{"url":"https://nivawealth.com/firms/bny-mellon-investment-adviser-105642","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/105642","regulatoryAum":419461366421,"crd":"105642","secFileNumber":"801-8147","legalName":"BNY Mellon Investment Adviser, Inc.","displayName":"BNY Mellon Investment Adviser","website":null,"founded":null,"organization":"New York corporation","fiscalYearEnd":"December","headquarters":{"street":"240 Greenwich Street","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10286"},"tradeNames":[],"registration":{"secApproved":"10 December 1971","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":69,"advisory":14,"brokerDealerReps":5,"insuranceAgents":0,"promoters":4},"aum":{"discretionary":419461366421,"discretionaryAccounts":91,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":3,"nonAumClients":91},"clientTypes":[{"label":"Investment companies","clients":82,"regulatoryAum":405786414540},{"label":"Pooled investment vehicles","clients":9,"regulatoryAum":13674951881}],"fees":[],"feeNotes":[],"custodians":[],"custodyNote":"BNY Mellon Investment Adviser does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"David Dipetrillo","title":"Vice President & Director","crd":"4904926"},{"name":"Gregory John Pasquale","title":"Chief Financial Officer","crd":"6562167"},{"name":"John William JR Hunter","title":"Chief Compliance Officer","crd":"2822875"},{"name":"Kimberly Mackenzie-Perman","title":"Director","crd":"4576869"},{"name":"Bushra Mannan","title":"Director","crd":"5695800"},{"name":"Susan Maroni","title":"Secretary","crd":"7940062"},{"name":"Peter Sullivan","title":"Chief Legal Officer","crd":"7450283"},{"name":"James Windels","title":"Director","crd":"7720891"}],"ownership":[{"label":"MBC Investments Corporation","detail":"Sole shareholder in the 75% or more ownership band and a control person, since February 2017."},{"label":"The Bank of New York Mellon Corporation","detail":"Indirect owner: a sole shareholder of MBC Investments Corporation in the 75% or more band and a control person, since May 1987.","parent":"MBC Investments Corporation"},{"label":"BNY Mellon Ihc, LLC","detail":"Indirect owner: a owner of The Bank of New York Mellon Corporation in the 75% or more band and a control person, since December 2019.","parent":"The Bank of New York Mellon Corporation"},{"label":"MBC Investment Corporation","detail":"Indirect owner: a owner of BNY Mellon Ihc, LLC in the 75% or more band and a control person, since February 2017.","parent":"BNY Mellon Ihc, LLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":5,"privateResidences":0},"listedOfficeAddresses":6,"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"Mellon Investments Corporation","city":"San Francisco"}]},{"state":"Florida","offices":1,"addresses":[{"street":"BNY Mellon Wealth Management","city":"Lake Mary"}]},{"state":"Massachusetts","offices":1,"addresses":[{"street":"BNY Mellon Wealth Management","city":"Boston"}]},{"state":"New York","offices":2,"addresses":[{"street":"240 Greenwich Street","city":"New York","headquarters":true},{"street":"BNY Mellon Wealth Management & BNY Mellon Advisors","city":"New York"}]},{"state":"Pennsylvania","offices":1,"addresses":[{"street":"Mellon Investments Corporation","city":"Pittsburgh"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-922-6273","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management"],"activities":["Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":"0","assetMix":[],"privateFunds":5},"sources":{"adv1FilingDate":"21 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/105642/PDF/105642.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does BNY Mellon Investment Adviser have?","answer":"BNY Mellon Investment Adviser has 91 clients and manages $419.5 billion for them, as of September 2026. They include 82 investment companies and 9 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 21 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does BNY Mellon Investment Adviser offer?","answer":"BNY Mellon Investment Adviser provides portfolio management for investment companies and portfolio management for pooled vehicles.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"How many financial advisors does BNY Mellon Investment Adviser have?","answer":"BNY Mellon Investment Adviser has 0 investment adviser representatives registered with state securities authorities, out of 69 employees, and 14 perform investment advisory functions. 5 are registered representatives of a broker-dealer and 0 are licensed insurance agents.","source":"Form ADV Part 1A, Items 5.A and 5.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns BNY Mellon Investment Adviser?","answer":"BNY Mellon Investment Adviser is owned through a chain of holding companies by MBC Investment Corporation. Its direct owner is MBC Investments Corporation (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 21 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does BNY Mellon Investment Adviser get paid?","answer":"BNY Mellon Investment Adviser is paid through a percentage of assets under management. Its Form ADV lists no commissions or performance-based fees among how it is paid.","source":"Form ADV Part 1A, Item 5.E, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}}],"holdings":null,"notice":"Compiled from public SEC Form ADV filings on the dates in `sources`. Facts as filed; not a rating, ranking, or recommendation. Niva Wealth is not affiliated with this firm. Disciplinary history is deliberately not included here or on the page; the SEC publishes the complete record at the `iapdUrl` above."}