DFX Intelligence
RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
SEC-registered adviser
Schroder Investment Management North America Inc
Latest filing Mar 30, 2026
First filing on the tape Dec 8, 2011 · 65 filings
SEC status approved since Dec 31, 1980
RAUM
$150B
reported, Item 5.F
Discretionary
99%
of RAUM
Private clients
0.5%
$715M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
254
110 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
17
reported on Schedule D
History
65 filings and snapshots on the tape
RAUM$150B as of Mar 30, 2026
Mar 30, 2012$28B then
HNW client RAUM$715M as of Mar 30, 2026
Mar 30, 2018$1.3B then
State-registered IARs (5.B.3)0 as of Mar 30, 2026
Mar 30, 20120 then
Employees (5.A)254 as of Mar 30, 2026
Mar 18, 2013177 then
Private funds17 as of Mar 30, 2026
Mar 30, 20126 then
RAUM +8.5% over the last fiscal year-4.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 30, 2026; every figure names its basis
Archetypes, each a printed rule
- Broker-dealer affiliated · Item 7.A.1 (broker-dealer affiliate) and at least 50 registered representatives (Item 5.B.2), or the adviser is itself a broker-dealer (6.A.1)
- RAUM per advisor
- unknownderivedRAUM over IAPD advisors; not a book size
- Clients per advisor
- unknownderivedindividual and HNW clients (5.D) over advisors
- Average HNW client
- $23.1MderivedHNW RAUM over HNW clients
- Average account
- $353MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 99%derivedof RAUM
- Institutional
- 24%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived4 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.5%derivedbetween the last two annual amendments
- Advisor growth, one year
- unknownderivedItem 5.B.3 between annual amendments
- Client growth, one year
- unknownderived
- Compensation
- percentage of assets, performance-basedreportedItem 5.E
- Advisory activities
- portfolio management for individuals, portfolio management for businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- Custody
- $147M, 1 clientsreportedItem 9.A
- Ownership
- no PE, bank or public-company owner found on Schedule Aderived
- Advisor book size
- not public; not estimatedreported
Also answered yes on Form ADV
- buys or sells securities as principal to or from clients (8.A.2)
- has discretionary authority over which securities are bought or sold (8.C.1)
- compensates persons for client referrals (8.G.1)
- compensates non-employees for client referrals (8.G.2)
- has custody of client cash or bank accounts (9.A.1.a)
- has custody of client securities (9.A.1.b)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Investment companies$95B63%
- Pooled investment vehicles$15B9.7%
- State and municipal entities$15B9.7%
- Pension and profit-sharing plans$11B7.4%
- Insurance companies$7.0B4.7%
- Corporations and businesses$2.1B1.4%
- Sovereign wealth funds$2.0B1.3%
- Other investment advisers$1.8B1.2%
- Charitable organizations$928M0.6%
- High-net-worth individuals$715M0.5%
- Individual clients
- n/areported
- HNW clients
- 31reported
- Pension plan clients
- 52reported
- Charitable clients
- 10reported
- Accounts
- 426reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- $147M for 1 clientsreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.74 institutional_share=0.24 related_bd=true related_bank=true bd_reps=64.0derived
Advisors registered through the firm
0 on IAPD today, longest tenure first
No representative is registered through this CRD on IAPD.
