{"url":"https://nivawealth.com/firms/columbia-management-investment-advisers-108257","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/108257","regulatoryAum":502404181723,"crd":"108257","secFileNumber":"801-25943","legalName":"Columbia Management Investment Advisers, LLC","displayName":"Columbia Management Investment Advisers","website":null,"linkedinUrl":"https://www.linkedin.com/company/columbia-threadneedle-investments/","founded":null,"organization":"Minnesota limited liability company","fiscalYearEnd":"December","headquarters":{"street":"290 Congress Street","city":"Boston","state":"MA","stateName":"Massachusetts","country":"United States","postalCode":"02210"},"tradeNames":["Columbia Management","Columbia Management Capital Advisers","Columbia Management Investment Advisers","Columbia Threadneedle","Columbia Threadneedle Investments","Columbia Threadneedle Investments North America","Seligman","Seligman Investments","Seligman Ventures"],"registration":{"secApproved":"20 December 1985","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":914,"advisory":440,"brokerDealerReps":271,"insuranceAgents":1,"promoters":37},"aum":{"discretionary":501386731497,"discretionaryAccounts":8254,"nonDiscretionary":1017450226,"nonDiscretionaryAccounts":34,"wrapProgram":3159978046,"nonUsClientsPct":3,"nonAumClients":142},"clientTypes":[{"label":"Individuals (other than HNW)","clients":3045,"regulatoryAum":1008607211},{"label":"High-net-worth individuals","clients":495,"regulatoryAum":1885501314},{"label":"Banking or thrift institutions","clients":2,"regulatoryAum":13673793427},{"label":"Investment companies","clients":186,"regulatoryAum":315815716695},{"label":"Pooled investment vehicles","clients":173,"regulatoryAum":42988107237},{"label":"Pension and profit-sharing plans","clients":95,"regulatoryAum":18781156163},{"label":"Charitable organizations","clients":72,"regulatoryAum":1303674625},{"label":"State or municipal government entities","clients":15,"regulatoryAum":2801873154},{"label":"Insurance companies","clients":9,"regulatoryAum":54693862898},{"label":"Sovereign wealth funds and foreign official institutions","clients":9,"regulatoryAum":13155987254},{"label":"Corporations and other businesses","clients":139,"regulatoryAum":35763301925},{"label":"Other","clients":11,"regulatoryAum":532599820}],"fees":[],"feeNotes":[],"custodians":[{"name":"Jpmorgan Chase Bank, N.A.","shortName":"J.P. Morgan","location":"New York, NY","smaAssets":79385168276},{"name":"State Street Bank & Trust Company","shortName":"State Street Bank & Trust","location":"Boston, MA","smaAssets":19154474495},{"name":"Bank of America Corporation","shortName":"Bank of America","location":"Charlotte, NC","smaAssets":16544309163}],"custodyNote":"Columbia Management Investment Advisers has custody of $3.58B for 14 clients.","otherCustodians":[],"leadership":[{"name":"Francine Asselta","title":"Vice President and Head of North America Institutional Distribution","crd":"4353091"},{"name":"Michael Clarke","title":"Member, Board of Governors, Senior Vice President and North America Head of Operations and Investor Services","crd":"4053214"},{"name":"Michael Defao","title":"Vice President, Chief Legal Officer, and Assistant Secretary","crd":"2687755"},{"name":"Brian Engelking","title":"Member, Board of Governors, Vice President and Chief Financial Officer","crd":"4219446"},{"name":"Lee Faria","title":"Vice President and Chief Compliance Officer","crd":"5776595"},{"name":"William Truscott","title":"Chairman of the Board and President","crd":"2416857"},{"name":"Nicolas Janvier","title":"Head of Equities, North America","crd":"4303097"},{"name":"Joshua Kutin","title":"Head of Multi-Asset Solutions, North America","crd":"6529977"},{"name":"Gene Tannuzzo","title":"Managing Director and Global Head of Fixed Income","crd":"4697554"}],"ownership":[{"label":"Ameriprise Financial, Inc.","detail":"Sole member in the 75% or more ownership band and a control person, since October 1985."