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
Newton Investment Management Ltd
Latest filing Jul 22, 2026
First filing on the tape Nov 14, 2011 · 63 filings
SEC status approved since Aug 27, 1992
RAUM
$42B
reported, Item 5.F
Discretionary
100%
of RAUM
Private clients
0.0%
$0 individuals and HNW
Advisors
0
registered through the firm on IAPD
RAUM per advisor
n/a
derived; firm RAUM over IAPD count
Employees
63
47 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
63 filings and snapshots on the tape
RAUM$42B as of Jul 22, 2026
Mar 29, 2012$2.2B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jul 22, 2026
Apr 1, 20130 then
Employees (5.A)63 as of Jul 22, 2026
Apr 1, 2013102 then
Private funds: no history
RAUM +8.1% over the last fiscal year-3.7% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Jul 22, 2026; every figure names its basis
Archetypes, each a printed rule
- Bank affiliated · Item 7.A.6 or 7.A.7 (bank or trust company affiliate) and a bank, bancorp or trust company as a 50 percent or greater owner on Schedule A
- 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
- unknownderivedHNW RAUM over HNW clients
- Average account
- $326MderivedRAUM over accounts (5.F.2.f)
- Discretionary
- 100%derivedof RAUM
- Institutional
- 7.5%derivedpensions, charities, corporations, government, insurance, banks, other advisers
- Employees per advisor
- unknownderivedItem 5.A over advisors
- Advisors per office
- unknownderived1 offices incl. principal (1.F.5)
- RAUM growth, one year
- +8.1%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
- a bank, bancorp or trust company is a 50 percent or greater ownerderived
- 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)
- a related person has custody of client cash (9.B.1.a)
- a related person has custody of client securities (9.B.1.b)
- a related person acts as qualified custodian (9.D.2)
- marketing includes hypothetical performance (5.L.3)
Where the RAUM sits
Form ADV Item 5.D, latest filing
- Pooled investment vehicles$36B85%
- Investment companies$2.7B6.3%
- Charitable organizations$2.2B5.2%
- Sovereign wealth funds$971M2.3%
- Banks and thrifts$378M0.9%
- Individual clients
- n/areported
- HNW clients
- n/areported
- Pension plan clients
- n/areported
- Charitable clients
- 27reported
- Accounts
- 130reported
- Financial planning clients
- reported
- Wrap fee programs
- noreported
- Custody of client assets
- noreported
- Compensation
- % of AUM, performancereported
- Class basis
- private_client_share=0.0 fund_share=0.92 institutional_share=0.07 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 Kevin Carter · Independent Non-Executive Directorcontrolsince 03/2019 · owns less than 5%
- Sharon French · Independent Non-Executive Directorcontrolsince 12/2021 · owns less than 5%
- Morecroft James Helby · Chief Risk Officer & Directorcontrolsince 04/2023 · owns less than 5%
- Judy Marlinski · Independent Non-Executive Directorcontrolsince 07/2022 · owns less than 5%
- Randolph John Miller · Independent Non Executive Directorcontrolsince 02/2023 · owns less than 5%
- George Euan Munro · Chief Executive Officer & Directorcontrolsince 06/2021 · owns less than 5%
- Anne Elizabeth Roach · Chief Compliance Officercontrolsince 05/2020 · owns less than 5%
- (Nmi) Hanneke Smits · Non-Executive Directorcontrolsince 10/2020 · owns less than 5%
Entity owners
- Newton Management Limited · Ownerdirect · owns 75% or more
- Bny Mellon Ihc, LLC · Ownerindirect · owns 75% or more of Mbc Investments Corporation
- Bny Mellon International Asset Management Group Limited · Ownerindirect · owns 75% or more of Newton Management Limited
- Bny Mellon Investment Management (Jersey) Limited · Ownerindirect · owns 75% or more of Bny Mellon International Asset Management Group Limited
- Mbc Investments Corporation · Ownerindirect · owns 75% or more of Bny Mellon Investment Management (Jersey) Limited
- The Bank Of New York Mellon Corporation · Ownerindirect · owns 75% or more of Bny Mellon Ihc, LLC · public reporting company
Related persons
Schedule D 7.A
- Arx Investimentos Ltdainvestment adviserbanknRAUM $1.9B
- Bny Mellon Advisors, Inc.investment adviserbanknRAUM $33B
- Bny Mellon Alocacao De Patrimonio Ltdainvestment advisern
