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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM none

CAPITAL INTERNATIONAL RESEARCH, INC.

CRD 110688

LOS ANGELES, CA

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:79efd5a4-b56f-0a0d-e61f-a5505939e6c0

Data as of Sep 26, 2013 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:57 AM UTC and rebuilt at most every 15 minutes.

Relationships: 18
Dated events: 0
On other graphs: 0
Observed: Dec 19, 2011 to Sep 26, 2013
4 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
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Advisors on IAPD: 0
Employees: 69
Advisory employees: 58
SEC number: 801-54943
CRD: 110688
Filings on the tape: 4
First filed: Dec 19, 2011
Latest filed: Sep 26, 2013
Organised: Corporation, California

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
CAPITAL GROUP INTERNATIONAL, INC.	Shareholder	E	yes	12/1984	Dec 19, 2011	Sep 26, 2013
HINMAN, JENNIFER, L.	Director	Na	yes	08/2004	Dec 19, 2011	Sep 26, 2013
KOZLOFF, EMSIE, PARKER	DIRECTOR & SENIOR VICE PRESIDENT - CII DIVISION	Na	yes	06/2009	Dec 19, 2011	Sep 26, 2013
LEE, DAVID, SOONIL	DIRECTOR & SENIOR VICE PRESIDENT - CFII DIVISION	Na	yes	03/2011	Dec 19, 2011	Sep 26, 2013
MACDONALD, FERGUS, NOBLE	Director	Na	yes	12/2009	Dec 19, 2011	Sep 26, 2013
NUTTER, GEORGE, ERNEST	DIRECTOR & SENIOR VICE PRESIDENT - CII DIVISION	Na	yes	03/2011	Dec 19, 2011	Sep 26, 2013
ROBBINS, WILLIAM, LEBUS	DIRECTOR, CHAIRMAN & GLOBAL RESEARCH COORDINATOR	Na	yes	09/2012	Sep 28, 2012	Sep 26, 2013
SCOFIELD, JANE, MARIE	CHIEF COMPLIANCE OFFICER	Na	yes	01/2012	Dec 19, 2011	Sep 26, 2013
TAYLOR, FRED, CHAPMAN	DIRECTOR & SENIOR VICE PRESIDENT - CII DIVISION	Na	yes	03/2005	Dec 19, 2011	Sep 26, 2013
THE CAPITAL GROUP COMPANIES, INC.	Shareholder	E	yes	12/1984	Dec 19, 2011	Sep 26, 2013
TORRENS, TARA, LYNN	Director	Na	no	12/2011	Dec 19, 2011	Sep 26, 2013

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
CAPITAL RESEARCH AND MANAGEMENT COMPANY	n/a	Asset manager	$3754B	N	yes	n/a
CAPITAL INTERNATIONAL, INC.	n/a	Other adviser	$52B	N	yes	n/a
CAPITAL GUARDIAN TRUST COMPANY	n/a	Former SEC adviser	$46B	N	yes	n/a
CAPITAL RESEARCH COMPANY	n/a	No RAUM reported	$0	N	yes	n/a
AMERICAN FUNDS DISTRIBUTORS, INC.	n/a	No RAUM reported	n/a	N	yes	n/a
CAPITAL BANK AND TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
CAPITAL GUARDIAN (CANADA), INC.	n/a	Former SEC adviser	n/a	N	yes	n/a
CAPITAL GUARDIAN TRUST COMPANY, A NEVADA CORPORATION	n/a	n/a	n/a	N	yes	n/a
CAPITAL INTERNATIONAL ASSET MANGEMENT (CANADA), INC.	n/a	n/a	n/a	N	yes	n/a
CAPITAL INTERNATIONAL INVESTMENTS IV, L.P.	n/a	n/a	n/a	N	yes	n/a
CAPITAL INTERNATIONAL INVESTMENTS IV, LLC	n/a	n/a	n/a	N	yes	n/a
CAPITAL INTERNATIONAL INVESTMENTS V, L.P.	n/a	n/a	n/a	N	yes	n/a
CAPITAL INTERNATIONAL INVESTMENTS V, LLC	n/a	n/a	n/a	N	yes	n/a
CAPITAL INTERNATIONAL INVESTMENTS VI, L.P.	n/a	n/a	n/a	N	yes	n/a
CAPITAL INTERNATIONAL INVESTMENTS VI, LTD.	n/a	n/a	n/a	N	yes	n/a
CAPITAL INTERNATIONAL INVESTMENTS, LLC	n/a	n/a	n/a	N	yes	n/a
CAPITAL INTERNATIONAL K.K.	n/a	n/a	n/a	N	yes	n/a
CAPITAL INTERNATIONAL LIMITED	n/a	n/a	n/a	N	yes	n/a
CAPITAL INTERNATIONAL SARL	n/a	n/a	n/a	N	yes	n/a
CIPEF, INC.	n/a	Former SEC adviser	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
London	n/a	United Kingdom	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
2013	Sep 26, 2013	n/a	n/a	69	58	n/a	n/a	n/a
2012	Sep 28, 2012	n/a	n/a	n/a	n/a	n/a	n/a	n/a

