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

THE BOSTON COMPANY ASSET MANAGEMENT LLC

CRD 105616

BOSTON, MA

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Search this name across graphsid dfx:ria:6c6792be-44eb-3cac-7ea0-49dec1eecc3d

Data as of Nov 15, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:08 AM UTC and rebuilt at most every 15 minutes.

Relationships: 70
Dated events: 0
On other graphs: 0
Observed: Dec 19, 2011 to Nov 15, 2017
25 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: $20BItem 5.F on the latest filing (2017-11-15); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $20B
Private client RAUM: $4.7MderivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 149
Advisory employees: 81
Offices: 2Schedule D 1.F, beyond the principal office
Accounts: 207
Individual clients: 0
High net worth clients: 32
Private funds: 5Schedule D 7.B(1)
Private fund GAV: $198Mgross asset value as reported per fund; never fund size
Custody, client assets: $198M
SEC number: 801-6829
CRD: 105616
Filings on the tape: 25
First filed: Dec 19, 2011
Latest filed: Nov 15, 2017
Organised: Limited Liability Company, Massachusetts

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
HARBORWALK GLOBAL ALLOCATION IDF, LP	Hedge Fund	$13.9M	Nov 30, 2015	2	May 19, 2014	dropped	n/a
HARBORWALK EVENT DRIVEN MASTER FUND, LP	Hedge Fund	$12.5M	Nov 30, 2015	14	Feb 23, 2015	dropped	n/a
HARBORWALK MLP FUND, LP	Hedge Fund	$11.0M	Nov 15, 2017	13	Feb 23, 2015	reported	n/a
THE BOSTON COMPANY MULTI-ALPHA MARKET NEUTRAL EQUITY FUND LP	Hedge Fund	$10.8M	May 24, 2013	5	Mar 30, 2012	dropped	021-156440
THE BOSTON COMPANY T.M.T. ALPHA OPPORTUNITIES FUND LP	Hedge Fund	$9.3M	Feb 23, 2015	14	Mar 30, 2012	dropped	021-168602
HARBORWALK GLOBAL HEALTHCARE MASTER FUND LTD.	Hedge Fund	$8.1M	Mar 30, 2016	7	May 24, 2013	dropped	021-191687
THE BOSTON COMPANY DISCOVERY FUND LP	Hedge Fund	$3.3M	May 24, 2013	4	Mar 30, 2012	dropped	021-168600
THE BOSTON COMPANY MICROCAP PORTFOLIO	Hedge Fund	$1.9M	Apr 1, 2013	3	Mar 30, 2012	dropped	021-85324
HARBORWALK GLOBAL INDEPENDENCE FUND LP	Hedge Fund	$1.8M	Jan 19, 2017	2	Aug 19, 2015	reported	021-243292
THE BOSTON COMPANY EQUITY MARKET NEUTRAL MASTER PORTFOLIO	Other Private Fund	$297,439	Mar 31, 2015	5	Jun 29, 2012	dropped	n/a
THE BOSTON COMPANY MICROCAP PORTFOLIO LP	Hedge Fund	$17,504	Apr 1, 2013	8	Mar 30, 2012	dropped	021-128753

