Firms by custodian
Registered investment advisers that custody at Bofa Securities
5 SEC-registered advisers report Bofa Securities as a custodian holding 10% or more of separately managed account assets in Form ADV Schedule D, Section 5.K.(3). Listed by regulatory assets under management.
5 firms listed
| Firm | Headquarters | Regulatory AUM | Advisory staff | Clients |
|---|---|---|---|---|
| Gotham Asset ManagementCRD 149335 | New York, NY | $30.03B | 22 | 289 |
| Pentwater Capital ManagementCRD 156873 | Naples, FL | $19.26B | 20 | 23 |
| Aristeia CapitalCRD 135986 | Greenwich, CT | $13.73B | 24 | 3 |
| Perceptive AdvisorsCRD 154703 | New York, NY | $11.77B | 28 | 26 |
| Castle Hook PartnersCRD 284968 | New York, NY | $10.96B | 18 | 6 |
Gotham Asset ManagementCRD 149335$30.03B
- Headquarters
- New York, NY
- Advisory staff
- 22
- Clients
- 289
Pentwater Capital ManagementCRD 156873$19.26B
- Headquarters
- Naples, FL
- Advisory staff
- 20
- Clients
- 23
Aristeia CapitalCRD 135986$13.73B
- Headquarters
- Greenwich, CT
- Advisory staff
- 24
- Clients
- 3
Perceptive AdvisorsCRD 154703$11.77B
- Headquarters
- New York, NY
- Advisory staff
- 28
- Clients
- 26
Castle Hook PartnersCRD 284968$10.96B
- Headquarters
- New York, NY
- Advisory staff
- 18
- Clients
- 6
Figures are from each firm's most recent Form ADV and are dated on its profile. Listing here is a matter of public record, not a recommendation.
About this list
A custodian holds client accounts; the adviser directs them but does not take possession of the money. Form ADV Schedule D, Section 5.K.(3) requires an adviser to name every custodian holding 10% or more of its separately managed account assets, which is where this list comes from.
A firm may use several custodians, so it can appear on more than one of these lists, and smaller custodial relationships below the 10% threshold are not reported at all. Naming Bofa Securities here says only what the filing says, and implies nothing about either firm's service.