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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 100m 1b

JANUS HENDERSON INVESTORS

HENDERSON GLOBAL INVESTORS (NORTH AMERICA) INC., CRD 107300

DENVER, CO

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Search this name across graphsid dfx:ria:22b5f07b-eb9c-4501-c8be-a35d442cdb55

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:06 AM UTC and rebuilt at most every 15 minutes.

Relationships: 41
Dated events: 1
On other graphs: 1
Observed: Mar 30, 2012 to Mar 29, 2018
28 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Real Estate Fundsidentity

Janus Henderson Investors

Real estate fund manager · shared crd

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: $444MItem 5.F on the latest filing (2018-03-29); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $444M
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: 984
Advisory employees: 100
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 1
Individual clients: 0
High net worth clients: 0
SEC number: 801-47202
CRD: 107300
Filings on the tape: 28
First filed: Mar 30, 2012
Latest filed: Mar 29, 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
CASA PARTNERS IV, LP	Real Estate Fund	$488M	Nov 14, 2012	18	Mar 30, 2012	dropped	n/a
CASA PARTNERS III L.P	Real Estate Fund	$480M	Nov 14, 2012	15	Mar 30, 2012	dropped	021-70512
CASA PARTNERS II, L.P.	Real Estate Fund	$378M	Nov 14, 2012	4	Mar 30, 2012	dropped	021-41400
CASA GROUP, LLC	Real Estate Fund	$283M	Nov 14, 2012	2	Mar 30, 2012	dropped	n/a
CASA PARTNERS V, LP	Real Estate Fund	$163M	Nov 14, 2012	11	Mar 30, 2012	dropped	021-159331
HENDERSON NORTH AMERICA PROPERTY FUND, LP	Real Estate Fund	$146M	Mar 28, 2014	2	Mar 30, 2012	dropped	021-82320
SPECIAL ACCOUNT - U, LP	Real Estate Fund	$122M	Nov 14, 2012	1	Mar 30, 2012	dropped	n/a
HENDERSON ASIA PACIFIC ABSOLUTE RETURN FUND I INC	Hedge Fund	$42.7M	Nov 14, 2012	5	Mar 30, 2012	dropped	021-52892
HENDERSON INTERNATIONAL ACWI EX-US, LP	Other Private Fund	$9.9M	Jan 5, 2015	2	Mar 30, 2012	dropped	021-151159

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
ELDER, MICHAEL, DREW	SENIOR VICE PRESIDENT, HEAD OF NORTH AMERICAN DISTRIBUTION	Na	yes	05/2017	Jun 19, 2017	Mar 29, 2018
HENDERSON GLOBAL GROUP LIMITED	Shareholder	E	yes	09/2009	Mar 30, 2012	Mar 29, 2018
HENDERSON GLOBAL INVESTORS (HOLDINGS) LTD.	Shareholder	E	yes	04/1999	Jun 19, 2017	Mar 29, 2018
HENDERSON GLOBAL INVESTORS (INTERNATIONAL HOLDINGS) BV	Shareholder	E	yes	12/2002	Mar 30, 2012	Mar 29, 2018
HENDERSON GROUP HOLDINGS ASSET MANAGEMENT LIMITED	Shareholder	E	yes	12/2012	Feb 20, 2013	Mar 29, 2018
HENDERSON HOLDINGS GROUP LIMITED	Shareholder	E	yes	09/2009	Mar 30, 2012	Mar 29, 2018
HENDERSON HOLDINGS LIMITED	Shareholder	E	yes	04/1999	Mar 30, 2012	Mar 29, 2018
HENDERSON INTERNATIONAL INC.	100% SHAREHOLDER	E	yes	12/2002	Mar 30, 2012	Mar 29, 2018
HGI ASSET MANAGEMENT GROUP LIMITED	Shareholder	E	yes	12/2012	Feb 20, 2013	Mar 29, 2018
HGI GROUP LIMITED	Shareholder	E	yes	04/1999	Mar 30, 2012	Mar 29, 2018
HUGHES, BRENNAN, ALLEN	SENIOR VICE PRESIDENT, TREASURER	Na	yes	05/2017	Jun 19, 2017	Mar 29, 2018
JANUS HENDERSON GROUP PLC	Shareholder	E	yes	09/2009	Jun 19, 2017	Mar 29, 2018
KOEPFGEN, BRUCE, LEWIS	President	Na	yes	05/2017	Jun 19, 2017	Mar 29, 2018
ROSENBERG, MICHELLE, ROSE	Secretary	Na	yes	05/2017	Jun 19, 2017	Mar 29, 2018
STEFONICK, AMY, JO	ASSISTANT SECRETARY	Na	yes	05/2017	Jun 19, 2017	Mar 29, 2018
WOLD, SUSAN, KELLY	CHIEF COMPLIANCE OFFICER	Na	yes	12/2017	Mar 29, 2018	Mar 29, 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

