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Lee Gardella

Director and Secretary at Schroders Capital Management (us)

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

Lee Gardella is Director and Secretary of Schroders Capital Management (us) Inc., a New York investment adviser managing $34.6B. Lee Gardella has passed the Series 6, Series 7, Series 63 and SIE.

Role at Schroders Capital Management (us)

Title on Schedule A
Director and Secretary
Control
Lee Gardella is a control person of Schroders Capital Management (us).
Ownership
An individual ownership band is not available in the source record.
Tenure
Lee Gardella has held the filed role since September 2017.

The firm

Schroders Capital Management (us) Inc.
New York, NY

Form ADV filed 27 March 2026

$34.6B AUM138 clients90 advisers1 offices

Career on record

Firms and exams, newest first
  1. Passed SIE · 2018
  2. Passed Series 6, Series 7 and Series 63 · 2000

Registrations and exams

No current adviser or broker registration. Lee Gardella has passed 4 qualifying exams.

Examinations

Series 6329 June 2000
Name
Uniform Securities Agent State Law Examination
SIE3 January 2018
Name
Securities Industry Essentials Examination
Series 77 June 2000
Name
General Securities Representative Examination
Series 68 May 2000
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Lee Anthony Gardella
CRD
4141238
Firm
Schroders Capital Management (us) Inc.
Registration status
No current adviser or broker registration

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

Common questions

Where does Lee Gardella work?

Lee Gardella has been Director and Secretary of Schroders Capital Management (us) Inc. since September 2017, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 27 March 2026

Does Lee Gardella have a current investment-adviser registration?

Lee Gardella has no current investment-adviser or broker registration, as of 17 October 2026.

Source: IAPD individual record, checked 17 October 2026

What exams has Lee Gardella passed?

Lee Gardella has passed 4 licensing exams: the Series 6, Series 7, Series 63 and SIE. The earliest, the Series 6, was passed in May 2000.

Source: IAPD individual record, checked 17 October 2026

Leadership at Schroders Capital Management (us)

Sources

  1. IAPD individual record, CRD 4141238. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Schroders Capital Management (us) Inc., filed 27 March 2026. Title, control and ownership bands.

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 Lee Gardella or Schroders Capital Management (us) Inc. and makes no representation about the quality of their services. This directory does not report disciplinary history, in either direction.