- Bny Mellon Asset Management Canada Ltdbroker-dealerinvestment adviserbankpooled vehicle sponsorn
- Bny Mellon Banco S.A.n
- Bny Mellon Capital Markets, LLCbroker-dealern
- Bny Mellon Etf Investment Adviser, LLCinvestment adviserbanknRAUM $11B
- Bny Mellon Fund Management (Luxembourg) S.A.broker-dealerinvestment adviserpooled vehicle sponsorn
- Bny Mellon Fund Managers Limitedinvestment adviserpooled vehicle sponsorn
- Bny Mellon Im Korea Limitedinvestment advisern
- Bny Mellon Im Taiwan Securities Investment Consulting Co., Ltdinvestment advisern
- Bny Mellon International Management Limitedinvestment adviserpooled vehicle sponsorn
- Bny Mellon Investment Adviser, Inc.investment adviserbanknRAUM $419B
- Bny Mellon Investment Management (Shanghai) Limitedinvestment advisern
- Bny Mellon Investment Management Emea Limitedbroker-dealerinvestment adviserpooled vehicle sponsorn
- Bny Mellon Investment Management Hong Kong Limitedbroker-dealerinvestment advisern
- Bny Mellon Investment Management Japan Limitedinvestment advisernRAUM $32B
- Bny Mellon Investment Management Singapore Pte. Limitedinvestment advisern
- Bny Mellon National Associationinvestment advisern
- Bny Mellon Securities Corporationbroker-dealerinvestment adviserreal estatenRAUM $8.4B
- Bny Mellon Servicos Financeiros Distribuidora De Titulos E Valores Mobiliarios (Dtvm) Sabroker-dealerinvestment advisern
- Bny Mellon Trust Company Of Illinoisn
- Bny Mellon Trust Of Delawareinvestment advisern
- Cibc Mellon Global Securities Services Companyn
- Cibc Mellon Trust Companyn
- Insight Investment Australia Pty Limitedinvestment advisern
- Insight Investment Funds Management Limitedinvestment adviserpooled vehicle sponsorn
- Insight Investmentinvestment adviserbanknRAUM $3.0B
- Insight Investment Management (Global) Limitedinvestment adviserbankn
- Insight Investment Management Europe Limitedpooled vehicle sponsorn
Advisers that list Newton Investment Management Ltd as a related person
Offices
Schedule D 1.F, the 25 largest
No branch office listed.
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 238.0 to 63.0 (-74.0%) between the annual amendments of 2025-04-23 and 2026-03-31; the peer median change was +3.0% (462 comparable advisers, 0.0th percentile of changes)peers: asset managers, $20B and over (462) · 0.2% percentile
What changed
consecutive filings, newest first
- Advisory employees · 63 to 47Jan 28, 2026 to Mar 31, 2026
- Charity clients · 33 to 27Jan 28, 2026 to Mar 31, 2026
- Accounts · 143 to 130Jan 28, 2026 to Mar 31, 2026
- Pooled vehicle clients · 70 to 63Jan 28, 2026 to Mar 31, 2026
- Employees · 238 to 63Jan 28, 2026 to Mar 31, 2026
- Discretionary RAUM · $39B to $42BJan 28, 2026 to Mar 31, 2026
- Non-discretionary RAUM · $46.2M to $49.7MJan 28, 2026 to Mar 31, 2026
- Pooled vehicle RAUM · $32B to $36BJan 28, 2026 to Mar 31, 2026
- RAUM · $39B to $42BJan 28, 2026 to Mar 31, 2026
- Financial planning clients · unset to May 30, 2025 to Jul 31, 2025
- Accounts · 156 to 143Aug 20, 2024 to Apr 23, 2025
- Advisory employees · 65 to 63Aug 20, 2024 to Apr 23, 2025
- Pooled vehicle clients · 77 to 70Aug 20, 2024 to Apr 23, 2025
- Employees · 269 to 238Aug 20, 2024 to Apr 23, 2025
- HQ state · unset to Aug 20, 2024 to Apr 23, 2025
- Discretionary RAUM · $45B to $39BAug 20, 2024 to Apr 23, 2025
- Non-discretionary RAUM · $4.8M to $46.2MAug 20, 2024 to Apr 23, 2025
- Pension RAUM · 1614319969.0 to unsetAug 20, 2024 to Apr 23, 2025
- Pooled vehicle RAUM · $37B to $32BAug 20, 2024 to Apr 23, 2025
- RAUM · $45B to $39BAug 20, 2024 to Apr 23, 2025
- Accounts · 170 to 156Mar 31, 2023 to Mar 28, 2024
- Advisory employees · 58 to 65Mar 31, 2023 to Mar 28, 2024
- Charity clients · 34 to 33Mar 31, 2023 to Mar 28, 2024
- Corporate clients · 6.0 to unsetMar 31, 2023 to Mar 28, 2024
- Pooled vehicle clients · 78 to 77Mar 31, 2023 to Mar 28, 2024
- Employees · 321 to 269Mar 31, 2023 to Mar 28, 2024
- Discretionary RAUM · $47B to $45BMar 31, 2023 to Mar 28, 2024
- Non-discretionary RAUM · $4.6M to $4.8MMar 31, 2023 to Mar 28, 2024
- Pension RAUM · $402M to $1.6BMar 31, 2023 to Mar 28, 2024
- Pooled vehicle RAUM · $37B to $37BMar 31, 2023 to Mar 28, 2024
- RAUM · $47B to $45BMar 31, 2023 to Mar 28, 2024
- Accounts · 174 to 170Nov 10, 2022 to Mar 31, 2023
- Advisory employees · 71 to 58Nov 10, 2022 to Mar 31, 2023
