief executive officer, director	1 Jul 2001	Other	4386240
Roger Duncan Goodchild	Director/controller	1 Aug 2001	Other	4347284
Alan M Mandel	First vice president, chief financial officer	1 Sep 2001	Other	709305
John Alexander Troiano	Chairman, director	1 Jul 2002	Other	2196436
Carin Fanny Muhlbaum	General counsel, americas	1 Jan 2003	Other	3198495
Carin Muhlbaum	First vice president, general counsel & secretary	1 Jan 2003	Other	3198495
Mark Anthony Hemenetz	Director, chief operating officer	1 Mar 2003	Other	4355510
Mark A. Hemenetz	Executive vice president, director & chief operating officer	1 Mar 2003	Other	4355510
Peter Laurence Clark	Chief executive officer, director	1 Mar 2003	Other	1676344
Richard Miles Andrew Horlick	Chairman, director	1 Mar 2003	Other	4386446
Steven Scott Lear	Director, executive vice president	1 Jun 2003	Other	2267519
James Edward Foster	Executive vice president, director	1 Sep 2003	Other	1055380
Carin Muhlbaum	Senior vice president, general counsel & secretary	1 Mar 2004	Other	3198495
Virginie Maisonneuve	Director	1 Dec 2004	Other	4346921
Brian R Murphy	Vice president, chief compliance officer	1 Feb 2005	Other	4846763
Stephen M Detore	Director, chief compliance officer	1 Jun 2005	Other	4402442
Alan Brown	Director	1 Jul 2005	Other	4361714
Carin Fanny Muhlbaum	Executive vice president & general counsel	1 Mar 2006	Other	3198495
Carin Fanny Muhlbaum	Executive vice president & general counsel, chief administrative officer	1 Apr 2006	Other	3198495
Peter Laurence Clark	Chairman	1 Sep 2006	Other	1676344
Jamie Dorrien Smith	Chief executive officer	1 Sep 2006	Other	5228966
Jamie Dorrien Smith	Director, chief executive officer, chairman	1 Mar 2007	Other	5228966
Keith Patrick Collins	Director, head of finance	1 Aug 2008	Other	5583983
Alex James Sargent	Director	1 Apr 2009	Other	5665976
Hugo Jonathan Verner Macey	Director	1 Jun 2010	Other	5817405
Paul James Chislett	Director	1 Oct 2012	Other	6129689
Karl Franklin Dasher	Chief executive officer, chairman, director	1 Jul 2013	Other	2482395
Joseph John Bertini	Director, chief compliance officer	1 Jan 2016	Other	4366969
Henry James Nowell Philip	Director	1 Jul 2016	Other	6676384
Marc Orlans Mayer	Director	1 Mar 2017	Other	2120110

Indirect Owners

The SEC currently registers 8 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Schroder International Holdings Limited	Shareholder	1 Dec 1980	75% - 100%	foreign entity
Schroders International Holdings Limited	Shareholder	1 Dec 1980	75% - 100%	foreign entity
Schroders Public Limited Company	Shareholder	1 Dec 1980	75% - 100%	foreign entity
Beinn Dubh Limited	Shareholder	1 Dec 1980	25% - 50%	foreign entity
Flavida Limited (Formerly Beinn Dubh Limited)	Shareholder	1 Dec 1980	25% - 50%	foreign entity
Schroder Administration Limited	Shareholder	1 Jun 2004	75% - 100%	foreign entity
Schroders Plc	Shareholder	1 Jun 2004	75% - 100%	foreign entity
Schroder Holdings Plc	Shareholder	1 Jun 2004	75% - 100%	foreign entity

Based in New York

The principal office where Schroder Investment Management North America Inc performs its advisory services is located at 7 Bryant Park, 19 Th Floor, New York, NY 10018, which is also the mailing address of the firm. An additional office of the firm is in Philadelphia, PA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-641-3800 or by fax 212-641-3804. The normal business hours are 9:00 am to 5:00 pm on Monday - Friday. You can find more information about the New York firm at schroders.com/us/home/.