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

COLUMBIA THREADNEEDLE (EM) INVESTMENTS LIMITED

CRD 160460

LONDON

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Search this name across graphsid dfx:ria:a8c93030-c4f2-7fcd-63da-1adbf3c22451

Data as of Dec 12, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:53 AM UTC and rebuilt at most every 15 minutes.

Relationships: 22
Dated events: 14
On other graphs: 0
Observed: Mar 15, 2012 to Dec 12, 2023
35 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: $2.9BItem 5.F on the latest filing (2023-12-12); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $2.9B
Private client RAUM: $20.2MderivedItem 5.D individuals plus high net worth individuals
Private client share: 1%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Employees: 3
Advisory employees: 3
Offices: 0Schedule D 1.F, beyond the principal office
Accounts: 15
SEC number: 801-74649
CRD: 160460
Filings on the tape: 35
First filed: Mar 15, 2012
Latest filed: Dec 12, 2023
Organised: Corporation

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
BMO INVESTMENTS II (IRELAND) PLC-BMO LGM FRONTIER MARKETS FUND	Other Private Fund	$130M	Nov 17, 2021	34	Jan 28, 2015	dropped	021-179676

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
AMERIPRISE FINANCIAL SERVICES, LLC	Shareholder	E	yes	11/2021	Nov 15, 2021	Dec 12, 2023
AMERIPRISE FINANCIAL, INC.	Shareholder	E	yes	11/2021	Jan 28, 2022	Dec 12, 2023
APFEL, BENJAMIN, NMN	ASSOCIATE GENERAL COUNSEL	Na	yes	09/2007	Jan 27, 2017	Dec 12, 2023
COLUMBIA THREADNEEDLE INVESTMENTS UK INTERNATIONAL LIMITED	Shareholder	E	yes	11/2021	Nov 15, 2021	Dec 12, 2023
LOGAN, DAVID	EXECUTIVE DIRECTOR	Na	yes	06/2015	Jan 29, 2016	Dec 12, 2023
MAUDE, TOBY	CHIEF FINANCIAL OFFICER	Na	yes	03/2015	Mar 27, 2015	Dec 12, 2023
Buckley, Darrel, James	CHIEF COMPLIANCE OFFICER	Na	no	04/2023	May 3, 2023	Dec 12, 2023
RING, NICHOLAS, J	EXECUTIVE DIRECTOR	Na	no	11/2021	Mar 27, 2023	Dec 12, 2023
WATTS, RICHARD, ADRIAN	EXECUTIVE DIRECTOR	Na	no	02/2022	Mar 27, 2023	Dec 12, 2023

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
COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC	n/a	Asset manager	$502B	N	yes	n/a
PYRFORD INTERNATIONAL LTD	n/a	Other adviser	$7.1B	N	yes	n/a
THAMES RIVER CAPITAL LLP	n/a	Former SEC adviser	$3.1B	N	yes	n/a
AMERIPRISE CAPTIVE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
COLUMBIA THREADNEEDLE FUND MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
COLUMBIA THREADNEEDLE LUXEMBOURG S.A.	n/a	n/a	n/a	N	yes	n/a
COLUMBIA THREADNEEDLE MANAGEMENT LIMITED	n/a	n/a	n/a	N	yes	n/a
COLUMBIA THREADNEEDLE MULTI-MANAGER LLP	n/a	n/a	n/a	N	yes	n/a
COLUMBIA THREADNEEDLE NETHERLANDS B.V.	n/a	n/a	n/a	N	yes	n/a
COLUMBIA THREADNEEDLE REP AM PLC	n/a	n/a	n/a	N	yes	n/a
F&C AURORA (GP) LIMITED	n/a	n/a	n/a	N	yes	n/a
F&C CLIMATE OPPORTUNITY PARTNERS (GP) LIMITED	n/a	n/a	n/a	N	yes	n/a
F&C EUROPEAN CAPITAL PARTNERS (GP) LIMITED	n/a	n/a	n/a	N	yes	n/a
FOSCA MANAGERS SARL	n/a	n/a	n/a	N	no	n/a
THREADNEEDLE ASSET 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
2022	Mar 27, 2023	$2.9B	$2.9B	3	3	0	n/a	n/a
2021	Jan 28, 2022	$4.7B	$4.7B	16	12	0	n/a	n/a
2020	Jan 28, 2021	$4.2B	$4.2B	20	19	0	1	$130M
2019	Jan 28, 2020	$2.6B	$2.6B	19	16	0	1	$397M
2018	Jan 29, 2019	$2.6B	$2.6B	19	16	0	1	$634M
2017	Jan 25, 2018	$2.7B	$2.7B	14	11	0	1	$788M
2016	Jan 27, 2017	$2.1B	$2.1B	17	14	n/a	1	$630M
2015	Jan 29, 2016	$1.7B	$1.7B	17	11	n/a	1	$695M
2014	Jan 28, 2015	$177M	$177M	23	13	n/a	1	$656M
2013	Jan 29, 2014	$1.3B	$1.3B	18	7	n/a	n/a	n/a
2012	Jan 28, 2013	$626M	$626M	19	6	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
2022	$2.9B	$4.7B	-38.3%	$2.6B	3.9%	3	16	0	0

