{"url":"https://nivawealth.com/firms/newton-investment-management-north-america-312937","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/312937","regulatoryAum":59157957857,"crd":"312937","secFileNumber":"801-120501","legalName":"Newton Investment Management North America LLC","displayName":"Newton Investment Management North America","website":null,"linkedinUrl":"http://www.linkedin.com/company/newton-investment-management","founded":null,"organization":"Delaware limited liability company","fiscalYearEnd":"December","headquarters":{"street":"One Boston Place, 201 Washington Street","city":"Boston","state":"MA","stateName":"Massachusetts","country":"United States","postalCode":"02108-4408"},"tradeNames":[],"registration":{"secApproved":"12 March 2021","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":88,"advisory":55,"brokerDealerReps":12,"insuranceAgents":0,"promoters":9},"aum":{"discretionary":58900531894,"discretionaryAccounts":158,"nonDiscretionary":257425963,"nonDiscretionaryAccounts":2,"wrapProgram":null,"nonUsClientsPct":22,"nonAumClients":22},"clientTypes":[{"label":"Banking or thrift institutions","clients":1,"regulatoryAum":38337595},{"label":"Investment companies","clients":41,"regulatoryAum":35880088849},{"label":"Pooled investment vehicles","clients":58,"regulatoryAum":16758727968},{"label":"Pension and profit-sharing plans","clients":24,"regulatoryAum":3391894306},{"label":"Charitable organizations","clients":5,"regulatoryAum":389133461},{"label":"State or municipal government entities","clients":22,"regulatoryAum":1951037053},{"label":"Other investment advisers","clients":7,"regulatoryAum":464102249},{"label":"Insurance companies","clients":1,"regulatoryAum":220448787},{"label":"Corporations and other businesses","clients":1,"regulatoryAum":64187589}],"fees":[],"feeNotes":[],"custodians":[{"name":"The Bank of New York Mellon","shortName":"The Bank of New York Mellon","location":"New York, NY","smaAssets":2199786512},{"name":"State Street Bank & Trust Company","shortName":"State Street Bank & Trust","location":"North Quincy, MA","smaAssets":1203004403},{"name":"The Northern Trust Company","shortName":"The Northern Trust","location":"Chicago, IL","smaAssets":1365487895}],"custodyNote":"Newton Investment Management North America has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Brock Campbell","title":"Chief Executive Officer","crd":"8217620"},{"name":"Jaime Utano","title":"Chief Compliance Officer","crd":"4247983"},{"name":"David Leduc","title":"Manager","crd":"2704353"},{"name":"Kimberly Mackenzie-Perman","title":"Manager","crd":"4576869"}],"ownership":[{"label":"MBC Investments Corporation","detail":"Member in the 75% or more ownership band and a control person, since August 2021."},{"label":"The Bank of New York Mellon Corporation","detail":"Indirect owner: a shareholder of BNY Mellon Ihc, LLC in the 75% or more band and a control person, since April 2017.","parent":"BNY Mellon Ihc, LLC"},{"label":"BNY Mellon Ihc, LLC","detail":"Indirect owner: a shareholder of MBC Investments Corporation in the 75% or more band and a control person, since April 2017.","parent":"MBC Investments Corporation"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":0},"listedOfficeAddresses":4,"officesByState":[{"state":"California","offices":1,"addresses":[{"street":"101 2nd Street","city":"San Francisco"}]},{"state":"Massachusetts","offices":1,"addresses":[{"street":"One Boston Place, 201 Washington Street","city":"Boston","headquarters":true}]},{"state":"New York","offices":1,"addresses":[{"street":"240 Greenwich Street","city":"New York"}]},{"state":"Pennsylvania","offices":1,"addresses":[{"street":"500 Grant Street","city":"Pittsburgh"}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"617-248-3000","stateRegisteredReps":11,"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":74},{"label":"U.S. state and local bonds","percent":5},{"label":"Sovereign bonds","percent":2},{"label":"Investment grade corporate bonds","percent":2},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":16},{"label":"Cash and cash equivalents","percent":1}],"privateFunds":0},"sources":{"adv1FilingDate":"29 May 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/312937/PDF/312937.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 North America have?","answer":"Newton Investment Management North America has 160 clients and manages $59.2 billion for them, as of May 2026. They include 58 pooled investment vehicles, 41 investment companies and 24 pension and profit-sharing plans.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 29 May 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Newton Investment Management North America offer?","answer":"Newton Investment Management North 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 Newton Investment Management North America use?","answer":"Newton Investment Management North America’s separately managed account assets are held at The Bank of New York Mellon (New York, NY), with $2,199,786,512, The Northern Trust Company (Chicago, IL), with $1,365,487,895 and State Street Bank & Trust Company (North Quincy, MA), with $1,203,004,403. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 29 May 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Newton Investment Management North America have?","answer":"Newton Investment Management North America has 11 investment adviser representatives registered with state securities authorities, out of 88 employees, and 55 perform investment advisory functions. 12 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 Newton Investment Management North America invest in?","answer":"At the end of its last fiscal year, Newton Investment Management North America’s separately managed accounts held 74% exchange-traded equities, 16% pooled vehicles (private funds and similar), 5% state and local bonds, 2% sovereign bonds, 2% investment grade corporate bonds and 1% cash and equivalents. 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 North America?","answer":"Newton Investment Management North America is owned through a chain of holding companies by the Bank of New York Mellon Corporation. Its direct owner is MBC Investments Corporation (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 29 May 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Newton Investment Management North America get paid?","answer":"Newton Investment Management North 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."}