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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

INSIGHT INVESTMENT

CUTWATER INVESTOR SERVICES CORP., CRD 107200

NEW YORK, NY

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Search this name across graphsid dfx:ria:1ebbc461-1a62-adbe-c80a-3d78d1dc9691

Data as of Mar 31, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:56 AM UTC and rebuilt at most every 15 minutes.

Relationships: 43
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Mar 31, 2018
32 observations

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $15BItem 5.F on the latest filing (2018-03-31); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $12B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 53
Advisory employees: 26
Offices: 1Schedule D 1.F, beyond the principal office
Accounts: 144
Private funds: 4Schedule D 7.B(1)
Private fund GAV: $1.3Bgross asset value as reported per fund; never fund size
Custody, client assets: $2.9B
SEC number: 801-38363
CRD: 107200
Filings on the tape: 32
First filed: Mar 29, 2012
Latest filed: Mar 31, 2018
Organised: Corporation, Delaware

Private funds

Schedule D 7.B(1); gross asset value as reported, never fund size; reporting ends 2024-12-31

Fund	Type	Reported GAV	As of	Owners	First reported	Status	Form D file
KIMBERLITE CDO I, LTD	Securitized Asset Fund	$318M	Apr 3, 2013	0	Mar 29, 2012	dropped	n/a
CUTWATER INVESTOR SERVICES INSTITUTIONAL INVESTOR TRUST	Other Private Fund	$178M	Mar 31, 2015	3	Mar 29, 2012	dropped	n/a
CUTWATER INVESTOR SERVICES INSTITUTIONAL INVESTOR TRUST CORE BOND FUND	Other Private Fund	$96.4M	Mar 30, 2016	3	Apr 28, 2015	dropped	n/a
CUTWATER INVESTOR SERVICES INSTITUTIONAL INVESTOR TRUST HIGH YIELD FUND	Other Private Fund	$48.2M	Mar 30, 2016	1	Apr 28, 2015	dropped	n/a
CUTWATER INVESTOR SERVICES INSTITUTIONAL TRUST CORE PLUS FUND	Other Private Fund	$42.6M	Mar 30, 2016	1	Apr 28, 2015	dropped	n/a
CUTWATER INVESTOR SERVICES INSTITUTIONAL INVESTOR TRUST LONG DURATION FUND	Other Private Fund	$13.8M	Nov 25, 2015	3	Apr 28, 2015	dropped	n/a

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BRISK, GREGORY, ALLAN	Director	Na	yes	01/2015	Jan 16, 2015	Mar 31, 2018
CORSO, CLIFFORD, DEAN	CHIEF EXECUTIVE OFFICER	Na	yes	11/2017	Mar 29, 2012	Mar 31, 2018
CUTWATER HOLDINGS, LLC	DIRECT OWNER	E	yes	09/1998	Mar 29, 2012	Mar 31, 2018
ELIOT, JONATHAN	Director	Na	yes	11/2017	Dec 22, 2017	Mar 31, 2018
GELMAN, SETH	CHIEF COMPLIANCE OFFICER	Na	yes	12/2017	Dec 22, 2017	Mar 31, 2018
NAUPHAL, ABDALLAH, HABIB	Director	Na	yes	01/2015	Jan 16, 2015	Mar 31, 2018
PAGANO, DANIELLE, MARIA	Director	Na	yes	11/2017	Dec 22, 2017	Mar 31, 2018
THE BANK OF NEW YORK MELLON	INDIRECT OWNER	E	yes	01/2015	Jan 16, 2015	Mar 31, 2018
THE BANK OF NEW YORK MELLON CORPORATION	INDIRECT OWNER	E	yes	01/2015	Jan 16, 2015	Mar 31, 2018