Relationships

Affiliated with (12)

← COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← COLUMBIA CENT CLO ADVISERS, LLCRegistered adviserother investment adviser, common control
factForm ADV
← LIONSTONE INVESTMENTSRegistered adviserother investment adviser, common control
factForm ADV
← COLUMBIA THREADNEEDLE INVESTMENTSRegistered adviserother investment adviser, common control
factForm ADV
→ PYRFORD INTERNATIONAL LTDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLCRegistered adviserother investment adviser, bank, pooled vehicle sponsor, common control
factForm ADV
→ THAMES RIVER CAPITAL LLPRegistered adviserother investment adviser, common control
factForm ADV
← BMO GLOBAL ASSET MANAGEMENTRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← LGM INVESTMENTSRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← MONEGY, INC.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← LGM INVESTMENTSRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
← M&I INVESTMENT MANAGEMENT CORP.Registered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV

Owns (3)

← RING, NICHOLAS, JOwnerEXECUTIVE DIRECTOR, ownership code NA, individual
Mar 27, 2023 to presentfactForm ADV
← WATTS, RICHARD, ADRIANOwnerEXECUTIVE DIRECTOR, ownership code NA, individual
Mar 27, 2023 to presentfactForm ADV
← Buckley, Darrel, JamesOwnerCHIEF COMPLIANCE OFFICER, ownership code NA, individual
May 3, 2023 to presentfactForm ADV

Controls (6)

← LOGAN, DAVIDOwnerEXECUTIVE DIRECTOR, ownership code NA, individual
Jan 29, 2016 to presentfactForm ADV
← AMERIPRISE FINANCIAL, INC.OwnerSHAREHOLDER, ownership code E, domestic entity
Jan 28, 2022 to presentfactForm ADV
← AMERIPRISE FINANCIAL SERVICES, LLCOwnerSHAREHOLDER, ownership code E, domestic entity
Nov 15, 2021 to presentfactForm ADV
← MAUDE, TOBYOwnerCHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 27, 2015 to presentfactForm ADV
← APFEL, BENJAMIN, NMNOwnerASSOCIATE GENERAL COUNSEL, ownership code NA, individual
Jan 27, 2017 to presentfactForm ADV
← COLUMBIA THREADNEEDLE INVESTMENTS UK INTERNATIONAL LIMITEDOwnerSHAREHOLDER, ownership code E, foreign entity
Nov 15, 2021 to presentfactForm ADV

Advises (1)

→ BMO INVESTMENTS II (IRELAND) PLC-BMO LGM FRONTIER MARKETS FUNDPrivate fundOther Private Fund, IA, no longer reported
Jan 28, 2015 to Nov 17, 2021factForm ADV