Advisor movement
Left, latest
- Jennifer Lea Grunberg to Clearbridge Investments, LLCJul 28, 2017 · Other
Joined, latest
- Jennifer Lea Grunberg from Merrill Lynch Investment Managers LPFeb 16, 2017 · Other
Private funds
33 reported on Schedule D 7.B.(1)
| Fund | Type | Gross assets | Owners | First reported |
|---|---|---|---|---|
| Schroders Capital Securitized Hi-Grade Flexible Total Return, L.P. | Securitized Asset Fund | $1.3B | 4 | Jun 28, 2022 |
| Schroder Emerging Markets Fund | Other Private Fund | $1.2B | 13 | Mar 30, 2012 |
| Schroder Focus II Master A, L.P. | Securitized Asset Fund | $1.1B | 44 | Nov 24, 2020 |
| Schroder Focus II Master B, L.P. | Securitized Asset Fund | $1.1B | 44 | Nov 24, 2020 |
| Schroder Diversified Growth Portfolio LP | Other Private Fund | $694M | 10 | Mar 31, 2014 |
| Schroder Taft-Hartley Income Reit, LLC | Securitized Asset Fund | $527M | 29 | Nov 24, 2020 |
| Schroder Taft-Hartley Income (Cayman), L.P. | Securitized Asset Fund | $527M | 29 | Nov 24, 2020 |
| Schroder Flexible Secured Income Master A, L.P. | Securitized Asset Fund | $417M | 5 | Nov 19, 2021 |
| Schroder Flexible Secured Income Master B, L.P. | Securitized Asset Fund | $417M | 5 | Nov 19, 2021 |
| Schroder Opers Global Allocation Portfolio LPno longer reported | Other Private Fund | $374M | 2 | Mar 31, 2014 |
| Schroder Emerging Markets Equity Alpha Fund | Other Private Fund | $350M | 5 | Mar 31, 2021 |
| Schroders Capital Pillars Fund, L.P. | Securitized Asset Fund | $335M | 3 | Mar 31, 2022 |
| Schroder International Small Companies Fund | Other Private Fund | $291M | 2 | Mar 30, 2012 |
| Schroder Emerging Markets Multi-Sector Bond Portfolio, L.P.no longer reported | Other Private Fund | $152M | 2 | Feb 14, 2017 |
| Schroder Japan Equity Micro Cap Fund | Other Private Fund | $135M | 4 | Mar 31, 2021 |
| Schroders Capital Erisa Flexible Secured Income, L.P. | Securitized Asset Fund | $122M | 4 | Mar 31, 2022 |
| Schroder Strategic Beta Portfolio LPno longer reported | Other Private Fund | $112M | 3 | Jul 22, 2013 |
| Schroder International Alpha Portfolio | Other Private Fund | $108M | 2 | Mar 30, 2012 |
| Schroder Global Multi-Cap Value Portfolio LP | Other Private Fund | $88.8M | 3 | Mar 31, 2014 |
| Schroder Multi-Cap Emerging Market Portfolio LPno longer reported | Other Private Fund | $88.0M | 5 | Mar 31, 2014 |
| Schroder Frontier Markets Equity Portfolio LPno longer reported | Other Private Fund | $71.0M | 3 | Mar 31, 2014 |
| Schroder Commodity Total Return Portfolio | Other Private Fund | $28.0M | 6 | Mar 30, 2012 |
| Schroder Alternative Risk Premia Portfolio, LP | Other Private Fund | $22.5M | 3 | Jan 15, 2019 |
| Schroder International Small Companies Portfoliono longer reported | Other Private Fund | $21.0M | 3 | Mar 30, 2012 |
| Schroder Securitized Credit Master Fund Limitedno longer reported | Securitized Asset Fund | $6.2M | 1 | Sep 29, 2017 |
| Schroders Capital Focus III Investment B, L.P. | Securitized Asset Fund | $6.0M | 10 | Feb 22, 2023 |
| Schroders Capital Focus III Investment A, L.P. | Securitized Asset Fund | $6.0M | 10 | Feb 22, 2023 |
| Schroders Capital Focus III Investment C, L.P. | Securitized Asset Fund | $6.0M | 10 | Feb 22, 2023 |
| Schroder Advanced Ils Fund (Cayman) Limited | Other Private Fund | $1.8M | 2 | Feb 14, 2017 |
| Schroder Loan Opportunities Fund I, L.P. | Other Private Fund | $1.6M | 9 | Mar 30, 2018 |
| Schroder Alternative Rates Master Fund Limitedno longer reported | Other Private Fund | $0 | 1 | Apr 4, 2017 |
| Schroder Global Macro Portfolio LPno longer reported | Other Private Fund | $0 | 0 | Mar 31, 2014 |
| Schroder Emerging Markets Debt Fundno longer reported | Other Private Fund | $0 | 0 | Mar 30, 2012 |
Owners and control persons
Schedule A and B, latest filing
- Ryan Chelf · General Counsel, Americascontrolsince 01/2024 · owns less than 5%
- Philip Middleton · Chief Executive Officer, Chair And Directorcontrolsince 05/2021 · owns less than 5%
- James Priestman · Directorcontrolsince 03/2024 · owns less than 5%
- Philip Gallo · Chief Compliance Officersince 03/2022 · owns less than 5%
- Marie Lisa Hornby · Directorsince 02/2022 · owns less than 5%
- Shanak Patnaik · Deputy Cc Officersince 03/2022 · owns less than 5%
Entity owners
- Schroder US Holdings Inc. · Shareholderdirect · owns 75% or more
- Schroder Administration Limited · Shareholderindirect · owns 75% or more of Schroder International Holdings Ltd.