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page; showing 40 of 62

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BNY MELLON ASSET MANAGEMENT NORTH AMERICA CORPORATION	n/a	Asset manager	$874B	N	yes	n/a
THE DREYFUS CORPORATION	n/a	Asset manager	$419B	N	yes	n/a
INSIGHT NORTH AMERICA LLC	n/a	Other adviser	$171B	N	yes	n/a
WALTER SCOTT & PARTNERS LIMITED	n/a	Other adviser	$67B	N	yes	n/a
NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD	n/a	Asset manager	$42B	N	yes	n/a
LOCKWOOD ADVISORS INC	n/a	Bank affiliated wealth	$33B	N	yes	n/a
BNY MELLON ASSET MANAGEMENT JAPAN LIMITED	n/a	Former SEC adviser	$32B	N	yes	n/a
ALCENTRA LIMITED	n/a	Asset manager	$23B	N	yes	n/a
ALCENTRA NY, LLC	n/a	Asset manager	$14B	N	yes	n/a
BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTD	n/a	Former SEC adviser	$10B	N	yes	n/a
MBSC SECURITIES CORPORATION	n/a	Other adviser	$8.4B	N	yes	n/a
INSIGHT INVESTMENT INTERNATIONAL LIMITED	n/a	Former SEC adviser	$3.0B	N	yes	n/a
BNY INVESTMENT STRATEGY AND SOLUTIONS GROUP, LLC	n/a	Former SEC adviser	$853M	N	yes	n/a
EACM ADVISORS LLC	n/a	Former SEC adviser	$617M	N	yes	n/a
AMHERST CAPITAL MANAGEMENT LLC	n/a	Asset manager	$545M	N	yes	n/a
CUTWATER ASSET MANAGEMENT CORP.	n/a	Former SEC adviser	$423M	Y	yes	n/a
MELLON HEDGE ADVISORS, LLC	n/a	Former SEC adviser	$0	N	yes	n/a
ARX INVESTIMENTOS LTDA	n/a	n/a	n/a	N	yes	n/a
BNY MELLON ADMINISTACAO DE ATIVOS LTDA.	n/a	n/a	n/a	N	yes	n/a
BNY MELLON ALOCACAO DE PATRIMONIO LTDA	n/a	n/a	n/a	N	yes	n/a
BNY MELLON ASSET MANAGEMENT CANADA LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON BANCO S.A.	n/a	n/a	n/a	N	yes	n/a
BNY MELLON CAPITAL MARKETS EMEA LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON CAPITAL MARKETS, LLC	n/a	n/a	n/a	N	yes	n/a
BNY MELLON FUND MANAGERS LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON GLOBAL MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON IM KOREA LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON INTERNATIONAL MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON INVESTMENT MANAGEMENT AUSTRALIA LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON INVESTMENT MANAGEMENT EMEA LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON NATIONAL ASSOCIATION	n/a	n/a	n/a	N	yes	Pa
BNY MELLON SERVICOS FINANCEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A.	n/a	n/a	n/a	N	yes	n/a
BNY MELLON TRUST COMPANY (IRELAND) LIMITED	n/a	n/a	n/a	N	yes	n/a
BNY MELLON TRUST COMPANY OF ILLINOIS	n/a	n/a	n/a	N	yes	n/a
BNY MELLON TRUST OF DELAWARE	n/a	n/a	n/a	N	yes	n/a
BNY MELLON WEALTH MANAGEMENT, ADVISORY SERVICES, INC.	n/a	n/a	n/a	N	yes	n/a
CIBC MELLON GLOBAL SECURITIES SERVICES COMPANY	n/a	n/a	n/a	N	yes	n/a
CIBC MELLON TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Denver	Co	United States	1	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2017	Mar 31, 2018	$15B	$12B	53	26	1	4	$1.3B
2016	Mar 31, 2017	$16B	$13B	75	30	n/a	4	$1.2B
2015	Mar 30, 2016	$16B	$12B	68	30	n/a	7	$1.5B
2014	Mar 31, 2015	$20B	$16B	72	27	n/a	4	$1.1B
2013	Mar 31, 2014	$23B	$6.4B	85	30	n/a	2	$260M
2012	Mar 28, 2013	$26B	$8.6B	120	30	n/a	3	$596M
2011	Mar 29, 2012	$25B	$7.8B	n/a	n/a	n/a	3	$664M