Dated events

Occurred
May 3, 2023
Control person left
David Nigel Parry (Chief Compliance Officer) no longer on Schedule A of Columbia Threadneedle (Em) Investments Limited (listed 2023-03-27, absent 2023-05-03)
Form ADVobserved 5 days ago
Occurred
Mar 27, 2023
Regulatory AUM changed
Columbia Threadneedle (Em) Investments Limited reported RAUM $2.9B, down 38% from $4.7B (2022-10-04 to 2023-03-27)
Form ADVobserved 5 days ago
$-1.8B
Occurred
Nov 15, 2021
Control person left
Lynne Kristi Mitchem (Executive Director) no longer on Schedule A of Columbia Threadneedle (Em) Investments Limited (listed 2021-01-28, absent 2021-11-15)
Form ADVobserved 5 days ago
Occurred
Nov 15, 2021
Control person left
Gilles Ouellette (Chair Of Governing Body) no longer on Schedule A of Columbia Threadneedle (Em) Investments Limited (listed 2021-01-28, absent 2021-11-15)
Form ADVobserved 5 days ago
Occurred
Jan 28, 2021
Regulatory AUM changed
Columbia Threadneedle (Em) Investments Limited reported RAUM $4.2B, up 65% from $2.6B (2020-07-15 to 2021-01-28)
Form ADVobserved 5 days ago
$1.7B
Occurred
Jan 28, 2021
Control person left
Dinesh Rishikesh Patel (Executive Director) no longer on Schedule A of Columbia Threadneedle (Em) Investments Limited (listed 2020-07-15, absent 2021-01-28)
Form ADVobserved 5 days ago
Occurred
Jul 15, 2020
Control person left
Raveendra Sriskandarajah (Chief Executive Officer & Executive Director) no longer on Schedule A of Columbia Threadneedle (Em) Investments Limited (listed 2020-01-28, absent 2020-07-15)
Form ADVobserved 5 days ago
Occurred
Jan 28, 2020
Control person joined
Lynne Kristi Mitchem (Executive Director) appeared on Schedule A of Columbia Threadneedle (Em) Investments Limited
Form ADVobserved 5 days ago
Occurred
Jan 28, 2020
Control person joined
Dinesh Rishikesh Patel (Executive Director) appeared on Schedule A of Columbia Threadneedle (Em) Investments Limited
Form ADVobserved 5 days ago
Occurred
Jan 28, 2020
Control person joined
Raveendra Sriskandarajah (Chief Executive Officer & Executive Director) appeared on Schedule A of Columbia Threadneedle (Em) Investments Limited
Form ADVobserved 5 days ago
Occurred
Jan 28, 2020
Control person joined
Gilles Ouellette (Chair Of Governing Body) appeared on Schedule A of Columbia Threadneedle (Em) Investments Limited
Form ADVobserved 5 days ago
Occurred
Jan 28, 2020
Control person left
Joseph Scott Matthews (Director) no longer on Schedule A of Columbia Threadneedle (Em) Investments Limited (listed 2019-01-29, absent 2020-01-28)
Form ADVobserved 5 days ago
Occurred
Jan 28, 2020
Control person left
Charles Richard Wilson (Chief Executive Officer & Director) no longer on Schedule A of Columbia Threadneedle (Em) Investments Limited (listed 2019-01-29, absent 2020-01-28)
Form ADVobserved 5 days ago
Occurred
Jan 25, 2018
Regulatory AUM changed
Columbia Threadneedle (Em) Investments Limited reported RAUM $2.7B, up 31% from $2.1B (2017-01-27 to 2018-01-25)
Form ADVobserved 5 days ago
$629M

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:a8c93030-c4f2-7fcd-63da-1adbf3c22451
First observed: Mar 15, 2012
Last observed: Dec 12, 2023 33 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.

COLUMBIA THREADNEEDLE (EM) INVESTMENTS LIMITED

CRD 160460

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:a8c93030-c4f2-7fcd-63da-1adbf3c22451

Data as of Dec 12, 2023 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 6:53 AM UTC and rebuilt at most every 15 minutes.

