{"url":"https://nivawealth.com/firms/dws-investment-management-americas-104518","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/104518","regulatoryAum":199663682816,"crd":"104518","secFileNumber":"801-252","legalName":"DWS Investment Management Americas, Inc.","displayName":"DWS Investment Management Americas","website":null,"founded":null,"organization":"Delaware corporation","fiscalYearEnd":"December","headquarters":{"street":"875 Third Avenue","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10022"},"tradeNames":["DWS"],"registration":{"secApproved":"1 November 1940","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":452,"advisory":91,"brokerDealerReps":114,"insuranceAgents":0,"promoters":1},"aum":{"discretionary":196431598979,"discretionaryAccounts":540,"nonDiscretionary":3232083837,"nonDiscretionaryAccounts":10,"wrapProgram":0,"nonUsClientsPct":18,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":7,"regulatoryAum":91927122},{"label":"Banking or thrift institutions","clients":2,"regulatoryAum":2075203836},{"label":"Investment companies","clients":55,"regulatoryAum":69205060103},{"label":"Business development companies","clients":1,"regulatoryAum":371951282},{"label":"Pooled investment vehicles","clients":7,"regulatoryAum":15134148903},{"label":"Pension and profit-sharing plans","clients":4,"regulatoryAum":1906992593},{"label":"Charitable organizations","clients":3,"regulatoryAum":2174129028},{"label":"State or municipal government entities","clients":2,"regulatoryAum":1778681719},{"label":"Other investment advisers","clients":3,"regulatoryAum":119062030},{"label":"Insurance companies","clients":47,"regulatoryAum":86740668386},{"label":"Sovereign wealth funds and foreign official institutions","clients":3,"regulatoryAum":5079459674},{"label":"Corporations and other businesses","clients":20,"regulatoryAum":13487195623},{"label":"Other","clients":5,"regulatoryAum":1499202517}],"fees":[],"feeNotes":[],"custodians":[{"name":"The Bank of New York Mellon Corporation","shortName":"The Bank of New York Mellon","location":"New York, NY","smaAssets":23805644314},{"name":"Jpmorgan Chase & Co.","shortName":"J.P. Morgan","location":"New York, NY","smaAssets":42497586019},{"name":"The Northern Trust Company","shortName":"The Northern Trust","location":"Chicago, IL","smaAssets":14785833550}],"custodyNote":"DWS Investment Management Americas has custody of client assets.","otherCustodians":[],"leadership":[{"name":"David Bianco","title":"Director,chief Executive Officer and President","crd":"2646719"},{"name":"Rheeza Baluyot","title":"Chief Financial Officer & Treasurer","crd":"8028310"},{"name":"Sandy Sculac","title":"Chief Operating Officer","crd":"4575088"},{"name":"Michelle Goveia","title":"Chief Compliance Officer","crd":"2860014"},{"name":"George Catrambone","title":"Director & Chairman","crd":"5406201"},{"name":"John Millette","title":"Chief Legal Officer","crd":"6500405"},{"name":"Hepsen Uzcan","title":"Director","crd":"6985581"}],"ownership":[{"label":"DWS USA Corporation","detail":"Shareholder in the 75% or more ownership band and a control person, since August 2017."},{"label":"DWS Group GMBH & Co. Kgaa","detail":"Indirect owner: a shareholder of DWS USA Corporation in the 75% or more band and a control person, since April 2018.","parent":"DWS USA Corporation"},{"label":"DB Beteiligungs-Holding GMBH","detail":"Indirect owner: a shareholder of DWS Group GMBH & Co. Kgaa in the 75% or more band and a control person, since April 2018.","parent":"DWS Group GMBH & Co. Kgaa"},{"label":"Deutsche Bank Ag","detail":"Indirect owner: a shareholder of DB Beteiligungs-Holding GMBH in the 75% or more band and a control person, since April 2018.","parent":"DB Beteiligungs-Holding GMBH"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":5,"privateResidences":0},"listedOfficeAddresses":6,"officesByState":[{"state":"California","offices":2,"addresses":[{"street":"101 California Street","city":"San Francisco"},{"street":"535 Anton Boulevard","city":"Costa Mesa"}]},{"state":"Florida","offices":1,"addresses":[{"street":"5201 Gate Parkway BLVD","city":"Jacksonville"}]},{"state":"Illinois","offices":1,"addresses":[{"street":"222 South Riverside Plaza","city":"Chicago"}]},{"state":"Massachusetts","offices":1,"addresses":[{"street":"100 Summer Street","city":"Boston"}]},{"state":"New York","offices":1,"addresses":[{"street":"875 Third Avenue","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-454-4500","stateRegisteredReps":0,"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)"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":17},{"label":"U.S. government/agency bonds","percent":31},{"label":"U.S. state and local bonds","percent":5},{"label":"Sovereign bonds","percent":2},{"label":"Investment grade corporate bonds","percent":16},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":1},{"label":"Cash and cash equivalents","percent":14},{"label":"Other","percent":13,"detail":"Abs/Loans/Abs/Repos."}],"privateFunds":4},"sources":{"adv1FilingDate":"17 September 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/104518/PDF/104518.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does DWS Investment Management Americas have?","answer":"DWS Investment Management Americas has 159 clients and manages $199.7 billion for them, as of September 2026. They include 55 investment companies, 47 insurance companies and 20 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 17 September 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does DWS Investment Management Americas offer?","answer":"DWS Investment Management Americas provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled vehicles, portfolio management for institutions and selecting other managers.","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 DWS Investment Management Americas use?","answer":"DWS Investment Management Americas’ separately managed account assets are held at Jpmorgan Chase & Co. (New York, NY), with $42,497,586,019, The Bank of New York Mellon Corporation (New York, NY), with $23,805,644,314 and The Northern Trust Company (Chicago, IL), with $14,785,833,550. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 17 September 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does DWS Investment Management Americas have?","answer":"DWS Investment Management Americas has 0 investment adviser representatives registered with state securities authorities, out of 452 employees, and 91 perform investment advisory functions. 114 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":"What does DWS Investment Management Americas invest in?","answer":"At the end of its last fiscal year, DWS Investment Management Americas’ separately managed accounts held 31% U.S. government and agency bonds, 17% exchange-traded equities, 16% investment grade corporate bonds, 14% cash and equivalents, 13% abs/loans/abs/repos., 5% state and local bonds, 2% sovereign bonds, 1% high-yield corporate bonds and 1% registered funds (mutual funds, ETFs, BDCs). It advises 4 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 DWS Investment Management Americas?","answer":"DWS Investment Management Americas is owned through a chain of holding companies by Deutsche Bank Ag. Its direct owner is DWS USA Corporation (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 17 September 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does DWS Investment Management Americas get paid?","answer":"DWS Investment Management Americas 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."}