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Henry Mallari-d'auria

Executive Vice President, Chief Investment Officer, Global & Emerging Markets Equities at Ariel Investments

No current adviser or broker registrationSEC record checked 17 October 2026

0
Past adviser firms
4
Licensing exams

IAPD record retrieved 17 October 2026SEC record

Henry Mallari-d'auria is Executive Vice President, Chief Investment Officer, Global & Emerging Markets Equities of Ariel Investments, LLC, a Chicago investment adviser managing $12.8B. Henry Mallari-d'auria has passed the Series 7, Series 63, Series 3 and SIE.

Role at Ariel Investments

Title on Schedule A
Executive Vice President, Chief Investment Officer, Global & Emerging Markets Equities
Control
Henry Mallari-d'auria is not a control person of Ariel Investments.
Ownership
An individual ownership band is not available in the source record.
Tenure
Henry Mallari-d'auria has held the filed role since September 2023.

The firm

Ariel Investments, LLC
Chicago, IL

Form ADV filed 28 July 2026

$12.8B AUM146 clients30 advisers3 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 3 · 1998
  3. Passed Series 63 · 1991
  4. Passed Series 7 · 1986

Registrations and exams

No current adviser or broker registration. Henry Mallari-d'auria has passed 4 qualifying exams.

Examinations

Series 6320 August 1991
Name
Uniform Securities Agent State Law Examination
SIE1 October 2018
Name
Securities Industry Essentials Examination
Series 330 April 1998
Name
National Commodity Futures Examination
Series 717 May 1986
Name
General Securities Representative Examination

Individual record

Full name
Henry S Mallari-d'auria
CRD
1505611
Firm
Ariel Investments, LLC
Registration status
No current adviser or broker registration
Firm bio
arielinvestments.com

This directory does not report disciplinary history, for any firm or individual, in either direction. The SEC publishes the complete record, including any disciplinary events, and it is the authoritative place to check one. Check this record on adviserinfo.sec.gov

Background

Executive vice president at Ariel; official materials identify him as chief investment officer for global and emerging markets equities. Ariel Investments official team page

Common questions

Where does Henry Mallari-d'auria work?

Henry Mallari-d'auria has been Executive Vice President, Chief Investment Officer, Global & Emerging Markets Equities of Ariel Investments, LLC since September 2023.

Source: Form ADV, Schedule A, filed 28 July 2026

Does Henry Mallari-d'auria have a current investment-adviser registration?

Henry Mallari-d'auria has no current investment-adviser or broker registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Henry Mallari-d'auria passed?

Henry Mallari-d'auria has passed 4 licensing exams: the Series 7, Series 63, Series 3 and SIE. The earliest, the Series 7, was passed in May 1986.

Source: IAPD individual record, checked 17 October 2026

Leadership at Ariel Investments

  • Carlos Calderon
    Senior Vice President, Chief Financial Officer
  • Timothy Fidler
    Executive Vice President, Director of Research
  • Wendy Fox
    Senior Vice President, Chief Compliance Officer
  • Mellody Hobson Lucas
    Co-CEO, President and Director
  • Kenneth Kuhrt
    Executive Vice President, Co-Chief Investment Officer, Domestic Equities
  • Emma Rodriguez-Ayala
    President, General Counsel
  • Charles Bobrinskoy
    Vice Chairman
  • Klaas Cremers
    Director
  • Arne Duncan
    Director
  • Valerie Jarrett
    Director
  • John Rogers
    Chairman, Co-CEO, Chief Investment Officer and Director
  • Anthony Romero
    Director
  • Judy Smith
    Director
  • David Vitale
    Director
  • Paula Wolff
    Director

Sources

  1. IAPD individual record, CRD 1505611. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Ariel Investments, LLC, filed 28 July 2026. Title, control and ownership bands.
  3. Ariel Investments team page. Biography, education, credentials, awards.

Retrieved 17 October 2026. The SEC record may have been amended since.

Report a correction

This profile is compiled from public regulatory records and the firm's own published materials, and is provided for informational purposes only. Niva Wealth is not affiliated with Henry Mallari-d'auria or Ariel Investments, LLC and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.