- Schroder International Holdings Limited · Shareholderindirect · owns 75% or more of Schroder US Holdings Inc.
- Schroders Plc · Shareholderindirect · owns 75% or more of Schroder Administration Limited
Related persons
Schedule D 7.A
- Schroder Fund Advisors LLCbroker-dealerpooled vehicle sponsory
- Schroder Investment Management (Europe) S.A.investment advisern
- Schroder Investment Management (Japan) Limitedinvestment advisernRAUM $11B
- Schroder Investment Management (Singapore) Ltdinvestment advisern
- Schroder Investment Management (Switzerland) Aginvestment advisern
- Schroder Investment Management Australia Ltd.investment advisern
- Schroder Investment Management Hong Kong Ltd.investment advisern
- Schroder Investment Management Ltd.investment advisern
- Schroder Investment Management North America Ltdinvestment adviserbanknRAUM $83B
- Schroders Capital Management (US) Inc.investment advisernRAUM $35B
Advisers that list Schroder Investment Management North America Inc as a related person
Offices
Schedule D 1.F, the 25 largest
- Miami, FL4 employees
- Newport Beach, CA2 employees
- , 1 employees
What changed
consecutive filings, newest first
- Accounts · 361 to 426Mar 31, 2025 to Mar 30, 2026
- Advisory employees · 72 to 110Mar 31, 2025 to Mar 30, 2026
- BD registered reps · 69 to 64Mar 31, 2025 to Mar 30, 2026
- Charity clients · 12 to 10Mar 31, 2025 to Mar 30, 2026
- Corporate clients · 13 to 10Mar 31, 2025 to Mar 30, 2026
- HNW clients · 24 to 31Mar 31, 2025 to Mar 30, 2026
- Pension plan clients · 46 to 52Mar 31, 2025 to Mar 30, 2026
- Pooled vehicle clients · 41 to 47Mar 31, 2025 to Mar 30, 2026
- Assets in custody · $117M to $147MMar 31, 2025 to Mar 30, 2026
- Employees · 299 to 254Mar 31, 2025 to Mar 30, 2026
- Discretionary RAUM · $137B to $149BMar 31, 2025 to Mar 30, 2026
- HNW RAUM · $922M to $715MMar 31, 2025 to Mar 30, 2026
- Non-discretionary RAUM · $1.3B to $1.5BMar 31, 2025 to Mar 30, 2026
- Pension RAUM · $11B to $11BMar 31, 2025 to Mar 30, 2026
- Pooled vehicle RAUM · $12B to $15BMar 31, 2025 to Mar 30, 2026
- RAUM · $139B to $150BMar 31, 2025 to Mar 30, 2026
- Accounts · 369 to 361Jan 23, 2025 to Mar 31, 2025
- Advisory employees · 105 to 72Jan 23, 2025 to Mar 31, 2025
- BD registered reps · 81 to 69Jan 23, 2025 to Mar 31, 2025
- HNW clients · 25 to 24Jan 23, 2025 to Mar 31, 2025
- Pension plan clients · 45 to 46Jan 23, 2025 to Mar 31, 2025
- Pooled vehicle clients · 44 to 41Jan 23, 2025 to Mar 31, 2025
- Assets in custody · $174M to $117MJan 23, 2025 to Mar 31, 2025
- Employees · 314 to 299Jan 23, 2025 to Mar 31, 2025
- Financial planning clients · 0 to 0Jan 23, 2025 to Mar 31, 2025
- Private funds · 20 to 17Jan 23, 2025 to Mar 31, 2025
- Discretionary RAUM · $134B to $137BJan 23, 2025 to Mar 31, 2025
- HNW RAUM · $1.0B to $922MJan 23, 2025 to Mar 31, 2025
- Non-discretionary RAUM · $1.2B to $1.3BJan 23, 2025 to Mar 31, 2025
- Pension RAUM · $9.6B to $11BJan 23, 2025 to Mar 31, 2025
- Pooled vehicle RAUM · $12B to $12BJan 23, 2025 to Mar 31, 2025
- RAUM · $135B to $139BJan 23, 2025 to Mar 31, 2025
- Private funds · 23 to 20Mar 28, 2024 to Mar 29, 2024
- Accounts · 415 to 369Mar 31, 2023 to Mar 28, 2024
- BD registered reps · 82 to 81Mar 31, 2023 to Mar 28, 2024
- Charity clients · 15 to 12Mar 31, 2023 to Mar 28, 2024
- Corporate clients · 15 to 13Mar 31, 2023 to Mar 28, 2024
- HNW clients · 47 to 25Mar 31, 2023 to Mar 28, 2024
- Pension plan clients · 51 to 45Mar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 48 to 44Mar 31, 2023 to Mar 28, 2024
Signals
19 dated events
- Anne Tiffani Potesta (Director) no longer on Schedule A of Schroder Investment Management North America Inc (listed 2024-03-29, absent 2024-09-13)Sep 13, 2024 · Control person left · inference
- Ryan Chelf (General Counsel, Americas) appeared on Schedule A of Schroder Investment Management North America IncMar 28, 2024 · Control person joined · fact