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
2013	n/a	n/a	n/a	n/a	n/a	69	n/a	n/a	n/a

Relationships

Affiliated with (7)

→ CAPITAL GUARDIAN TRUST COMPANYRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ CAPITAL GUARDIAN (CANADA), INC.Registered adviserother investment adviser, common control
factForm ADV
→ CAPITAL INTERNATIONAL, INC.Registered adviserother investment adviser, common control
factForm ADV
→ CAPITAL RESEARCH COMPANYRegistered adviserother investment adviser, common control
factForm ADV
→ CAPITAL RESEARCH AND MANAGEMENT COMPANYRegistered adviserother investment adviser, bank, common control
factForm ADV
→ CAPITAL GROUP PRIVATE MARKETS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ CAPITAL CLIENT GROUP, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (10)

← ROBBINS, WILLIAM, LEBUSOwnerDIRECTOR, CHAIRMAN & GLOBAL RESEARCH COORDINATOR, ownership code NA, individual
Sep 28, 2012 to presentfactForm ADV
← KOZLOFF, EMSIE, PARKEROwnerDIRECTOR & SENIOR VICE PRESIDENT - CII DIVISION, ownership code NA, individual
Dec 19, 2011 to presentfactForm ADV
← MACDONALD, FERGUS, NOBLEOwnerDIRECTOR, ownership code NA, individual
Dec 19, 2011 to presentfactForm ADV
← NUTTER, GEORGE, ERNESTOwnerDIRECTOR & SENIOR VICE PRESIDENT - CII DIVISION, ownership code NA, individual
Dec 19, 2011 to presentfactForm ADV
← HINMAN, JENNIFER, L.OwnerDIRECTOR, ownership code NA, individual
Dec 19, 2011 to presentfactForm ADV
← TAYLOR, FRED, CHAPMANOwnerDIRECTOR & SENIOR VICE PRESIDENT - CII DIVISION, ownership code NA, individual
Dec 19, 2011 to presentfactForm ADV
← SCOFIELD, JANE, MARIEOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
Dec 19, 2011 to presentfactForm ADV
← LEE, DAVID, SOONILOwnerDIRECTOR & SENIOR VICE PRESIDENT - CFII DIVISION, ownership code NA, individual
Dec 19, 2011 to presentfactForm ADV
← CAPITAL GROUP INTERNATIONAL, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Dec 19, 2011 to presentfactForm ADV
← THE CAPITAL GROUP COMPANIES, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Dec 19, 2011 to presentfactForm ADV

Owns (1)

← TORRENS, TARA, LYNNOwnerDIRECTOR, ownership code NA, individual
Dec 19, 2011 to presentfactForm ADV

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:79efd5a4-b56f-0a0d-e61f-a5505939e6c0
First observed: Dec 19, 2011
Last observed: Sep 26, 2013 158 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.

CAPITAL INTERNATIONAL RESEARCH, INC.

