{"url":"https://nivawealth.com/firms/legal-and-general-investment-management-america-149156","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/149156","regulatoryAum":267164377153,"crd":"149156","secFileNumber":"801-69862","legalName":"Legal & General Investment Management America Inc.","displayName":"Legal & General Investment Management America","website":null,"linkedinUrl":"https://www.linkedin.com/company/legal-and-general-asset-management-america","founded":null,"organization":"Delaware corporation","fiscalYearEnd":"December","headquarters":{"street":"71 South Wacker Drive, Suite 800","city":"Chicago","state":"IL","stateName":"Illinois","country":"United States","postalCode":"60606"},"tradeNames":[],"registration":{"secApproved":"8 January 2009","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":262,"advisory":104,"brokerDealerReps":0,"insuranceAgents":0,"promoters":1},"aum":{"discretionary":266792093466,"discretionaryAccounts":546,"nonDiscretionary":372283687,"nonDiscretionaryAccounts":8,"wrapProgram":null,"nonUsClientsPct":5,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":2,"regulatoryAum":10829622628},{"label":"Pooled investment vehicles","clients":52,"regulatoryAum":47146102337},{"label":"Pension and profit-sharing plans","clients":98,"regulatoryAum":39937215261},{"label":"Charitable organizations","clients":3,"regulatoryAum":820884278},{"label":"State or municipal government entities","clients":5,"regulatoryAum":3877733499},{"label":"Other investment advisers","clients":15,"regulatoryAum":146565591330},{"label":"Insurance companies","clients":11,"regulatoryAum":12001550769},{"label":"Sovereign wealth funds and foreign official institutions","clients":1,"regulatoryAum":1044444168},{"label":"Corporations and other businesses","clients":6,"regulatoryAum":4801601329},{"label":"Other","clients":2,"regulatoryAum":139631554}],"fees":[],"feeNotes":[],"custodians":[{"name":"Citibank, N.A.","shortName":"Citibank, N.A.","location":"Columbus, OH","smaAssets":120846147549},{"name":"The Northern Trust Company","shortName":"The Northern Trust","location":"Chicago, IL","smaAssets":21863654101},{"name":"The Bank of New York Mellon","shortName":"The Bank of New York Mellon","location":"New York, NY","smaAssets":23009113535}],"custodyNote":"Legal & General Investment Management America has custody of $14.84B for 20 clients.","otherCustodians":[],"leadership":[{"name":"Jed Plafker","title":"Chief Executive Officer, Director","crd":"2793695"},{"name":"Patrick Ryan","title":"Chief Financial Officer, Director","crd":"6454657"},{"name":"Kristina ST. Charles","title":"General Counsel & Interim Chief Compliance Officer","crd":"7678019"},{"name":"Alexia Gottschalch","title":"Head of Real Estate Equity","crd":"5792738"},{"name":"Claude Reiffsteck","title":"Head of Global Investment Operations","crd":"5572318"},{"name":"Jason Shoup","title":"Chief Investment Officer, Director","crd":"5055947"}],"ownership":[{"label":"Legal & General Investment Management, United States (holdings) Inc.","detail":"Shareholder in the 75% or more ownership band and a control person, since May 2014."},{"label":"Legal & General Group PLC","detail":"Indirect owner: a shareholder of L&G - Asset Management Limited in the 75% or more band, since October 2001.","parent":"L&G - Asset Management Limited"},{"label":"L&G - Asset Management Limited","detail":"Indirect owner: a shareholder of Legal & General Investment Management, United States (holdings) Inc. in the 75% or more band, since May 2014.","parent":"Legal & General Investment Management, United States (holdings) Inc."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"Illinois","offices":1,"addresses":[{"street":"71 South Wacker Drive, Suite 800","city":"Chicago","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"312-585-0300","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Fixed fees (other than subscription fees)","Performance-based fees"],"activities":["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"],"financialPlanningClients":null,"assetMix":[{"label":"Exchange-traded equity securities","percent":50},{"label":"U.S. government/agency bonds","percent":13},{"label":"U.S. state and local bonds","percent":1},{"label":"Investment grade corporate bonds","percent":25},{"label":"Non-investment grade corporate bonds","percent":5},{"label":"Cash and cash equivalents","percent":2},{"label":"Other","percent":3,"detail":"Asset Backed Securities and Mortgage Backed Securities"}],"privateFunds":20},"sources":{"adv1FilingDate":"1 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/149156/PDF/149156.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Legal & General Investment Management America have?","answer":"Legal & General Investment Management America has 195 clients and manages $267.2 billion for them, as of July 2026. They include 98 pension and profit-sharing plans, 52 pooled investment vehicles and 15 other investment advisers.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 1 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Legal & General Investment Management America offer?","answer":"Legal & General Investment Management America provides portfolio management for investment companies, portfolio management for pooled vehicles and portfolio management for institutions.","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 Legal & General Investment Management America use?","answer":"Legal & General Investment Management America’s separately managed account assets are held at Citibank, N.A. (Columbus, OH), with $120,846,147,549, The Bank of New York Mellon (New York, NY), with $23,009,113,535 and The Northern Trust Company (Chicago, IL), with $21,863,654,101. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 1 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Legal & General Investment Management America have?","answer":"Legal & General Investment Management America has 0 investment adviser representatives registered with state securities authorities, out of 262 employees, and 104 perform investment advisory functions. None are registered representatives of a broker-dealer or 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 Legal & General Investment Management America invest in?","answer":"At the end of its last fiscal year, Legal & General Investment Management America’s separately managed accounts held 50% exchange-traded equities, 25% investment grade corporate bonds, 13% U.S. government and agency bonds, 5% high-yield corporate bonds, 3% asset backed securities and mortgage backed securities, 2% cash and equivalents and 1% state and local bonds. It advises 20 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 Legal & General Investment Management America?","answer":"Legal & General Investment Management America is owned through a chain of holding companies by Legal & General Group PLC. Its direct owner is Legal & General Investment Management, United States (holdings) Inc. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 1 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Legal & General Investment Management America get paid?","answer":"Legal & General Investment Management America 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."}