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2017	$15B	$16B	-8.1%	$20B	-9.7%	53	75	1	n/a

Relationships

Affiliated with (28)

→ BNY MELLON INVESTMENT ADVISER, INC.Registered adviserother investment adviser, bank, common control
factForm ADV
→ MELLON INVESTMENTS CORPORATIONRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ BNY MELLON ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ INSIGHT INVESTMENTRegistered adviserother investment adviser, bank, common control
factForm ADV
→ NEWTON INVESTMENT MANAGEMENT LTDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ WALTER SCOTT & PARTNERS LIMITEDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ BSP NY LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ EACM ADVISORS LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ MELLON HEDGE ADVISORSRegistered adviserother investment adviser, bank, common control
factForm ADV
→ INSIGHT INVESTMENTRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ BENEFIT STREET PARTNERS LIMITEDRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ BNY MELLON INVESTMENT MANAGEMENT JAPAN LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ AMHERST CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, common control
factForm ADV
→ BNY MELLON SECURITIES CORPORATIONRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ BNY MELLON INVESTOR SOLUTIONS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ INSIGHT INVESTMENTRegistered adviserother investment adviser, control, common control
factForm ADV
← INSIGHT INVESTMENTRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← THE BOSTON COMPANY ASSET MANAGEMENT LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← STANDISHRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← HEDGEMARK ADVISORS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← CENTERSQUARE INVESTMENT MANAGEMENT HOLDINGS, INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← CENTERSQUARE INVESTMENT MANAGEMENT, INC.Registered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITEDRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITEDRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← ARX INVESTIMENTOS LTDARegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← STANDISH SINGAPORERegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
← TIBER CAPITAL MANAGEMENT, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV

Controls (8)

← PAGANO, DANIELLE, MARIAOwnerDIRECTOR, ownership code NA, individual
Dec 22, 2017 to presentfactForm ADV
← CORSO, CLIFFORD, DEANOwnerCHIEF EXECUTIVE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← GELMAN, SETHOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 22, 2017 to presentfactForm ADV
← BRISK, GREGORY, ALLANOwnerDIRECTOR, ownership code NA, individual
Jan 16, 2015 to presentfactForm ADV
← NAUPHAL, ABDALLAH, HABIBOwnerDIRECTOR, ownership code NA, individual
Jan 16, 2015 to presentfactForm ADV
← ELIOT, JONATHANOwnerDIRECTOR, ownership code NA, individual
Dec 22, 2017 to presentfactForm ADV
← CUTWATER HOLDINGS, LLCOwnerDIRECT OWNER, ownership code E, domestic entity
Mar 29, 2012 to presentfactForm ADV
← THE BANK OF NEW YORK MELLONOwnerINDIRECT OWNER, ownership code E, domestic entity
Jan 16, 2015 to presentfactForm ADV

Advises (6)

→ CUTWATER INVESTOR SERVICES INSTITUTIONAL INVESTOR TRUST HIGH YIELD FUNDPrivate fundOther Private Fund, IA, no longer reported
Apr 28, 2015 to Mar 30, 2016factForm ADV
→ CUTWATER INVESTOR SERVICES INSTITUTIONAL TRUST CORE PLUS FUNDPrivate fundOther Private Fund, IA, no longer reported
Apr 28, 2015 to Mar 30, 2016factForm ADV
→ CUTWATER INVESTOR SERVICES INSTITUTIONAL INVESTOR TRUST CORE BOND FUNDPrivate fundOther Private Fund, IA, no longer reported
Apr 28, 2015 to Mar 30, 2016factForm ADV
→ CUTWATER INVESTOR SERVICES INSTITUTIONAL INVESTOR TRUST LONG DURATION FUNDPrivate fundOther Private Fund, IA, no longer reported
Apr 28, 2015 to Nov 25, 2015factForm ADV
→ CUTWATER INVESTOR SERVICES INSTITUTIONAL INVESTOR TRUSTPrivate fundOther Private Fund, IA, no longer reported
Mar 29, 2012 to Mar 31, 2015factForm ADV
→ KIMBERLITE CDO I, LTDPrivate fundSecuritized Asset Fund, IA, no longer reported
Mar 29, 2012 to Apr 3, 2013factForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:1ebbc461-1a62-adbe-c80a-3d78d1dc9691
First observed: Mar 29, 2012
Last observed: Mar 31, 2018 103 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