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
BNY MELLON IHC, LLC	SOLE OWNER	E	yes	04/2017	Jul 6, 2017	Nov 15, 2017
BRISK, GREGORY, ALLAN	Manager	Na	yes	07/2016	Aug 26, 2016	Nov 15, 2017
CASSEDY, JENNIFER	CHIEF COMPLIANCE OFFICER & CHIEF ADMINISTRATIVE OFFICER	Na	yes	06/2000	Dec 19, 2011	Nov 15, 2017
DAGLIO, DAVID, ANTONIO	Manager	Na	yes	03/2015	Mar 31, 2015	Nov 15, 2017
GENNACO, JOSEPH, PATRICK	Manager	Na	yes	02/2008	Dec 19, 2011	Nov 15, 2017
GERMANO, MICHAEL, ANTHONY	Manager	Na	yes	10/2017	Nov 15, 2017	Nov 15, 2017
JOFFE, ADAM, BRETT	CHAIRMAN & CHIEF EXECUTIVE OFFICER, MANAGER	Na	yes	10/2014	Feb 23, 2015	Nov 15, 2017
LADD, EDWARD, HOMER	Manager	Na	yes	07/2003	Dec 19, 2011	Nov 15, 2017
LEDUC, DAVID, C	Manager	Na	yes	10/2017	Nov 15, 2017	Nov 15, 2017
LEWIN, JAMIE, WILLIAM	Manager	Na	yes	10/2017	Nov 15, 2017	Nov 15, 2017
LILLARD, LINDA, TUNG	Manager	Na	yes	10/2017	Nov 15, 2017	Nov 15, 2017
LOEB, THOMAS	Manager	Na	yes	10/2017	Nov 15, 2017	Nov 15, 2017
MAC INTYRE, JAMES, DESMOND	Manager	Na	yes	07/2017	Aug 11, 2017	Nov 15, 2017
MBC INVESTMENTS CORPORATION	SOLE MEMBER	E	yes	04/2017	Mar 30, 2017	Nov 15, 2017
Oomen, Matthew, John	Manager	Na	yes	10/2017	Nov 15, 2017	Nov 15, 2017
OVER, ALEXANDER, BRIAN	Manager	Na	yes	10/2017	Nov 15, 2017	Nov 15, 2017
PARCELLA, GABRIELA, FRANCO	Manager	Na	yes	10/2017	Nov 15, 2017	Nov 15, 2017
THE BANK OF NEW YORK MELLON CORPORATION	Shareholder	E	yes	12/2008	Dec 19, 2011	Nov 15, 2017
ZHANG, JEFF, JIANFENG	Manager	Na	yes	10/2017	Nov 15, 2017	Nov 15, 2017

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 72

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
MELLON CAPITAL MANAGEMENT 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
STANDISH MELLON ASSET MANAGEMENT COMPANY LLC	n/a	Former SEC adviser	$130B	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
CUTWATER INVESTOR SERVICES CORP.	n/a	Former SEC adviser	$15B	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
CENTERSQUARE INVESTMENT MANAGEMENT, INC.	n/a	Former SEC adviser	$7.9B	N	yes	n/a
HEDGEMARK ADVISORS, LLC	n/a	Former SEC adviser	$7.1B	N	yes	n/a
PARETO INVESTMENT MANAGEMENT LIMITED	n/a	Former SEC adviser	$3.0B	N	yes	n/a
ARX INVESTIMENTOS LTDA	n/a	Former SEC adviser	$1.9B	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
CENTERSQUARE INVESTMENT MANAGEMENT HOLDINGS, INC.	n/a	Former SEC adviser	$577M	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	N	yes	n/a
STANDISH MELLON ASSET MANAGEMENT (UK) LIMITED	n/a	Former SEC adviser	$232M	N	yes	n/a
BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED	n/a	Former SEC adviser	$78.5M	N	yes	n/a
MELLON HEDGE ADVISORS, LLC	n/a	Former SEC adviser	$0	N	yes	n/a
BNY MELLON ADMINISTRACAO 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	Former SEC adviser	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 S.A.	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	2	no
Greenwich	Ct	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
2016	Mar 30, 2017	$20B	$20B	149	81	n/a	5	$198M
2015	Mar 30, 2016	$19B	$19B	158	84	n/a	6	$91.1M
2014	Mar 31, 2015	$26B	$26B	157	74	n/a	6	$124M
2013	Mar 31, 2014	$24B	$24B	210	75	n/a	4	$102M
2012	Apr 1, 2013	$20B	$20B	238	72	n/a	7	$113M
2011	Mar 30, 2012	$19B	$19B	n/a	n/a	n/a	6	$249M

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
2016	$20B	$19B	9.0%	$24B	-5.9%	149	158	2	n/a

Relationships

Affiliated with (40)