- Charity clients · 38 to 34Nov 10, 2022 to Mar 31, 2023
- Employees · 361 to 321Nov 10, 2022 to Mar 31, 2023
- Discretionary RAUM · $64B to $47BNov 10, 2022 to Mar 31, 2023
- Non-discretionary RAUM · $4.7M to $4.6MNov 10, 2022 to Mar 31, 2023
- Pension RAUM · $497M to $402MNov 10, 2022 to Mar 31, 2023
- Pooled vehicle RAUM · $50B to $37BNov 10, 2022 to Mar 31, 2023
- RAUM · $64B to $47BNov 10, 2022 to Mar 31, 2023
Signals
20 dated events
- Newton Investment Management Ltd reported RAUM $47.4B, down 26% from $64.2B (2022-11-10 to 2023-03-31)Mar 31, 2023 · RAUM change · derived
- Randolph John Miller (Independent Non Executive Director) appeared on Schedule A of Newton Investment Management LtdMar 31, 2023 · Control person joined · fact
- Morecroft James Helby (Chief Risk Officer & Director) appeared on Schedule A of Newton Investment Management LtdMar 31, 2023 · Control person joined · fact
- Allan Gregory Brisk (Non-Executive Director) no longer on Schedule A of Newton Investment Management Ltd (listed 2022-11-10, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Andrew Downs (Chief Operating Officer & Director) no longer on Schedule A of Newton Investment Management Ltd (listed 2022-11-10, absent 2023-03-31)Mar 31, 2023 · Control person left · inference
- Margaret Susan Noble (Independent Non-Executive Director) no longer on Schedule A of Newton Investment Management Ltd (listed 2022-08-08, absent 2022-11-10)Nov 10, 2022 · Control person left · inference
- Judy Marlinski (Independent Non-Executive Director) appeared on Schedule A of Newton Investment Management LtdAug 8, 2022 · Control person joined · fact
- Sharon French (Independent Non-Executive Director) appeared on Schedule A of Newton Investment Management LtdJan 11, 2022 · Control person joined · fact
- William Curtis Custard (Chief Investment Officer & Director) no longer on Schedule A of Newton Investment Management Ltd (listed 2021-07-08, absent 2021-09-08)Sep 8, 2021 · Control person left · inference
- George Euan Munro (Chief Executive Officer & Director) appeared on Schedule A of Newton Investment Management LtdJul 8, 2021 · Control person joined · fact
- Evan Mitchell Harris (Director) no longer on Schedule A of Newton Investment Management Ltd (listed 2020-05-11, absent 2020-10-09)Oct 9, 2020 · Control person left · inference
- Anne Elizabeth Roach (Chief Compliance Officer) appeared on Schedule A of Newton Investment Management LtdMay 11, 2020 · Control person joined · fact
- Sophie Williams (Chief Compliance Officer) no longer on Schedule A of Newton Investment Management Ltd (listed 2020-03-30, absent 2020-05-11)May 11, 2020 · Control person left · inference
- Newton Investment Management (North America) Ltd reported succeeding to the business of Another Adviser (Form ADV Item 4)Jan 2, 2020 · Succession (Item 4) · fact
- Newton Investment Management Ltd reported RAUM $61.2B, up 906% from $6.1B (2019-05-29 to 2020-01-02)Jan 2, 2020 · RAUM change · derived
- Henrietta Jowitt (Non-Executive Director) no longer on Schedule A of Newton Investment Management Ltd (listed 2019-03-29, absent 2019-05-29)May 29, 2019 · Control person left · inference
- James Kevin Carter (Non-Executive Director) appeared on Schedule A of Newton Investment Management LtdMar 5, 2019 · Control person joined · fact
- Evan Mitchell Harris (Director) appeared on Schedule A of Newton Investment Management LtdJan 24, 2019 · Control person joined · fact
- Margaret Susan Noble (Non-Executive Director) appeared on Schedule A of Newton Investment Management LtdJan 24, 2019 · Control person joined · fact
- Henrietta Jowitt (Non-Executive Director) appeared on Schedule A of Newton Investment Management LtdJan 24, 2019 · Control person joined · fact
Across DFX
shared identifiers only, never a name match
No identifier-backed link to the venture, private equity, family office or sponsor graphs.
How to reach
public business contact points only, each with its source
- Firm profile
- linkedin.com/company/bny-investments-newtonreportedpublic record, Form ADV, Sep 17, 2026
- Website
- NEWTONIM.COMreportedpublic record, Form ADV, Sep 17, 2026
- Principal office phone
- +44-20-7163-9000reportedpublic record, Form ADV, Jul 22, 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