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Schroder Investment Management North America Inc (New York)


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.

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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. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. 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/.


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