→ 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
→ CENTERSQUARE INVESTMENT MANAGEMENT HOLDINGS, INC.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ INSIGHT INVESTMENTRegistered adviserother investment adviser, bank, common control
factForm ADV
→ INSIGHT INVESTMENTRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ CENTERSQUARE INVESTMENT MANAGEMENT, INC.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ NEWTON INVESTMENT MANAGEMENT LTDRegistered adviserother investment adviser, bank, common control
factForm ADV
→ WALTER SCOTT & PARTNERS LIMITEDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ STANDISHRegistered adviserother investment adviser, bank, common control
factForm ADV
→ BSP NY LLCRegistered adviserother investment adviser, 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, common control
factForm ADV
→ ARX INVESTIMENTOS LTDARegistered adviserother investment adviser, bank, common control
factForm ADV
→ HEDGEMARK ADVISORS, LLCRegistered adviserother investment adviser, common control
factForm ADV
→ BENEFIT STREET PARTNERS LIMITEDRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ MELLON INVESTMENTS (UK) LIMITEDRegistered adviserother investment adviser, common control
factForm ADV
→ BNY MELLON INVESTMENT MANAGEMENT HONG KONG LIMITEDRegistered adviserother investment adviser, broker-dealer, pooled vehicle sponsor, common control
factForm ADV
→ BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITEDRegistered adviserother investment adviser, 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, 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, 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
and 10 more

Advises (11)

→ HARBORWALK MLP FUND, LPPrivate fundHedge Fund, IA
Feb 23, 2015 to presentfactForm ADV
→ HARBORWALK GLOBAL INDEPENDENCE FUND LPPrivate fundHedge Fund, IA
Aug 19, 2015 to presentfactForm ADV
→ HARBORWALK GLOBAL HEALTHCARE MASTER FUND LTD.Private fundHedge Fund, IA, no longer reported
May 24, 2013 to Mar 30, 2016factForm ADV
→ HARBORWALK EVENT DRIVEN MASTER FUND, LPPrivate fundHedge Fund, IA, no longer reported
Feb 23, 2015 to Nov 30, 2015factForm ADV
→ HARBORWALK GLOBAL ALLOCATION IDF, LPPrivate fundHedge Fund, IA, no longer reported
May 19, 2014 to Nov 30, 2015factForm ADV
→ THE BOSTON COMPANY EQUITY MARKET NEUTRAL MASTER PORTFOLIOPrivate fundOther Private Fund, IA, no longer reported
Jun 29, 2012 to Mar 31, 2015factForm ADV
→ THE BOSTON COMPANY T.M.T. ALPHA OPPORTUNITIES FUND LPPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Feb 23, 2015factForm ADV
→ THE BOSTON COMPANY DISCOVERY FUND LPPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to May 24, 2013factForm ADV
→ THE BOSTON COMPANY MULTI-ALPHA MARKET NEUTRAL EQUITY FUND LPPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to May 24, 2013factForm ADV
→ THE BOSTON COMPANY MICROCAP PORTFOLIO LPPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Apr 1, 2013factForm ADV
→ THE BOSTON COMPANY MICROCAP PORTFOLIOPrivate fundHedge Fund, IA, no longer reported
Mar 30, 2012 to Apr 1, 2013factForm ADV

Controls (19)