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
JANUS CAPITAL MANAGEMENT LLC	n/a	Asset manager	$380B	N	yes	n/a
INTECH INVESTMENT MANAGEMENT LLC	n/a	Other adviser	$15B	N	yes	n/a
HENDERSON INVESTMENT MANAGEMENT LIMITED	n/a	Former SEC adviser	$12B	N	yes	n/a
PERKINS INVESTMENT MANAGEMENT LLC	n/a	Former SEC adviser	$8.0B	N	yes	n/a
KAPSTREAM CAPITAL PTY LIMITED	n/a	Former SEC adviser	$6.7B	N	yes	n/a
GENEVA CAPITAL MANAGEMENT LLC	n/a	Other adviser	$5.6B	Y	yes	n/a
ALPHAGEN CAPITAL LIMITED	n/a	Former SEC adviser	$2.1B	N	yes	n/a
GARTMORE INVESTMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
HENDERSON EQUITY PARTNERS LIMITED	n/a	n/a	n/a	N	yes	n/a
HENDERSON GLOBAL INVESTORS (SINGAPORE) LIMITED	n/a	n/a	n/a	N	yes	n/a
HENDERSON GLOBAL INVESTORS LIMITED	n/a	n/a	n/a	N	yes	n/a
HENDERSON INTERNATIONAL GP LLC	n/a	n/a	n/a	Y	yes	n/a
HENDERSON INVESTMENT FUNDS LIMITED	n/a	n/a	n/a	N	yes	n/a
HENDERSON MANAGEMENT SA	n/a	n/a	n/a	N	yes	n/a
JANUS CAPITAL INSTITUTIONAL ADVISERS LLC	n/a	n/a	n/a	N	yes	n/a
JANUS CAPITAL INTERNATIONAL LIMITED	n/a	n/a	n/a	N	yes	n/a
JANUS DISTRIBUTORS LLC	n/a	n/a	n/a	N	yes	n/a
JANUS HENDERSON INVESTORS (AUSTRALIA) FUNDS MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
JANUS HENDERSON INVESTORS (AUSTRALIA) INSTITUTIONAL FUNDS MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
JANUS HENDERSON INVESTORS (JAPAN) LIMITED	n/a	n/a	n/a	N	yes	n/a
JANUS HENDERSON INVESTORS HONG KONG LIMITED	n/a	n/a	n/a	N	yes	n/a
OPTIMUM INVESTMENT MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a

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 29, 2018	$444M	$444M	984	100	0	n/a	n/a
2016	Mar 17, 2017	$14B	$14B	81	14	n/a	n/a	n/a
2015	Mar 28, 2016	$16B	$16B	80	14	n/a	n/a	n/a
2014	Mar 20, 2015	$13B	$13B	75	19	n/a	n/a	n/a
2013	Mar 28, 2014	$13B	$12B	89	10	n/a	2	$155M
2012	Mar 28, 2013	$9.1B	$8.3B	96	10	n/a	2	$196M
2011	Mar 30, 2012	$8.2B	$7.4B	n/a	n/a	n/a	9	$2.2B

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	$444M	$14B	-96.8%	$13B	-67.7%	984	81	0	n/a

Relationships

Affiliated with (9)