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":7,"privateResidences":0},"listedOfficeAddresses":8,"officesByState":[{"state":"California","offices":2,"addresses":[{"street":"300 Continental BLVD","city":"El Segundo"},{"street":"3000 Sand Hill Road","city":"Menlo Park"}]},{"state":"Illinois","offices":1,"addresses":[{"street":"227 W. Monroe","city":"Chicago"}]},{"state":"Massachusetts","offices":1,"addresses":[{"street":"290 Congress Street","city":"Boston","headquarters":true}]},{"state":"Minnesota","offices":1,"addresses":[{"street":"50606 Ameriprise Financial Center","city":"Minneapolis"}]},{"state":"New York","offices":1,"addresses":[{"street":"485 Lexington Avenue","city":"New York"}]},{"state":"North Carolina","offices":1,"addresses":[{"street":"300 South Tryon","city":"Charlotte"}]},{"state":"Oregon","offices":1,"addresses":[{"street":"5000 Meadows RD","city":"Lake Oswego"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"800-225-2365","stateRegisteredReps":192,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["Portfolio management for individuals and/or small businesses","Portfolio management for investment companies","Portfolio management for pooled investment vehicles (other than investment companies)","Portfolio management for businesses (other than small businesses) or institutional clients","Selection of other advisers (including private fund managers)","Other"],"financialPlanningClients":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":31},{"label":"U.S. government/agency bonds","percent":18},{"label":"U.S. state and local bonds","percent":4},{"label":"Investment grade corporate bonds","percent":11},{"label":"Non-investment grade corporate bonds","percent":9},{"label":"Derivatives","percent":5},{"label":"Securities issued by registered investment companies or business development companies","percent":2},{"label":"Cash and cash equivalents","percent":6},{"label":"Other","percent":15,"detail":"Asset Backed and Commercial Mortgage Backed Securities; Collateralized Mortgage Obligations; Equity Linked and Inflation Notes."}],"privateFunds":12},"sources":{"adv1FilingDate":"23 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/108257/PDF/108257.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Columbia Management Investment Advisers have?","answer":"Columbia Management Investment Advisers has 4,251 clients and manages $502.4 billion for them, as of September 2026. They include 3,045 other individuals, 495 high-net-worth individuals and 186 investment companies.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 23 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Columbia Management Investment Advisers offer?","answer":"Columbia Management Investment Advisers provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions, selecting other managers and other activities.","source":"Form ADV Part 1A, Item 5.G, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Which custodians does Columbia Management Investment Advisers use?","answer":"Columbia Management Investment Advisers’ separately managed account assets are held at Jpmorgan Chase Bank, N.A. (New York, NY), with $79,385,168,276, State Street Bank & Trust Company (Boston, MA), with $19,154,474,495 and Bank of America Corporation (Charlotte, NC), with $16,544,309,163. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 23 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Columbia Management Investment Advisers have?","answer":"Columbia Management Investment Advisers has 192 investment adviser representatives registered with state securities authorities, out of 914 employees, and 440 perform investment advisory functions. 271 are registered representatives of a broker-dealer and 1 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":"What does Columbia Management Investment Advisers invest in?","answer":"At the end of its last fiscal year, Columbia Management Investment Advisers’ separately managed accounts held 31% exchange-traded equities, 18% U.S. government and agency bonds, 15% asset backed and commercial mortgage backed securities; collateralized mortgage obligations; equity linked and inflation notes., 11% investment grade corporate bonds, 9% high-yield corporate bonds, 6% cash and equivalents, 5% derivatives, 4% state and local bonds and 2% registered funds (mutual funds, ETFs, BDCs). It advises 12 private funds.","source":"Form ADV Part 1A, Items 5.K.(1) and 7.B, from the SEC's 2 October 2026 data file","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"Who owns Columbia Management Investment Advisers?","answer":"Columbia Management Investment Advisers’ direct owner is Ameriprise Financial, Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 23 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Columbia Management Investment Advisers get paid?","answer":"Columbia Management Investment Advisers is paid through a percentage of assets under management, fixed fees and performance-based fees. Its Form ADV lists no commissions 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."}