- James Priestman (Director) appeared on Schedule A of Schroder Investment Management North America IncMar 28, 2024 · Control person joined · fact
- Fanny Carin Muhlbaum (General Counsel, Americas) no longer on Schedule A of Schroder Investment Management North America Inc (listed 2023-03-31, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- James Paul Chislett (Director) no longer on Schedule A of Schroder Investment Management North America Inc (listed 2023-03-31, absent 2024-03-28)Mar 28, 2024 · Control person left · inference
- John Richard Lowe (Director) no longer on Schedule A of Schroder Investment Management North America Inc (listed 2022-04-01, absent 2022-06-28)Jun 28, 2022 · Control person left · inference
- James Paul Chislett (Director) appeared on Schedule A of Schroder Investment Management North America IncJun 28, 2022 · Control person joined · fact
- John Joseph Bertini (Chief Compliance Officer) no longer on Schedule A of Schroder Investment Management North America Inc (listed 2022-02-16, absent 2022-03-31)Mar 31, 2022 · Control person left · inference
- J Marc Brookman (Chief Executive Officer, Chairman, Director) no longer on Schedule A of Schroder Investment Management North America Inc (listed 2021-11-19, absent 2022-02-16)Feb 16, 2022 · Control person left · inference
- Anne Tiffani Potesta (Director) appeared on Schedule A of Schroder Investment Management North America IncFeb 16, 2022 · Control person joined · fact
- Anthony Mark Hemenetz (Director, Chief Operating Officer) no longer on Schedule A of Schroder Investment Management North America Inc (listed 2021-03-31, absent 2021-06-14)Jun 14, 2021 · Control person left · inference
- Philip Middleton (Director) appeared on Schedule A of Schroder Investment Management North America IncJun 14, 2021 · Control person joined · fact
- Schroder Investment Management North America Inc reported RAUM $153.7B, up 27% from $121.1B (2020-12-15 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Schroder Investment Management North America Inc reported RAUM $121.1B, up 127% from $53.4B (2020-01-14 to 2020-03-30)Mar 30, 2020 · RAUM change · derived
- Franklin Karl Dasher (Chief Executive Officer, Chairman, Director) no longer on Schedule A of Schroder Investment Management North America Inc (listed 2019-12-11, absent 2020-01-14)Jan 14, 2020 · Control person left · inference
- James Nowell Henry Philip (Director) no longer on Schedule A of Schroder Investment Management North America Inc (listed 2018-03-30, absent 2019-01-15)Jan 15, 2019 · Control person left · inference
- Orlans Marc Mayer (Director) no longer on Schedule A of Schroder Investment Management North America Inc (listed 2018-03-30, absent 2019-01-15)Jan 15, 2019 · Control person left · inference
- John Richard Lowe (Director) appeared on Schedule A of Schroder Investment Management North America IncJan 15, 2019 · Control person joined · fact
- J Marc Brookman (Director) appeared on Schedule A of Schroder Investment Management North America IncJan 15, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
- Schroder Investment Management North America Inc · Private Equityshared crd · intermediary
How to reach
public business contact points only, each with its source
- Firm profile
- LINKEDIN.COM/COMPANY/5494reportedpublic record, Form ADV, Sep 17, 2026
- Website
- SCHRODERS.COM/US/HOMEreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- 212-641-3800reportedpublic record, Form ADV, Mar 30, 2026
Provenance
- Form ADV
- SEC filing data 2011 to 2024 and the monthly roster 2025 onreportedadviserinfo.sec.gov
- Advisors
- IAPD individual compilation feed, dailyreportedadviserinfo.sec.gov
- Class
- Asset manager (funds and pooled vehicles)deriveda rule over Items 5.D and 7.A
- RAUM per advisor
- n/aderivedfirm RAUM over the IAPD count; not a book size
- Loaded
- Sep 14, 2026