→ JANUS HENDERSON INVESTORSRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ GENEVA CAPITAL MANAGEMENT LLCRegistered adviserother investment adviser, control, common control
factForm ADV
→ HENDERSON INVESTMENT MANAGEMENT LTD.Registered adviserother investment adviser, common control
factForm ADV
→ INTECHRegistered adviserother investment adviser, common control
factForm ADV
→ PERKINS INVESTMENT MANAGEMENT LLCRegistered adviserother investment adviser, bank, common control
factForm ADV
→ ALPHAGEN CAPITAL LIMITEDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ KAPSTREAM CAPITALRegistered adviserother investment adviser, common control
factForm ADV
← HENDERSON INVESTMENT MANAGEMENT LTD.Registered adviserother investment adviser, bank, common control
factForm ADV
← NORTHERN PINES HENDERSON CAPITAL, LLCRegistered adviserother investment adviser, bank, common control
factForm ADV

Controls (15)

← WOLD, SUSAN, KELLYOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2018 to presentfactForm ADV
← ELDER, MICHAEL, DREWOwnerSENIOR VICE PRESIDENT, HEAD OF NORTH AMERICAN DISTRIBUTION, ownership code NA, individual
Jun 19, 2017 to presentfactForm ADV
← ROSENBERG, MICHELLE, ROSEOwnerSECRETARY, ownership code NA, individual
Jun 19, 2017 to presentfactForm ADV
← HUGHES, BRENNAN, ALLENOwnerSENIOR VICE PRESIDENT, TREASURER, ownership code NA, individual
Jun 19, 2017 to presentfactForm ADV
← STEFONICK, AMY, JOOwnerASSISTANT SECRETARY, ownership code NA, individual
Jun 19, 2017 to presentfactForm ADV
← KOEPFGEN, BRUCE, LEWISOwnerPRESIDENT, ownership code NA, individual
Jun 19, 2017 to presentfactForm ADV
← HENDERSON GLOBAL GROUP LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← HENDERSON GLOBAL INVESTORS (HOLDINGS) LTD.OwnerSHAREHOLDER, ownership code E, foreign entity
Jun 19, 2017 to presentfactForm ADV
← HENDERSON GLOBAL INVESTORS (INTERNATIONAL HOLDINGS) BVOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← HENDERSON GROUP HOLDINGS ASSET MANAGEMENT LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Feb 20, 2013 to presentfactForm ADV
← HENDERSON HOLDINGS GROUP LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← HENDERSON INTERNATIONAL INC.Owner100% SHAREHOLDER, ownership code E, domestic entity
Mar 30, 2012 to presentfactForm ADV
← HGI ASSET MANAGEMENT GROUP LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Feb 20, 2013 to presentfactForm ADV
← HGI GROUP LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 30, 2012 to presentfactForm ADV
← JANUS HENDERSON GROUP PLCOwnerSHAREHOLDER, ownership code E, foreign entity
Jun 19, 2017 to presentfactForm ADV

Registered with (7)

← ANDREW CHARLES WILSONAdvisorregistration: previous registration
Dec 15, 2015 to May 31, 2017factForm ADV
← KEVIN JON GLAVINAdvisorregistration: previous registration
Sep 14, 2009 to May 30, 2017factForm ADV
← NICHOLAS CHARLES BAUERAdvisorregistration: previous registration
Aug 3, 2015 to Jan 12, 2017factForm ADV
← MARC WALTER CORIGLIANOAdvisorregistration: previous registration
Oct 20, 2015 to Sep 6, 2016factForm ADV
← MATTHEW PAUL PISTORIOAdvisorregistration: previous registration
Sep 27, 2007 to Mar 5, 2015factForm ADV
← Christopher Dean TorresAdvisorregistration: previous registration
Mar 6, 2003 to Jan 2, 2013factForm ADV
← STEPHEN REX JOHNSONAdvisorregistration: previous registration
Nov 21, 2005 to Mar 1, 2007factForm ADV

Advises (9)

