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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 1b 10b

INVESTEC ASSET MANAGEMENT US LTD.

CRD 110894

LONDON

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:28efe469-ce26-07ea-d6a4-ae061efa75e6

Data as of Jun 30, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:05 PM UTC and rebuilt at most every 15 minutes.

Relationships: 10
Dated events: 0
On other graphs: 0
Observed: Mar 29, 2012 to Jun 30, 2014
8 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: $3.2BItem 5.F on the latest filing (2014-06-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $3.2B
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: 369
Advisory employees: 102
Accounts: 13
Private funds: 6Schedule D 7.B(1)
Private fund GAV: $2.4Bgross asset value as reported per fund; never fund size
Custody, client assets: $2.3B
SEC number: 801-39266
CRD: 110894
Filings on the tape: 8
First filed: Mar 29, 2012
Latest filed: Jun 30, 2014
Organised: Corporation

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
DU TOIT, HENDRIK, JACOBUS	CHIEF EXECUTIVE, DIRECTOR	Na	yes	01/2000	Mar 29, 2012	Jun 30, 2014
FLETCHER, ADAM, JOHNE	GENERAL COUNSEL	Na	yes	12/2010	Jun 28, 2013	Jun 30, 2014
GALLAGHER, ANNE	CHIEF COMPLIANCE OFFICER	Na	yes	10/1997	Mar 29, 2012	Jun 30, 2014
GARLAND, RICHARD, DUDLEY	MANAGING DIRECTOR	Na	yes	10/2006	Mar 29, 2012	Jun 30, 2014
GREEN, JOHN, CONRAD	GLOBAL HEAD OF CLIENT GROUP	Na	yes	01/2010	Jun 30, 2014	Jun 30, 2014
INVESTEC 1 LTD	Shareholder	E	yes	09/1998	Mar 29, 2012	Jun 30, 2014
INVESTEC ASSET MANAGEMENT LIMITED	Shareholder	E	yes	09/1998	Mar 29, 2012	Jun 30, 2014
INVESTEC PLC	Shareholder	E	yes	07/2007	Mar 29, 2012	Jun 30, 2014
MCFARLAND, KIM, MARY	CHIEF FINANCIAL AND OPERATIONS OFFICER, DIRECTOR	Na	yes	11/2000	Mar 29, 2012	Jun 30, 2014

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
INVESTEC ASSET MANAGEMENT LIMITED	n/a	Other adviser	$130B	Y	yes	n/a
INVESTEC ASSET MANAGEMENT (PTY) LIMITED	n/a	n/a	n/a	N	yes	n/a
INVESTEC ASSET MANAGEMENT ASIA LTD	n/a	n/a	n/a	N	yes	n/a
INVESTEC ASSET MANAGEMENT AUSTRALIA PTY LTD	n/a	n/a	n/a	N	yes	n/a
INVESTEC ASSET MANAGEMENT GUERNSEY LTD	n/a	n/a	n/a	N	yes	n/a
INVESTEC BANK PLC	n/a	n/a	n/a	N	yes	n/a
INVESTEC PLC	n/a	n/a	n/a	Y	no	n/a
INVESTEC SECURITIES (US) LLC	n/a	n/a	n/a	N	yes	n/a
INVESTEC SECURITIES LTD	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
NEW YORK	NY	United States	n/a	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
2014	Jun 30, 2014	$3.2B	$3.2B	369	102	n/a	6	$2.4B
2013	Jun 28, 2013	$2.8B	$2.8B	319	92	n/a	4	$1.0B
2012	Mar 29, 2012	$1.7B	$1.7B	n/a	n/a	n/a	4	$281M

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
2014	$3.2B	$2.8B	14.1%	n/a	n/a	369	319	n/a	n/a

Relationships

Affiliated with (1)

→ NINETY ONE UK LIMITEDRegistered adviserother investment adviser, bank, control, common control
factForm ADV