INSIGHT INVESTMENT

CUTWATER INVESTOR SERVICES CORP., CRD 107200

NEW YORK, NY

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:1ebbc461-1a62-adbe-c80a-3d78d1dc9691

Data as of Mar 31, 2018 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 8:56 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

KIMBERLITE CDO I, LTD

Securitized Asset Fund

$318M

Apr 3, 2013

Mar 29, 2012

dropped

n/a

CUTWATER INVESTOR SERVICES INSTITUTIONAL INVESTOR TRUST

Other Private Fund

$178M

Mar 31, 2015

Mar 29, 2012

dropped

n/a

CUTWATER INVESTOR SERVICES INSTITUTIONAL INVESTOR TRUST CORE BOND FUND

Other Private Fund

$96.4M

Mar 30, 2016

Apr 28, 2015

dropped

n/a

CUTWATER INVESTOR SERVICES INSTITUTIONAL INVESTOR TRUST HIGH YIELD FUND

Other Private Fund

$48.2M

Mar 30, 2016

Apr 28, 2015

dropped

n/a

CUTWATER INVESTOR SERVICES INSTITUTIONAL TRUST CORE PLUS FUND

Other Private Fund

$42.6M

Mar 30, 2016

Apr 28, 2015

dropped

n/a

CUTWATER INVESTOR SERVICES INSTITUTIONAL INVESTOR TRUST LONG DURATION FUND

Other Private Fund

$13.8M

Nov 25, 2015

Apr 28, 2015

dropped

n/a

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BRISK, GREGORY, ALLAN

Director

yes

01/2015

Jan 16, 2015

Mar 31, 2018

CORSO, CLIFFORD, DEAN

CHIEF EXECUTIVE OFFICER

yes

11/2017

Mar 29, 2012

Mar 31, 2018

CUTWATER HOLDINGS, LLC

DIRECT OWNER

yes

09/1998

Mar 29, 2012

Mar 31, 2018

ELIOT, JONATHAN

Director

yes

11/2017

Dec 22, 2017

Mar 31, 2018

GELMAN, SETH

CHIEF COMPLIANCE OFFICER

yes

12/2017

Dec 22, 2017

Mar 31, 2018

NAUPHAL, ABDALLAH, HABIB

Director

yes

01/2015

Jan 16, 2015

Mar 31, 2018

PAGANO, DANIELLE, MARIA

Director

yes

11/2017

Dec 22, 2017

Mar 31, 2018

THE BANK OF NEW YORK MELLON

INDIRECT OWNER

yes

01/2015

Jan 16, 2015

Mar 31, 2018

THE BANK OF NEW YORK MELLON CORPORATION

INDIRECT OWNER

yes

01/2015

Jan 16, 2015

Mar 31, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BNY MELLON ASSET MANAGEMENT NORTH AMERICA CORPORATION

n/a

Asset manager

$874B

yes

n/a

THE DREYFUS CORPORATION

n/a

Asset manager

$419B

yes

n/a

INSIGHT NORTH AMERICA LLC

n/a

Other adviser

$171B

yes

n/a

WALTER SCOTT & PARTNERS LIMITED

n/a

Other adviser

$67B

yes

n/a

NEWTON INVESTMENT MANAGEMENT (NORTH AMERICA) LTD

n/a

Asset manager

$42B

yes

n/a

LOCKWOOD ADVISORS INC

n/a

Bank affiliated wealth

$33B

yes

n/a

BNY MELLON ASSET MANAGEMENT JAPAN LIMITED

n/a

Former SEC adviser

$32B

yes

n/a

ALCENTRA LIMITED

n/a