→ HENDERSON INTERNATIONAL ACWI EX-US, LPPrivate fundOther Private Fund, IA, no longer reported
Mar 30, 2012 to Jan 5, 2015factForm ADV
→ HENDERSON NORTH AMERICA PROPERTY FUND, LPPrivate fundReal Estate Fund, IA, no longer reported
Mar 30, 2012 to Mar 28, 2014factForm ADV
→ CASA PARTNERS II, L.P.Private fundReal Estate Fund, IA, no longer reported
Mar 30, 2012 to Nov 14, 2012factForm ADV
→ SPECIAL ACCOUNT - U, LPPrivate fundReal Estate Fund, IA, no longer reported
Mar 30, 2012 to Nov 14, 2012factForm ADV
→ CASA GROUP, LLCPrivate fundReal Estate Fund, IA, no longer reported
Mar 30, 2012 to Nov 14, 2012factForm ADV
→ CASA PARTNERS V, LPPrivate fundReal Estate Fund, IA, no longer reported
Mar 30, 2012 to Nov 14, 2012factForm ADV
→ HENDERSON ASIA PACIFIC ABSOLUTE RETURN FUND I INCPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Nov 14, 2012factForm ADV
→ CASA PARTNERS III L.PPrivate fundReal Estate Fund, IA, no longer reported
Mar 30, 2012 to Nov 14, 2012factForm ADV
→ CASA PARTNERS IV, LPPrivate fundReal Estate Fund, IA, no longer reported
Mar 30, 2012 to Nov 14, 2012factForm ADV

Dated events

Occurred
Mar 29, 2018
Regulatory AUM changed
Janus Henderson Investors reported RAUM $443.8M, down 62% from $1.2B (2017-09-15 to 2018-03-29)
Form ADVobserved 5 days ago
$-727M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:22b5f07b-eb9c-4501-c8be-a35d442cdb55
First observed: Mar 30, 2012
Last observed: Mar 29, 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.

JANUS HENDERSON INVESTORS

HENDERSON GLOBAL INVESTORS (NORTH AMERICA) INC., CRD 107300

DENVER, CO

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:22b5f07b-eb9c-4501-c8be-a35d442cdb55

Data as of Mar 29, 2018 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:06 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

CASA PARTNERS IV, LP

Real Estate Fund

$488M

Nov 14, 2012

Mar 30, 2012

dropped

n/a

CASA PARTNERS III L.P

Real Estate Fund

$480M

Nov 14, 2012

Mar 30, 2012

dropped

021-70512

CASA PARTNERS II, L.P.

Real Estate Fund

$378M

Nov 14, 2012

Mar 30, 2012

dropped

021-41400

CASA GROUP, LLC

Real Estate Fund

$283M

Nov 14, 2012

Mar 30, 2012

dropped

n/a

CASA PARTNERS V, LP

Real Estate Fund

$163M

Nov 14, 2012

Mar 30, 2012

dropped

021-159331

HENDERSON NORTH AMERICA PROPERTY FUND, LP

Real Estate Fund

$146M

Mar 28, 2014

Mar 30, 2012

dropped

021-82320

SPECIAL ACCOUNT - U, LP

Real Estate Fund

$122M

Nov 14, 2012

Mar 30, 2012

dropped

n/a

HENDERSON ASIA PACIFIC ABSOLUTE RETURN FUND I INC

Hedge Fund

$42.7M

Nov 14, 2012

Mar 30, 2012

dropped

021-52892

HENDERSON INTERNATIONAL ACWI EX-US, LP

Other Private Fund

$9.9M

Jan 5, 2015

Mar 30, 2012

dropped

021-151159

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

ELDER, MICHAEL, DREW

SENIOR VICE PRESIDENT, HEAD OF NORTH AMERICAN DISTRIBUTION

yes

05/2017

Jun 19, 2017

Mar 29, 2018

HENDERSON GLOBAL GROUP LIMITED

Shareholder

yes

09/2009

Mar 30, 2012

Mar 29, 2018

HENDERSON GLOBAL INVESTORS (HOLDINGS) LTD.

Shareholder

yes

04/1999

Jun 19, 2017

Mar 29, 2018

HENDERSON GLOBAL INVESTORS (INTERNATIONAL HOLDINGS) BV

Shareholder

yes

12/2002

Mar 30, 2012

Mar 29, 2018

HENDERSON GROUP HOLDINGS ASSET MANAGEMENT LIMITED

Shareholder

yes

12/2012

Feb 20, 2013

Mar 29, 2018

HENDERSON HOLDINGS GROUP LIMITED

Shareholder

yes

09/2009

Mar 30, 2012

Mar 29, 2018

HENDERSON HOLDINGS LIMITED

Shareholder

yes

04/1999

Mar 30, 2012

Mar 29, 2018

HENDERSON INTERNATIONAL INC.

