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.

Former SEC-registered adviser

Columbia Threadneedle Investments

Former SEC-registered adviserLondon, CRD 131168SEC 801-63196websiteIAPD
Legal name Threadneedle International Ltd.
Latest filing Nov 18, 2024
First filing on the tape Mar 30, 2012 · 41 filings
SEC status approved since Jun 4, 2004
RAUM
$358M
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
665
100 advisory (5.B.1)
Offices
0
beyond the principal office
Private funds
0
reported on Schedule D
History
41 filings and snapshots on the tape
RAUM$212M as of Jan 22, 2024
Mar 30, 2012$5.6B then
HNW client RAUM: no history
State-registered IARs (5.B.3)0 as of Jan 22, 2024
Mar 28, 20130 then
Employees (5.A)664 as of Jan 22, 2024
Mar 28, 2013695 then
Private funds: 7
RAUM +69% over the last fiscal year+7.0% a year over threeIARs 0 to 0
Practice profile
derived from the filing of Nov 18, 2024; 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
unknownderivedHNW RAUM over HNW clients
Average account
$89.5MderivedRAUM over accounts (5.F.2.f)
Discretionary
100%derivedof RAUM
Institutional
0.0%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
+0.0%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 assetsreportedItem 5.E
Advisory activities
portfolio management for businesses and institutionsreportedItem 5.G
Wrap fee program
participatesreportedItem 5.I
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)
  • receives research or other products from a broker-dealer, soft dollars (8.E)
  • compensates persons for client referrals (8.G.1)
  • compensates non-employees for client referrals (8.G.2)
Where the RAUM sits
Form ADV Item 5.D, latest filing
  • Pooled investment vehicles$206M58%
  • Other investment advisers$152M42%
Individual clients
n/areported
HNW clients
n/areported
Pension plan clients
n/areported
Charitable clients
n/areported
Accounts
4reported
Financial planning clients
0reported
Wrap fee programs
$0 sponsored, $0 managedreported
Custody of client assets
noreported
Compensation
% of AUMreported
Class basis
absent from the latest SEC rosterderived
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
      Every departureEvery arrival
      Private funds
      7 reported on Schedule D 7.B.(1)
      FundTypeGross assetsOwnersFirst reported
      Threadneedle American Fundno longer reportedOther Private Fund$2.9B3,259Mar 30, 2012
      Threadneedle American Select Fundno longer reportedOther Private Fund$2.4B9,078Mar 30, 2012
      Threadneedle Uk Equity Income Fundno longer reportedOther Private Fund$2.0B14,683Mar 30, 2012
      Threadneedle Global Select Fundno longer reportedOther Private Fund$1.2B6,331Mar 30, 2012
      Threadneedle Global Equity & Bond Fundno longer reportedOther Private Fund$997M24,135Mar 30, 2012
      Threadneedle Uk Monthly Income Fundno longer reportedOther Private Fund$863M25,946Mar 30, 2012
      Threadneedle Uk Smaller Companies Fundno longer reportedOther Private Fund$308M3,069Mar 30, 2012
      Owners and control persons
      Schedule A and B, latest filing
      • James Darrel Buckley · Chief Compliance Officercontrol
        since 02/2016 · owns less than 5%
      • Caroline Michaela Jackson · Directorcontrol
        since 11/2022 · owns less than 5%
      Entity owners
      • Threadneedle Asset Management Holdings Limited · Direct Owner
        direct · owns 75% or more
      • Ameriprise Financial, Inc. · Stockholder
        indirect · owns 75% or more of Tam Uk International Holdings Limited · public reporting company
      • Tam Uk Holdings Limited · Stockholder
        indirect · owns 75% or more of Threadneedle Asset Management Holdings Limited
      • Tam Uk International Holdings Limited · Stockholder
        indirect · owns 75% or more of Threadneedle Holdings Limited
      • Threadneedle Holdings Limited · Stockholder
        indirect · owns 75% or more of Tam Uk Holdings Limited
      Related persons
      Schedule D 7.A
      • Ameriprise Bank, Fsb
        n
      • Ameriprise Captive Insurance Company
        real estaten
      • Ameriprise Financial Services, LLC
        broker-dealerinvestment adviserbanknRAUM $660B
      • Ameriprise Trust Company
        bankn
      • Columbia Management Investment Advisers, LLC
        investment adviserbankpooled vehicle sponsornRAUM $502B
      • Columbia Management Investment Distributors, Inc.