← GENNACO, JOSEPH, PATRICKOwnerMANAGER, ownership code NA, individual
Dec 19, 2011 to presentfactForm ADV
← LOEB, THOMASOwnerMANAGER, ownership code NA, individual
Nov 15, 2017 to presentfactForm ADV
← JOFFE, ADAM, BRETTOwnerCHAIRMAN & CHIEF EXECUTIVE OFFICER, MANAGER, ownership code NA, individual
Feb 23, 2015 to presentfactForm ADV
← LEDUC, DAVID, COwnerMANAGER, ownership code NA, individual
Nov 15, 2017 to presentfactForm ADV
← ZHANG, JEFF, JIANFENGOwnerMANAGER, ownership code NA, individual
Nov 15, 2017 to presentfactForm ADV
← LADD, EDWARD, HOMEROwnerMANAGER, ownership code NA, individual
Dec 19, 2011 to presentfactForm ADV
← CASSEDY, JENNIFEROwnerCHIEF COMPLIANCE OFFICER & CHIEF ADMINISTRATIVE OFFICER, ownership code NA, individual
Dec 19, 2011 to presentfactForm ADV
← PARCELLA, GABRIELA, FRANCOOwnerMANAGER, ownership code NA, individual
Nov 15, 2017 to presentfactForm ADV
← LILLARD, LINDA, TUNGOwnerMANAGER, ownership code NA, individual
Nov 15, 2017 to presentfactForm ADV
← DAGLIO, DAVID, ANTONIOOwnerMANAGER, ownership code NA, individual
Mar 31, 2015 to presentfactForm ADV
← MAC INTYRE, JAMES, DESMONDOwnerMANAGER, ownership code NA, individual
Aug 11, 2017 to presentfactForm ADV
← OVER, ALEXANDER, BRIANOwnerMANAGER, ownership code NA, individual
Nov 15, 2017 to presentfactForm ADV
← BRISK, GREGORY, ALLANOwnerMANAGER, ownership code NA, individual
Aug 26, 2016 to presentfactForm ADV
← LEWIN, JAMIE, WILLIAMOwnerMANAGER, ownership code NA, individual
Nov 15, 2017 to presentfactForm ADV
← GERMANO, MICHAEL, ANTHONYOwnerMANAGER, ownership code NA, individual
Nov 15, 2017 to presentfactForm ADV
← Oomen, Matthew, JohnOwnerMANAGER, ownership code NA, individual
Nov 15, 2017 to presentfactForm ADV
← BNY MELLON IHC, LLCOwnerSOLE OWNER, ownership code E, domestic entity
Jul 6, 2017 to presentfactForm ADV
← MBC INVESTMENTS CORPORATIONOwnerSOLE MEMBER, ownership code E, domestic entity
Mar 30, 2017 to presentfactForm ADV
← THE BANK OF NEW YORK MELLON CORPORATIONOwnerSHAREHOLDER, ownership code E, domestic entity
Dec 19, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:6c6792be-44eb-3cac-7ea0-49dec1eecc3d
First observed: Dec 19, 2011
Last observed: Nov 15, 2017 107 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.

THE BOSTON COMPANY ASSET MANAGEMENT LLC

CRD 105616

BOSTON, MA

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:6c6792be-44eb-3cac-7ea0-49dec1eecc3d

Data as of Nov 15, 2017 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 3:08 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

HARBORWALK GLOBAL ALLOCATION IDF, LP

Hedge Fund

$13.9M

Nov 30, 2015

May 19, 2014

dropped

n/a

HARBORWALK EVENT DRIVEN MASTER FUND, LP

Hedge Fund

$12.5M

Nov 30, 2015

Feb 23, 2015

dropped

n/a

HARBORWALK MLP FUND, LP

Hedge Fund

$11.0M

Nov 15, 2017

Feb 23, 2015

reported

n/a

THE BOSTON COMPANY MULTI-ALPHA MARKET NEUTRAL EQUITY FUND LP

Hedge Fund

$10.8M

May 24, 2013

Mar 30, 2012

dropped

021-156440

THE BOSTON COMPANY T.M.T. ALPHA OPPORTUNITIES FUND LP

Hedge Fund

$9.3M

Feb 23, 2015

Mar 30, 2012

dropped

021-168602

HARBORWALK GLOBAL HEALTHCARE MASTER FUND LTD.

