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 Ltd
Latest filing Mar 31, 2026
First filing on the tape Dec 2, 2011 · 40 filings
SEC status approved since Sep 14, 1990
RAUM
$83B
reported, Item 5.F
Discretionary
98%
of RAUM
Private clients
0.1%
$47.7M individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
300
237 advisory (5.B.1)
Offices
3
beyond the principal office
Private funds
0
reported on Schedule D
History
40 filings and snapshots on the tape
RAUM$83B as of Mar 31, 2026
Mar 30, 2012$25B then
HNW client RAUM$47.7M as of Mar 31, 2026
Apr 1, 2019$29.0M then
State-registered IARs (5.B.3)0 as of Mar 31, 2026
Mar 30, 20120 then
Employees (5.A)300 as of Mar 31, 2026
Mar 26, 2013123 then
Private funds: no history
RAUM +16% over the last fiscal year-0.2% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Mar 31, 2026; every figure names its basis
- 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
- $23.8MderivedHNW RAUM over HNW clients
- Average account
- $744MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 98%derivedof RAUM
- Institutional
- 19%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
- +16%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 businesses and institutions, portfolio management for pooled vehicles, portfolio management for investment companiesreportedItem 5.G
- 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)
- 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$56B68%
- State and municipal entities$12B14%
- Pooled investment vehicles$9.1B11%
- Other investment advisers$1.8B2.2%
- Pension and profit-sharing plans$1.8B2.1%
- Sovereign wealth funds$1.5B1.9%
- Insurance companies$533M0.6%
- Charitable organizations$113M0.1%
- Corporations and businesses$53.7M0.1%
- High-net-worth individuals$47.7M0.1%
- Individual clients
- n/areported
- HNW clients
- 2reported
- Pension plan clients
- 7reported
- Charitable clients
- 1reported
- Accounts
- 111reported
- Financial planning clients
- 0reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.81 institutional_share=0.19 related_bd=true related_bank=true bd_reps=0.0derived
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
none on the tape
Joined, latest
none on the tape
Private funds
No private fund reported.
Owners and control persons
Schedule A and B, latest filing
- James Paul Chislett · Directorcontrolsince 10/2012 · owns less than 5%
- Lewis Andrew Moscow · Directorcontrolsince 01/2020 · owns less than 5%
- Ruchira Roy · Chief Compliance Officercontrolsince 12/2019 · owns less than 5%
- Neil Christopher Taylor · Directorcontrolsince 10/2016 · owns less than 5%
Entity owners
- Schroder Investment Management Ltd. · Direct Shareholderdirect · owns 75% or more
- Schroder Administration Limited · Shareholderindirect · owns 75% or more of Schroder International Holdings Limited
- Schroder International Holdings Limited · Shareholderindirect · owns 75% or more of Schroder Investment Management Ltd.
- Schroders Plc · Shareholderindirect · owns 75% or more of Schroder Administration Limited
Related persons
Schedule D 7.A
- Schroder Investment Management (Europe) S.A.investment advisern
- Schroder Investment Management (Switzerland) Aginvestment advisern
- Schroder Investment Management Hong Kong Ltdinvestment advisern
- Schroder Investment Management Ltd.investment advisery
- Schroder Investment Management North America Incinvestment adviserbankpooled vehicle sponsornRAUM $150B
- Schroder Investment Management Singapore Ltdinvestment advisern
Advisers that list Schroder Investment Management North America Ltd as a related person
Offices
Schedule D 1.F, the 25 largest
- Zurich, Switzerland9 employees
- Queensway, Hong Kong4 employees
- Singapore, Singapore4 employees
ADV anomalies
1 against comparable advisers; where to look, not conclusions
- employee count dropChange between filings · filing Mar 31, 2026employees (Item 5.A) moved from 683.0 to 300.0 (-56.0%) between the annual amendments of 2025-04-01 and 2026-03-31; the peer median change was +3.0% (461 comparable advisers, 1.0th percentile of changes)peers: asset managers, $20B and over (461) · 1.1% percentile
What changed
consecutive filings, newest first