        broker-dealern
      • Columbia Threadneedle (Em) Investments Limited
        investment advisernRAUM $2.9B
      • Columbia Threadneedle Fund Management Limited
        investment advisern
      • Columbia Threadneedle Investment Business Limited
        investment advisern
      • Columbia Threadneedle Investments (Me) Limited
        investment advisern
      • Columbia Threadneedle Investments Japan Co., Ltd.
        broker-dealerinvestment advisern
      • Columbia Threadneedle Management (Swiss) Gmbh
        investment advisern
      • Bmo Global Asset Management
        investment advisernRAUM $90B
      • Columbia Threadneedle Multi-Manager Llp
        investment advisern
      • Columbia Threadneedle Netherlands B.V.
        investment advisern
      • Columbia Threadneedle Real Estate Partners Llp
        n
      • Columbia Threadneedle Rep Am Plc
        investment advisern
      • Ct Real Estate Partners Gmbh & Co. Kg
        pooled vehicle sponsorn
      • Lionstone Investments
        investment adviserbankpooled vehicle sponsornRAUM $224M
      • Pyrford International Ltd
        investment advisernRAUM $7.1B
      • Threadneedle Asset Management Limited
        investment advisern
      • Threadneedle Investment Services Limited
        broker-dealerpooled vehicle sponsorn
      • Threadneedle Investments (Channel Island) Limited
        pooled vehicle sponsorn
      • Threadneedle Investments Singapore (Pte.) Limited
        investment advisern
      • Threadneedle Management Luxembourg S.A.
        investment adviserpooled vehicle sponsorn
      • Threadneedle Pensions Limited
        real estaten
      • Threadneedle Portfolio Services Ag
        pooled vehicle sponsorn
      • Threadneedle Portfolio Services Hong Kong Limited
        broker-dealern
      • Threadneedle Portfolio Services Limited
        pooled vehicle sponsorn
      • Threadneedle Property Investments Limited
        investment advisern
      Advisers that list Columbia Threadneedle Investments as a related person
      Offices
      Schedule D 1.F, the 25 largest
      No branch office listed.
      What changed
      consecutive filings, newest first
      • Accounts · 2 to 4
        Jan 22, 2024 to Mar 28, 2024
      • Advisory employees · 99 to 100
        Jan 22, 2024 to Mar 28, 2024
      • Pooled vehicle clients · 1 to 2
        Jan 22, 2024 to Mar 28, 2024
      • Employees · 664 to 665
        Jan 22, 2024 to Mar 28, 2024
      • Discretionary RAUM · $212M to $358M
        Jan 22, 2024 to Mar 28, 2024
      • Pooled vehicle RAUM · $71.4M to $206M
        Jan 22, 2024 to Mar 28, 2024
      • RAUM · $212M to $358M
        Jan 22, 2024 to Mar 28, 2024
      • Accounts · 5 to 2
        Dec 2, 2022 to Mar 31, 2023
      • Advisory employees · 168 to 99
        Dec 2, 2022 to Mar 31, 2023
      • Pooled vehicle clients · 3 to 1
        Dec 2, 2022 to Mar 31, 2023
      • Employees · 771 to 664
        Dec 2, 2022 to Mar 31, 2023
      • Financial planning clients · unset to 0
        Dec 2, 2022 to Mar 31, 2023
      • Discretionary RAUM · $318M to $212M
        Dec 2, 2022 to Mar 31, 2023
      • Pooled vehicle RAUM · $130M to $71.4M
        Dec 2, 2022 to Mar 31, 2023
      • RAUM · $318M to $212M
        Dec 2, 2022 to Mar 31, 2023
      • Advisory employees · 154 to 168
        Aug 19, 2021 to Mar 30, 2022
      • Employees · 762 to 771
        Aug 19, 2021 to Mar 30, 2022
      • Discretionary RAUM · $293M to $318M
        Aug 19, 2021 to Mar 30, 2022
      • Pooled vehicle RAUM · $139M to $130M
        Aug 19, 2021 to Mar 30, 2022
      • RAUM · $293M to $318M
        Aug 19, 2021 to Mar 30, 2022
      • Accounts · 6 to 5
        Nov 10, 2020 to Mar 31, 2021
      • Advisory employees · 153 to 154
        Nov 10, 2020 to Mar 31, 2021
      • Advisory activities · 3 to 1
        Nov 10, 2020 to Mar 31, 2021
      • Pooled vehicle clients · unset to 3.0
        Nov 10, 2020 to Mar 31, 2021
      • Employees · 815 to 762
        Nov 10, 2020 to Mar 31, 2021
      • Discretionary RAUM · $1.6B to $293M
        Nov 10, 2020 to Mar 31, 2021
