{"url":"https://nivawealth.com/firms/newton-investment-management-111208","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/111208","regulatoryAum":42388859396,"crd":"111208","secFileNumber":"801-42114","legalName":"Newton Investment Management LTD","displayName":"Newton Investment Management","website":null,"linkedinUrl":"https://www.linkedin.com/company/bny-investments-newton/","founded":null,"organization":"corporation organized in United Kingdom","fiscalYearEnd":"December","headquarters":{"street":"160 Queen Victoria Street","city":"London","state":"","stateName":"","country":"United Kingdom","postalCode":"EC4V 4LA"},"tradeNames":["BNY Investments Newton"],"registration":{"secApproved":"27 August 1992","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":63,"advisory":47,"brokerDealerReps":0,"insuranceAgents":0,"promoters":7},"aum":{"discretionary":42339190758,"discretionaryAccounts":127,"nonDiscretionary":49668638,"nonDiscretionaryAccounts":3,"wrapProgram":null,"nonUsClientsPct":92,"nonAumClients":2},"clientTypes":[{"label":"Banking or thrift institutions","clients":null,"regulatoryAum":378422114},{"label":"Investment companies","clients":9,"regulatoryAum":2663875618},{"label":"Pooled investment vehicles","clients":63,"regulatoryAum":36170627436},{"label":"Charitable organizations","clients":27,"regulatoryAum":2204828383},{"label":"Sovereign wealth funds and foreign official institutions","clients":null,"regulatoryAum":971105845}],"fees":[],"feeNotes":[],"custodians":[{"name":"The Bank of New York Mellon London, Branch","shortName":"The Bank of New York Mellon London, Branch","location":"London","smaAssets":2075885239},{"name":"State Street Bank & Trust Company","shortName":"State Street Bank & Trust","location":"London","smaAssets":378422114},{"name":"The Northern Trust Company, London Branch","shortName":"The Northern Trust Company, London Branch","location":"London","smaAssets":971105844}],"custodyNote":"Newton Investment Management has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Raman Srivastava","title":"Chief Executive Officer and Director","crd":"7163810"},{"name":"Elizabeth Roach","title":"Chief Compliance Officer","crd":"7254045"},{"name":"James Helby","title":"Chief Risk Officer & Director","crd":"5846815"},{"name":"Susan Noble","title":"Independent Non-Executive Director","crd":"7065870"},{"name":"Stephen Potter","title":"Independent Non-Executive Director","crd":"2729902"},{"name":"Mark Stancombe","title":"Director","crd":"7040428"},{"name":"Richard Watt","title":"Independent Non-Executive Director","crd":"4363551"}],"ownership":[{"label":"Newton Management Limited","detail":"Owner in the 75% or more ownership band and a control person, since January 1992."},{"label":"The Bank of New York Mellon Corporation","detail":"Indirect owner: a owner of BNY Mellon Ihc, LLC in the 75% or more band and a control person, since July 2007.","parent":"BNY Mellon Ihc, LLC"},{"label":"BNY Mellon Ihc, LLC","detail":"Indirect owner: a owner of MBC Investments Corporation in the 75% or more band and a control person, since April 2017.","parent":"MBC Investments Corporation"},{"label":"MBC Investments Corporation","detail":"Indirect owner: a owner of BNY Mellon Investment Management (jersey) Limited in the 75% or more band and a control person, since November 2012.","parent":"BNY Mellon Investment Management (jersey) Limited"},{"label":"BNY Mellon Investment Management (jersey) Limited","detail":"Indirect owner: a owner of BNY Mellon International Asset Management Group Limited in the 75% or more band and a control person, since November 2012.","parent":"BNY Mellon International Asset Management Group Limited"},{"label":"BNY Mellon International Asset Management Group Limited","detail":"Indirect owner: a owner of Newton Management Limited in the 75% or more band and a control person, since January 1992.","parent":"Newton Management Limited"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"442071639000","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["A percentage of assets under management","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":67},{"label":"U.S. government/agency bonds","percent":1},{"label":"Sovereign bonds","percent":8},{"label":"Investment grade corporate bonds","percent":3},{"label":"Non-investment grade corporate bonds","percent":1},{"label":"Securities issued by registered investment companies or business development companies","percent":1},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":13},{"label":"Cash and cash equivalents","percent":6}],"privateFunds":0},"sources":{"adv1FilingDate":"22 July 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/111208/PDF/111208.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Newton Investment Management have?","answer":"Newton Investment Management has 99 clients and manages $42.4 billion for them, as of July 2026. They include 63 pooled investment vehicles, 27 charitable organizations and 9 investment companies.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 22 July 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Newton Investment Management offer?","answer":"Newton Investment Management 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 Newton Investment Management use?","answer":"Newton Investment Management’s separately managed account assets are held at The Bank of New York Mellon London, Branch (London), with $2,075,885,239, The Northern Trust Company, London Branch (London), with $971,105,844 and State Street Bank & Trust Company (London), with $378,422,114. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 22 July 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Newton Investment Management have?","answer":"Newton Investment Management has 0 investment adviser representatives registered with state securities authorities, out of 63 employees, and 47 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 Newton Investment Management invest in?","answer":"At the end of its last fiscal year, Newton Investment Management’s separately managed accounts held 67% exchange-traded equities, 13% pooled vehicles (private funds and similar), 8% sovereign bonds, 6% cash and equivalents, 3% investment grade corporate bonds, 1% U.S. government and agency bonds, 1% high-yield corporate bonds and 1% registered funds (mutual funds, ETFs, BDCs). It advises no private funds of its own.","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 Newton Investment Management?","answer":"Newton Investment Management is owned through a chain of holding companies by the Bank of New York Mellon Corporation. Its direct owner is Newton Management Limited (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 22 July 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Newton Investment Management get paid?","answer":"Newton Investment Management 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."}