Asset manager

$23B

yes

n/a

ALCENTRA NY, LLC

n/a

Asset manager

$14B

yes

n/a

BNY MELLON INVESTMENT MANAGEMENT CAYMAN LTD

n/a

Former SEC adviser

$10B

yes

n/a

MBSC SECURITIES CORPORATION

n/a

Other adviser

$8.4B

yes

n/a

INSIGHT INVESTMENT INTERNATIONAL LIMITED

n/a

Former SEC adviser

$3.0B

yes

n/a

BNY INVESTMENT STRATEGY AND SOLUTIONS GROUP, LLC

n/a

Former SEC adviser

$853M

yes

n/a

EACM ADVISORS LLC

n/a

Former SEC adviser

$617M

yes

n/a

AMHERST CAPITAL MANAGEMENT LLC

n/a

Asset manager

$545M

yes

n/a

CUTWATER ASSET MANAGEMENT CORP.

n/a

Former SEC adviser

$423M

yes

n/a

MELLON HEDGE ADVISORS, LLC

n/a

Former SEC adviser

yes

n/a

ARX INVESTIMENTOS LTDA

n/a

yes

n/a

BNY MELLON ADMINISTACAO DE ATIVOS LTDA.

n/a

yes

n/a

BNY MELLON ALOCACAO DE PATRIMONIO LTDA

n/a

yes

n/a

BNY MELLON ASSET MANAGEMENT CANADA LIMITED

n/a

yes

n/a

BNY MELLON BANCO S.A.

n/a

yes

n/a

BNY MELLON CAPITAL MARKETS EMEA LIMITED

n/a

yes

n/a

BNY MELLON CAPITAL MARKETS, LLC

n/a

yes

n/a

BNY MELLON FUND MANAGERS LIMITED

n/a

yes

n/a

BNY MELLON GLOBAL MANAGEMENT LIMITED

n/a

yes

n/a

BNY MELLON IM KOREA LIMITED

n/a

yes

n/a

BNY MELLON INTERNATIONAL MANAGEMENT LIMITED

n/a

yes

n/a

BNY MELLON INVESTMENT MANAGEMENT AUSTRALIA LIMITED

n/a

yes

n/a

BNY MELLON INVESTMENT MANAGEMENT EMEA LIMITED

n/a

yes

n/a

BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITED

n/a

yes

n/a

BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED

n/a

yes

n/a

BNY MELLON NATIONAL ASSOCIATION

n/a

yes

BNY MELLON SERVICOS FINANCEIROS DISTRIBUIDORA DE TITULOS E VALORES MOBILIARIOS (DTVM) S.A.

n/a

yes

n/a

BNY MELLON TRUST COMPANY (IRELAND) LIMITED

n/a

yes

n/a

BNY MELLON TRUST COMPANY OF ILLINOIS

n/a

yes

n/a

BNY MELLON TRUST OF DELAWARE

n/a

yes

n/a

BNY MELLON WEALTH MANAGEMENT, ADVISORY SERVICES, INC.

n/a

yes

n/a

CIBC MELLON GLOBAL SECURITIES SERVICES COMPANY

n/a

yes

n/a

CIBC MELLON TRUST COMPANY

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Denver

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 31, 2018

$15B

$12B

$1.3B

2016

Mar 31, 2017

$16B

$13B

n/a

$1.2B

2015

Mar 30, 2016

$16B

$12B

n/a

$1.5B

2014

Mar 31, 2015

$20B

$16B

n/a

$1.1B

2013

Mar 31, 2014

$23B

$6.4B

n/a

$260M

2012

Mar 28, 2013

$26B

$8.6B

120

n/a

$596M

2011

Mar 29, 2012

$25B

$7.8B

n/a

$664M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$15B

$16B

-8.1%

$20B

-9.7%

n/a