Fund

Type

Reported GAV

As of

Owners

First reported

Status

Form D file

BMO INVESTMENTS II (IRELAND) PLC-BMO LGM FRONTIER MARKETS FUND

Other Private Fund

$130M

Nov 17, 2021

Jan 28, 2015

dropped

021-179676

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

AMERIPRISE FINANCIAL SERVICES, LLC

Shareholder

yes

11/2021

Nov 15, 2021

Dec 12, 2023

AMERIPRISE FINANCIAL, INC.

Shareholder

yes

11/2021

Jan 28, 2022

Dec 12, 2023

APFEL, BENJAMIN, NMN

ASSOCIATE GENERAL COUNSEL

yes

09/2007

Jan 27, 2017

Dec 12, 2023

COLUMBIA THREADNEEDLE INVESTMENTS UK INTERNATIONAL LIMITED

Shareholder

yes

11/2021

Nov 15, 2021

Dec 12, 2023

LOGAN, DAVID

EXECUTIVE DIRECTOR

yes

06/2015

Jan 29, 2016

Dec 12, 2023

MAUDE, TOBY

CHIEF FINANCIAL OFFICER

yes

03/2015

Mar 27, 2015

Dec 12, 2023

Buckley, Darrel, James

CHIEF COMPLIANCE OFFICER

04/2023

May 3, 2023

Dec 12, 2023

RING, NICHOLAS, J

EXECUTIVE DIRECTOR

11/2021

Mar 27, 2023

Dec 12, 2023

WATTS, RICHARD, ADRIAN

EXECUTIVE DIRECTOR

02/2022

Mar 27, 2023

Dec 12, 2023

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

COLUMBIA MANAGEMENT INVESTMENT ADVISERS, LLC

n/a

Asset manager

$502B

yes

n/a

PYRFORD INTERNATIONAL LTD

n/a

Other adviser

$7.1B

yes

n/a

THAMES RIVER CAPITAL LLP

n/a

Former SEC adviser

$3.1B

yes

n/a

AMERIPRISE CAPTIVE INSURANCE COMPANY

n/a

yes

n/a

COLUMBIA THREADNEEDLE FUND MANAGEMENT LIMITED

n/a

yes

n/a

COLUMBIA THREADNEEDLE LUXEMBOURG S.A.

n/a

yes

n/a

COLUMBIA THREADNEEDLE MANAGEMENT LIMITED

n/a

yes

n/a

COLUMBIA THREADNEEDLE MULTI-MANAGER LLP

n/a

yes

n/a

COLUMBIA THREADNEEDLE NETHERLANDS B.V.

n/a

yes

n/a

COLUMBIA THREADNEEDLE REP AM PLC

n/a

yes

n/a

F&C AURORA (GP) LIMITED

n/a

yes

n/a

F&C CLIMATE OPPORTUNITY PARTNERS (GP) LIMITED

n/a

yes

n/a

F&C EUROPEAN CAPITAL PARTNERS (GP) LIMITED

n/a

yes

n/a

FOSCA MANAGERS SARL

n/a

THREADNEEDLE ASSET MANAGEMENT LIMITED

n/a

yes

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2022

Mar 27, 2023

$2.9B

n/a

2021

Jan 28, 2022

$4.7B

n/a

2020

Jan 28, 2021

$4.2B

$130M

2019

Jan 28, 2020

$2.6B

$397M

2018

Jan 29, 2019

$2.6B

$634M

2017

Jan 25, 2018

$2.7B

$788M

2016

Jan 27, 2017

$2.1B

n/a

$630M

2015

Jan 29, 2016

$1.7B

n/a

$695M

2014

Jan 28, 2015

$177M

n/a

$656M

2013

Jan 29, 2014

$1.3B

n/a

2012

Jan 28, 2013

$626M

n/a

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2022

$2.9B

$4.7B

-38.3%

$2.6B

3.9%