Hedge Fund

$8.1M

Mar 30, 2016

May 24, 2013

dropped

021-191687

THE BOSTON COMPANY DISCOVERY FUND LP

Hedge Fund

$3.3M

May 24, 2013

Mar 30, 2012

dropped

021-168600

THE BOSTON COMPANY MICROCAP PORTFOLIO

Hedge Fund

$1.9M

Apr 1, 2013

Mar 30, 2012

dropped

021-85324

HARBORWALK GLOBAL INDEPENDENCE FUND LP

Hedge Fund

$1.8M

Jan 19, 2017

Aug 19, 2015

reported

021-243292

THE BOSTON COMPANY EQUITY MARKET NEUTRAL MASTER PORTFOLIO

Other Private Fund

$297,439

Mar 31, 2015

Jun 29, 2012

dropped

n/a

THE BOSTON COMPANY MICROCAP PORTFOLIO LP

Hedge Fund

$17,504

Apr 1, 2013

Mar 30, 2012

dropped

021-128753

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BNY MELLON IHC, LLC

SOLE OWNER

yes

04/2017

Jul 6, 2017

Nov 15, 2017

BRISK, GREGORY, ALLAN

Manager

yes

07/2016

Aug 26, 2016

Nov 15, 2017

CASSEDY, JENNIFER

CHIEF COMPLIANCE OFFICER & CHIEF ADMINISTRATIVE OFFICER

yes

06/2000

Dec 19, 2011

Nov 15, 2017

DAGLIO, DAVID, ANTONIO

Manager

yes

03/2015

Mar 31, 2015

Nov 15, 2017

GENNACO, JOSEPH, PATRICK

Manager

yes

02/2008

Dec 19, 2011

Nov 15, 2017

GERMANO, MICHAEL, ANTHONY

Manager

yes

10/2017

Nov 15, 2017

JOFFE, ADAM, BRETT

CHAIRMAN & CHIEF EXECUTIVE OFFICER, MANAGER

yes

10/2014

Feb 23, 2015

Nov 15, 2017

LADD, EDWARD, HOMER

Manager

yes

07/2003

Dec 19, 2011

Nov 15, 2017

LEDUC, DAVID, C

Manager

yes

10/2017

Nov 15, 2017

LEWIN, JAMIE, WILLIAM

Manager

yes

10/2017

Nov 15, 2017

LILLARD, LINDA, TUNG

Manager

yes

10/2017

Nov 15, 2017

LOEB, THOMAS

Manager

yes

10/2017

Nov 15, 2017

MAC INTYRE, JAMES, DESMOND

Manager

yes

07/2017

Aug 11, 2017

Nov 15, 2017

MBC INVESTMENTS CORPORATION

SOLE MEMBER

yes

04/2017

Mar 30, 2017

Nov 15, 2017

Oomen, Matthew, John

Manager

yes

10/2017

Nov 15, 2017

OVER, ALEXANDER, BRIAN

Manager

yes

10/2017

Nov 15, 2017

PARCELLA, GABRIELA, FRANCO

Manager

yes

10/2017

Nov 15, 2017

THE BANK OF NEW YORK MELLON CORPORATION

Shareholder

yes

12/2008

Dec 19, 2011

Nov 15, 2017

ZHANG, JEFF, JIANFENG

Manager

yes

10/2017

Nov 15, 2017

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

MELLON CAPITAL MANAGEMENT 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

STANDISH MELLON ASSET MANAGEMENT COMPANY LLC

n/a

Former SEC adviser

$130B

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

CUTWATER INVESTOR SERVICES CORP.

n/a

Former SEC adviser

$15B

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

CENTERSQUARE INVESTMENT MANAGEMENT, INC.

n/a

Former SEC adviser

$7.9B

yes

n/a

HEDGEMARK ADVISORS, LLC

n/a

Former SEC adviser

$7.1B

yes

n/a

PARETO INVESTMENT MANAGEMENT LIMITED

n/a

Former SEC adviser

$3.0B

yes

n/a

ARX INVESTIMENTOS LTDA

n/a

Former SEC adviser

$1.9B

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

CENTERSQUARE INVESTMENT MANAGEMENT HOLDINGS, INC.

n/a

Former SEC adviser

$577M

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

STANDISH MELLON ASSET MANAGEMENT (UK) LIMITED

n/a

Former SEC adviser

$232M

yes

n/a

BNY MELLON INVESTMENT MANAGEMENT SINGAPORE PTE. LIMITED

n/a

Former SEC adviser

$78.5M

yes

n/a

MELLON HEDGE ADVISORS, LLC

n/a

Former SEC adviser

yes

n/a

BNY MELLON ADMINISTRACAO 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

Former SEC adviser

n/a

yes

n/a

BNY MELLON NATIONAL ASSOCIATION

n/a

yes

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

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Denver

United States

Greenwich

United States

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2016

Mar 30, 2017

$20B

149

n/a

$198M

2015

Mar 30, 2016

$19B

158

n/a

$91.1M

2014

Mar 31, 2015

$26B

157

n/a

$124M

2013

Mar 31, 2014

$24B

210

n/a

$102M

2012

Apr 1, 2013

$20B

238

n/a

$113M

2011

Mar 30, 2012

$19B

n/a

$249M

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2016

$20B

$19B

9.0%

$24B

-5.9%

149

158

n/a