Controls (9)

← GARLAND, RICHARD, DUDLEYOwnerMANAGING DIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← GALLAGHER, ANNEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← MCFARLAND, KIM, MARYOwnerCHIEF FINANCIAL AND OPERATIONS OFFICER, DIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← DU TOIT, HENDRIK, JACOBUSOwnerCHIEF EXECUTIVE, DIRECTOR, ownership code NA, individual
Mar 29, 2012 to presentfactForm ADV
← GREEN, JOHN, CONRADOwnerGLOBAL HEAD OF CLIENT GROUP, ownership code NA, individual
Jun 30, 2014 to presentfactForm ADV
← FLETCHER, ADAM, JOHNEOwnerGENERAL COUNSEL, ownership code NA, individual
Jun 28, 2013 to presentfactForm ADV
← INVESTEC 1 LTDOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 29, 2012 to presentfactForm ADV
← INVESTEC ASSET MANAGEMENT LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 29, 2012 to presentfactForm ADV
← INVESTEC PLCOwnerSHAREHOLDER, ownership code E, foreign entity
Mar 29, 2012 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:28efe469-ce26-07ea-d6a4-ae061efa75e6
First observed: Mar 29, 2012
Last observed: Jun 30, 2014 148 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.

INVESTEC ASSET MANAGEMENT US LTD.

CRD 110894

LONDON

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:28efe469-ce26-07ea-d6a4-ae061efa75e6

Data as of Jun 30, 2014 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 10:05 PM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

DU TOIT, HENDRIK, JACOBUS

CHIEF EXECUTIVE, DIRECTOR

yes

01/2000

Mar 29, 2012

Jun 30, 2014

FLETCHER, ADAM, JOHNE

GENERAL COUNSEL

yes

12/2010

Jun 28, 2013

Jun 30, 2014

GALLAGHER, ANNE

CHIEF COMPLIANCE OFFICER

yes

10/1997

Mar 29, 2012

Jun 30, 2014

GARLAND, RICHARD, DUDLEY

MANAGING DIRECTOR

yes

10/2006

Mar 29, 2012

Jun 30, 2014

GREEN, JOHN, CONRAD

GLOBAL HEAD OF CLIENT GROUP

yes

01/2010

Jun 30, 2014

INVESTEC 1 LTD

Shareholder

yes

09/1998

Mar 29, 2012

Jun 30, 2014

INVESTEC ASSET MANAGEMENT LIMITED

Shareholder

yes

09/1998

Mar 29, 2012

Jun 30, 2014

INVESTEC PLC

Shareholder

yes

07/2007

Mar 29, 2012

Jun 30, 2014

MCFARLAND, KIM, MARY

CHIEF FINANCIAL AND OPERATIONS OFFICER, DIRECTOR

yes

11/2000

Mar 29, 2012

Jun 30, 2014

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

INVESTEC ASSET MANAGEMENT LIMITED

n/a

Other adviser

$130B

yes

n/a

INVESTEC ASSET MANAGEMENT (PTY) LIMITED

n/a

yes

n/a

INVESTEC ASSET MANAGEMENT ASIA LTD

n/a

yes

n/a

INVESTEC ASSET MANAGEMENT AUSTRALIA PTY LTD

n/a

yes

n/a

INVESTEC ASSET MANAGEMENT GUERNSEY LTD

n/a

yes

n/a

INVESTEC BANK PLC

n/a

yes

n/a

INVESTEC PLC

n/a

INVESTEC SECURITIES (US) LLC

n/a

yes

n/a

INVESTEC SECURITIES LTD

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

NEW YORK

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2014

Jun 30, 2014

$3.2B

369

102

n/a

$2.4B

2013

Jun 28, 2013

$2.8B

319

n/a

$1.0B

2012

Mar 29, 2012

$1.7B

n/a

$281M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2014

$3.2B

$2.8B

14.1%

n/a

369

319

n/a