{"url":"https://nivawealth.com/firms/marshall-wace-north-america-135902","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/135902","regulatoryAum":58869761275,"crd":"135902","secFileNumber":"801-70586","legalName":"Marshall Wace North America L.P.","displayName":"Marshall Wace North America","website":null,"linkedinUrl":"https://www.linkedin.com/company/marshall-wace","founded":null,"organization":"Delaware limited partnership","fiscalYearEnd":"February","headquarters":{"street":"66 Hudson Boulevard East, 32nd Floor","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10001"},"tradeNames":[],"registration":{"secApproved":"22 September 2009","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":184,"advisory":112,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":58869761275,"discretionaryAccounts":16,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":50,"nonAumClients":2},"clientTypes":[{"label":"Pooled investment vehicles","clients":16,"regulatoryAum":58869761275}],"fees":[],"feeNotes":[],"custodians":[],"custodyNote":"Marshall Wace North America has custody of $58.87B for 16 clients.","otherCustodians":[],"leadership":[{"name":"Todd Builione","title":"Chief Executive Officer","crd":"4001697"},{"name":"Lancelot Esteibar","title":"Chief Compliance Officer","crd":"6158691"}],"ownership":[{"label":"Mwam North America LLP","detail":"Limited partner in the 75% or more ownership band and a control person, since April 2020."},{"label":"MW LTD","detail":"Indirect owner: a managing member of Mwam North America LLP in the 75% or more band and a control person, since March 2020.","parent":"Mwam North America LLP"},{"label":"MW Group LP","detail":"Indirect owner: a shareholder of MW LTD in the 75% or more band and a control person, since October 2015.","parent":"MW LTD"},{"label":"MW Group (GP) LTD","detail":"Indirect owner: a shareholder & general partner of MW Group LP in the 25% to 50% band and a control person, since October 2015.","parent":"MW Group LP"},{"label":"Kappa Holdings LTD.","detail":"Indirect owner: a shareholder of MW Group (GP) LTD in the 25% to 50% band and a control person, since October 2015.","parent":"MW Group (GP) LTD"},{"label":"KKR Group Partnership L.P.","detail":"Indirect owner: a shareholder of Kappa Holdings LTD. in the 75% or more band and a control person, since October 2009.","parent":"Kappa Holdings LTD."},{"label":"KKR & Co. Inc.","detail":"Indirect owner: a shareholder of KKR Group Co. Inc. in the 75% or more band and a control person, since May 2022.","parent":"KKR Group Co. Inc."},{"label":"KKR Group Holdings Corp.","detail":"Indirect owner: a shareholder & general partner of KKR Group Partnership L.P. in the 50% to 75% band and a control person, since July 2018.","parent":"KKR Group Partnership L.P."},{"label":"KKR Management LLP","detail":"Indirect owner: a shareholder of KKR & Co. Inc. in the 75% or more band and a control person, since May 2022.","parent":"KKR & Co. Inc."},{"label":"KKR Group Co. Inc.","detail":"Indirect owner: a shareholder of KKR Group Holdings Corp. in the 75% or more band and a control person, since May 2022.","parent":"KKR Group Holdings Corp."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":2,"privateResidences":0},"listedOfficeAddresses":3,"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"1881 Page Mill Road","city":"Palo Alto"}]},{"state":"Massachusetts","offices":1,"addresses":[{"street":"One Broadway","city":"Cambridge"}]},{"state":"New York","offices":1,"addresses":[{"street":"66 Hudson Boulevard East, 32nd Floor","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"212-235-2800","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","Performance-based fees"],"activities":["Portfolio management for pooled investment vehicles (other than investment companies)"],"financialPlanningClients":null,"assetMix":[],"privateFunds":14},"sources":{"adv1FilingDate":"30 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/135902/PDF/135902.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Marshall Wace North America have?","answer":"Marshall Wace North America has 16 clients and manages $58.9 billion for them, as of July 2026.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Marshall Wace North America offer?","answer":"Marshall Wace North America provides 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 Marshall Wace North America have?","answer":"Marshall Wace North America has 0 investment adviser representatives registered with state securities authorities, out of 184 employees, and 112 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":"Who owns Marshall Wace North America?","answer":"Marshall Wace North America is owned through a chain of holding companies by KKR Management LLP. Its direct owner is Mwam North America LLP (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Marshall Wace North America get paid?","answer":"Marshall Wace North America is paid through a percentage of assets under management 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."}