- Accounts · 98 to 111Apr 1, 2025 to Mar 31, 2026
- Advisory employees · 430 to 237Apr 1, 2025 to Mar 31, 2026
- Charity clients · unset to 1.0Apr 1, 2025 to Mar 31, 2026
- Corporate clients · unset to 1.0Apr 1, 2025 to Mar 31, 2026
- HNW clients · unset to 2.0Apr 1, 2025 to Mar 31, 2026
- Employees · 683 to 300Apr 1, 2025 to Mar 31, 2026
- Discretionary RAUM · $70B to $81BApr 1, 2025 to Mar 31, 2026
- HNW RAUM · $42.6M to $47.7MApr 1, 2025 to Mar 31, 2026
- Non-discretionary RAUM · $1.3B to $1.8BApr 1, 2025 to Mar 31, 2026
- Pension RAUM · $1.5B to $1.8BApr 1, 2025 to Mar 31, 2026
- Pooled vehicle RAUM · $7.0B to $9.1BApr 1, 2025 to Mar 31, 2026
- RAUM · $71B to $83BApr 1, 2025 to Mar 31, 2026
- Accounts · 100 to 98Mar 29, 2024 to Apr 1, 2025
- Advisory employees · 317 to 430Mar 29, 2024 to Apr 1, 2025
- Corporate clients · 1.0 to unsetMar 29, 2024 to Apr 1, 2025
- HNW clients · 1.0 to unsetMar 29, 2024 to Apr 1, 2025
- Pension plan clients · 4 to 7Mar 29, 2024 to Apr 1, 2025
- Pooled vehicle clients · 21 to 15Mar 29, 2024 to Apr 1, 2025
- Employees · 720 to 683Mar 29, 2024 to Apr 1, 2025
- Financial planning clients · 0 to 0Mar 29, 2024 to Apr 1, 2025
- HQ state · unset to Mar 29, 2024 to Apr 1, 2025
- Discretionary RAUM · $68B to $70BMar 29, 2024 to Apr 1, 2025
- HNW RAUM · $42.1M to $42.6MMar 29, 2024 to Apr 1, 2025
- Non-discretionary RAUM · $1.2B to $1.3BMar 29, 2024 to Apr 1, 2025
- Pension RAUM · $773M to $1.5BMar 29, 2024 to Apr 1, 2025
- Pooled vehicle RAUM · $7.0B to $7.0BMar 29, 2024 to Apr 1, 2025
- RAUM · $69B to $71BMar 29, 2024 to Apr 1, 2025
- Accounts · 96 to 100Apr 3, 2023 to Mar 29, 2024
- Advisory employees · 306 to 317Apr 3, 2023 to Mar 29, 2024
- Charity clients · 1.0 to unsetApr 3, 2023 to Mar 29, 2024
- Pension plan clients · 9 to 4Apr 3, 2023 to Mar 29, 2024
- Pooled vehicle clients · 22 to 21Apr 3, 2023 to Mar 29, 2024
- Employees · 755 to 720Apr 3, 2023 to Mar 29, 2024
- Discretionary RAUM · $83B to $68BApr 3, 2023 to Mar 29, 2024
- HNW RAUM · $52.0M to $42.1MApr 3, 2023 to Mar 29, 2024
- Non-discretionary RAUM · $0 to $1.2BApr 3, 2023 to Mar 29, 2024
- Pension RAUM · $2.4B to $773MApr 3, 2023 to Mar 29, 2024
- Pooled vehicle RAUM · $8.3B to $7.0BApr 3, 2023 to Mar 29, 2024
- RAUM · $83B to $69BApr 3, 2023 to Mar 29, 2024
- Accounts · 91 to 96Mar 31, 2022 to Apr 3, 2023
Signals
9 dated events
- Robert Lance Deluca (Director) no longer on Schedule A of Schroder Investment Management North America Ltd (listed 2022-03-31, absent 2023-04-03)Apr 3, 2023 · Control person left · inference
- Schroder Investment Management North America Ltd reported RAUM $75.6B, up 56% from $48.4B (2020-03-31 to 2021-03-31)Mar 31, 2021 · RAUM change · derived
- Franklin Karl Dasher (Director) no longer on Schedule A of Schroder Investment Management North America Ltd (listed 2019-04-01, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- Henry John Gareth Taylor (Chief Compliance Officer) no longer on Schedule A of Schroder Investment Management North America Ltd (listed 2019-04-01, absent 2020-03-31)Mar 31, 2020 · Control person left · inference
- Ruchira Roy (Chief Compliance Officer) appeared on Schedule A of Schroder Investment Management North America LtdMar 31, 2020 · Control person joined · fact
- Lewis Andrew Moscow (Director) appeared on Schedule A of Schroder Investment Management North America LtdMar 31, 2020 · Control person joined · fact
- Robert Lance Deluca (Director) appeared on Schedule A of Schroder Investment Management North America LtdMar 31, 2020 · Control person joined · fact
- Robert Lockhart Angus Bogle (Director) no longer on Schedule A of Schroder Investment Management North America Ltd (listed 2018-04-04, absent 2019-04-01)Apr 1, 2019 · Control person left · inference
- Schroder Investment Management North America Ltd reported RAUM $46.9B, up 26% from $37.2B (2017-03-31 to 2018-03-22)Mar 22, 2018 · RAUM change · derived
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
- Website
- SCHRODERS.COM/USreportedpublic record, Form ADV, Sep 18, 2026
- Principal office phone
- +44 (0)20 7658 6000reportedpublic record, Form ADV, Mar 31, 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