      • Pooled vehicle RAUM · unset to 139000000.0
        Nov 10, 2020 to Mar 31, 2021
      • RAUM · $1.6B to $293M
        Nov 10, 2020 to Mar 31, 2021
      • Accounts · 9 to 6
        Jan 15, 2020 to Mar 27, 2020
      • Advisory employees · 161 to 153
        Jan 15, 2020 to Mar 27, 2020
      • Employees · 827 to 815
        Jan 15, 2020 to Mar 27, 2020
      • Discretionary RAUM · $1.9B to $1.6B
        Jan 15, 2020 to Mar 27, 2020
      • RAUM · $1.9B to $1.6B
        Jan 15, 2020 to Mar 27, 2020
      • Organization form · Corporation to Other (specify)
        May 23, 2019 to Jul 10, 2019
      • Accounts · 5 to 9
        Mar 28, 2018 to Mar 29, 2019
      • Advisory employees · 143 to 161
        Mar 28, 2018 to Mar 29, 2019
      • Pension plan clients · 1.0 to unset
        Mar 28, 2018 to Mar 29, 2019
      • Employees · 728 to 827
        Mar 28, 2018 to Mar 29, 2019
      • Other offices · 1 to 0
        Mar 28, 2018 to Mar 29, 2019
      • Discretionary RAUM · $527M to $1.9B
        Mar 28, 2018 to Mar 29, 2019
      Signals
      15 dated events
      • Columbia Threadneedle Investments no longer on the SEC adviser roster (last listed 2025-03-06, RAUM $358.1M)
        May 2, 2025 · Left the SEC roster · derived
      • Adrian Richard Watts (Chief Investment Officer, Emea) no longer on Schedule A of Columbia Threadneedle Investments (listed 2024-03-28, absent 2024-11-18)
        Nov 18, 2024 · Control person left · inference
      • Columbia Threadneedle Investments reported RAUM $358.1M, up 69% from $211.9M (2024-01-22 to 2024-03-28)
        Mar 28, 2024 · RAUM change · derived
      • J Nicholas Ring (Chief Executive Officer) no longer on Schedule A of Columbia Threadneedle Investments (listed 2023-03-31, absent 2024-01-22)
        Jan 22, 2024 · Control person left · inference
      • William Davies (Global Chief Investment Officer) no longer on Schedule A of Columbia Threadneedle Investments (listed 2022-12-02, absent 2023-03-31)
        Mar 31, 2023 · Control person left · inference
      • Columbia Threadneedle Investments reported RAUM $211.9M, down 33% from $318.0M (2022-12-02 to 2023-03-31)
        Mar 31, 2023 · RAUM change · derived
      • Caroline Michaela Jackson (Director) appeared on Schedule A of Columbia Threadneedle Investments
        Dec 2, 2022 · Control person joined · fact
      • William Peter Stone (Chief Financial Officer) no longer on Schedule A of Columbia Threadneedle Investments (listed 2022-03-30, absent 2022-08-02)
        Aug 2, 2022 · Control person left · inference
      • Adrian Richard Watts (Chief Investment Officer, Emea) appeared on Schedule A of Columbia Threadneedle Investments
        Mar 30, 2022 · Control person joined · fact
      • Columbia Threadneedle Investments reported RAUM $292.7M, down 82% from $1.6B (2020-11-10 to 2021-03-31)
        Mar 31, 2021 · RAUM change · derived
      • J Nicholas Ring (Chief Executive Officer) appeared on Schedule A of Columbia Threadneedle Investments
        Jan 6, 2020 · Control person joined · fact
      • Andrew Mark Burgess (Chief Investment Officer & Director) no longer on Schedule A of Columbia Threadneedle Investments (listed 2019-07-10, absent 2020-01-06)
        Jan 6, 2020 · Control person left · inference
      • Sylvia Michelle Scrimgeour (Chief Executive Officer, Emea) no longer on Schedule A of Columbia Threadneedle Investments (listed 2019-03-29, absent 2019-05-22)
        May 22, 2019 · Control person left · inference
      • Columbia Threadneedle Investments reported RAUM $1.9B, up 268% from $526.7M (2018-03-28 to 2019-03-29)
        Mar 29, 2019 · RAUM change · derived
      • Columbia Threadneedle Investments reported RAUM $526.7M, down 85% from $3.6B (2017-05-08 to 2018-03-28)
        Mar 28, 2018 · RAUM change · derived
      Across DFX
      shared identifiers only, never a name match
      No identifier-backed link to the venture, private equity, family office or sponsor graphs.
      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
      Former SEC-registered adviserderiveda 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