CRD 110688

LOS ANGELES, CA

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:79efd5a4-b56f-0a0d-e61f-a5505939e6c0

Data as of Sep 26, 2013 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 3:57 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

CAPITAL GROUP INTERNATIONAL, INC.

Shareholder

yes

12/1984

Dec 19, 2011

Sep 26, 2013

HINMAN, JENNIFER, L.

Director

yes

08/2004

Dec 19, 2011

Sep 26, 2013

KOZLOFF, EMSIE, PARKER

DIRECTOR & SENIOR VICE PRESIDENT - CII DIVISION

yes

06/2009

Dec 19, 2011

Sep 26, 2013

LEE, DAVID, SOONIL

DIRECTOR & SENIOR VICE PRESIDENT - CFII DIVISION

yes

03/2011

Dec 19, 2011

Sep 26, 2013

MACDONALD, FERGUS, NOBLE

Director

yes

12/2009

Dec 19, 2011

Sep 26, 2013

NUTTER, GEORGE, ERNEST

DIRECTOR & SENIOR VICE PRESIDENT - CII DIVISION

yes

03/2011

Dec 19, 2011

Sep 26, 2013

ROBBINS, WILLIAM, LEBUS

DIRECTOR, CHAIRMAN & GLOBAL RESEARCH COORDINATOR

yes

09/2012

Sep 28, 2012

Sep 26, 2013

SCOFIELD, JANE, MARIE

CHIEF COMPLIANCE OFFICER

yes

01/2012

Dec 19, 2011

Sep 26, 2013

TAYLOR, FRED, CHAPMAN

DIRECTOR & SENIOR VICE PRESIDENT - CII DIVISION

yes

03/2005

Dec 19, 2011

Sep 26, 2013

THE CAPITAL GROUP COMPANIES, INC.

Shareholder

yes

12/1984

Dec 19, 2011

Sep 26, 2013

TORRENS, TARA, LYNN

Director

12/2011

Dec 19, 2011

Sep 26, 2013

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

CAPITAL RESEARCH AND MANAGEMENT COMPANY

n/a

Asset manager

$3754B

yes

n/a

CAPITAL INTERNATIONAL, INC.

n/a

Other adviser

$52B

yes

n/a

CAPITAL GUARDIAN TRUST COMPANY

n/a

Former SEC adviser

$46B

yes

n/a

CAPITAL RESEARCH COMPANY

n/a

No RAUM reported

yes

n/a

AMERICAN FUNDS DISTRIBUTORS, INC.

n/a

No RAUM reported

n/a

yes

n/a

CAPITAL BANK AND TRUST COMPANY

n/a

yes

n/a

CAPITAL GUARDIAN (CANADA), INC.

n/a

Former SEC adviser

n/a

yes

n/a

CAPITAL GUARDIAN TRUST COMPANY, A NEVADA CORPORATION

n/a

yes

n/a

CAPITAL INTERNATIONAL ASSET MANGEMENT (CANADA), INC.

n/a

yes

n/a

CAPITAL INTERNATIONAL INVESTMENTS IV, L.P.

n/a

yes

n/a

CAPITAL INTERNATIONAL INVESTMENTS IV, LLC

n/a

yes

n/a

CAPITAL INTERNATIONAL INVESTMENTS V, L.P.

n/a

yes

n/a

CAPITAL INTERNATIONAL INVESTMENTS V, LLC

n/a

yes

n/a

CAPITAL INTERNATIONAL INVESTMENTS VI, L.P.

n/a

yes

n/a

CAPITAL INTERNATIONAL INVESTMENTS VI, LTD.

n/a

yes

n/a

CAPITAL INTERNATIONAL INVESTMENTS, LLC

n/a

yes

n/a

CAPITAL INTERNATIONAL K.K.

n/a

yes

n/a

CAPITAL INTERNATIONAL LIMITED

n/a

yes

n/a

CAPITAL INTERNATIONAL SARL

n/a

yes

n/a

CIPEF, INC.

n/a

Former SEC adviser

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

London

n/a

United Kingdom

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2013

Sep 26, 2013

n/a

2012

Sep 28, 2012

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2013

n/a