100% SHAREHOLDER

yes

12/2002

Mar 30, 2012

Mar 29, 2018

HGI ASSET MANAGEMENT GROUP LIMITED

Shareholder

yes

12/2012

Feb 20, 2013

Mar 29, 2018

HGI GROUP LIMITED

Shareholder

yes

04/1999

Mar 30, 2012

Mar 29, 2018

HUGHES, BRENNAN, ALLEN

SENIOR VICE PRESIDENT, TREASURER

yes

05/2017

Jun 19, 2017

Mar 29, 2018

JANUS HENDERSON GROUP PLC

Shareholder

yes

09/2009

Jun 19, 2017

Mar 29, 2018

KOEPFGEN, BRUCE, LEWIS

President

yes

05/2017

Jun 19, 2017

Mar 29, 2018

ROSENBERG, MICHELLE, ROSE

Secretary

yes

05/2017

Jun 19, 2017

Mar 29, 2018

STEFONICK, AMY, JO

ASSISTANT SECRETARY

yes

05/2017

Jun 19, 2017

Mar 29, 2018

WOLD, SUSAN, KELLY

CHIEF COMPLIANCE OFFICER

yes

12/2017

Mar 29, 2018

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

JANUS CAPITAL MANAGEMENT LLC

n/a

Asset manager

$380B

yes

n/a

INTECH INVESTMENT MANAGEMENT LLC

n/a

Other adviser

$15B

yes

n/a

HENDERSON INVESTMENT MANAGEMENT LIMITED

n/a

Former SEC adviser

$12B

yes

n/a

PERKINS INVESTMENT MANAGEMENT LLC

n/a

Former SEC adviser

$8.0B

yes

n/a

KAPSTREAM CAPITAL PTY LIMITED

n/a

Former SEC adviser

$6.7B

yes

n/a

GENEVA CAPITAL MANAGEMENT LLC

n/a

Other adviser

$5.6B

yes

n/a

ALPHAGEN CAPITAL LIMITED

n/a

Former SEC adviser

$2.1B

yes

n/a

GARTMORE INVESTMENT LIMITED

n/a

yes

n/a

HENDERSON EQUITY PARTNERS LIMITED

n/a

yes

n/a

HENDERSON GLOBAL INVESTORS (SINGAPORE) LIMITED

n/a

yes

n/a

HENDERSON GLOBAL INVESTORS LIMITED

n/a

yes

n/a

HENDERSON INTERNATIONAL GP LLC

n/a

yes

n/a

HENDERSON INVESTMENT FUNDS LIMITED

n/a

yes

n/a

HENDERSON MANAGEMENT SA

n/a

yes

n/a

JANUS CAPITAL INSTITUTIONAL ADVISERS LLC

n/a

yes

n/a

JANUS CAPITAL INTERNATIONAL LIMITED

n/a

yes

n/a

JANUS DISTRIBUTORS LLC

n/a

yes

n/a

JANUS HENDERSON INVESTORS (AUSTRALIA) FUNDS MANAGEMENT LIMITED

n/a

yes

n/a

JANUS HENDERSON INVESTORS (AUSTRALIA) INSTITUTIONAL FUNDS MANAGEMENT LIMITED

n/a

yes

n/a

JANUS HENDERSON INVESTORS (JAPAN) LIMITED

n/a

yes

n/a

JANUS HENDERSON INVESTORS HONG KONG LIMITED

n/a

yes

n/a

OPTIMUM INVESTMENT MANAGEMENT LIMITED

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2017

Mar 29, 2018

$444M

984

100

n/a

2016

Mar 17, 2017

$14B

n/a

2015

Mar 28, 2016

$16B

n/a

2014

Mar 20, 2015

$13B

n/a

2013

Mar 28, 2014

$13B

$12B

n/a

$155M

2012

Mar 28, 2013

$9.1B

$8.3B

n/a

$196M

2011

Mar 30, 2012

$8.2B

$7.4B

n/a

$2.2B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2017

$444M

$14B

-96.8%

$13B

-67.7%

984

n/a