{"url":"https://nivawealth.com/firms/record-currency-management-us-171338","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/171338","regulatoryAum":19661423316,"crd":"171338","secFileNumber":"801-79684","legalName":"Record Currency Management (us) Inc","displayName":"Record Currency Management (us)","website":null,"founded":null,"organization":"Delaware corporation","fiscalYearEnd":"March","headquarters":{"street":"115 Broadway, Office 07-106","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10004"},"tradeNames":[],"registration":{"secApproved":"8 May 2014","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":3,"advisory":2,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":19661423316,"discretionaryAccounts":8,"nonDiscretionary":0,"nonDiscretionaryAccounts":0,"wrapProgram":null,"nonUsClientsPct":0,"nonAumClients":0},"clientTypes":[{"label":"Investment companies","clients":1,"regulatoryAum":144693128},{"label":"Pension and profit-sharing plans","clients":null,"regulatoryAum":1384821428},{"label":"Charitable organizations","clients":null,"regulatoryAum":1182286842},{"label":"State or municipal government entities","clients":null,"regulatoryAum":15811526727},{"label":"Corporations and other businesses","clients":null,"regulatoryAum":1138095191}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Record Currency Management (us) does not have custody of client assets.","otherCustodians":[],"leadership":[{"name":"Thomas Arnold","title":"Director","crd":"7949163"},{"name":"Grady Laurie","title":"CCO","crd":"6103364"}],"ownership":[{"label":"Record PLC","detail":"Parent company (100% owner) in the 75% or more ownership band and a control person, since June 2011."},{"label":"Neil Record","detail":"Indirect owner: a ex-chairman of Record PLC in the 25% to 50% band and a control person, since March 2023.","parent":"Record PLC"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"115 Broadway, Office 07-106","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"447873621078","stateRegisteredReps":0,"otherAdviserReps":0,"compensation":["Fixed fees (other than subscription fees)","Other"],"activities":["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)","Publication of periodicals or newsletters","Educational seminars/workshops","Other"],"financialPlanningClients":null,"assetMix":[{"label":"Derivatives","percent":100}],"privateFunds":0},"sources":{"adv1FilingDate":"30 June 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/171338/PDF/171338.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Record Currency Management (us) have?","answer":"Record Currency Management (us) has 1 clients and manages $19.7 billion for them, as of June 2026.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 30 June 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Record Currency Management (us) offer?","answer":"Record Currency Management (us) provides portfolio management for pooled vehicles, portfolio management for institutions, selecting other managers, publishing newsletters, educational seminars and other activities.","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 Record Currency Management (us) have?","answer":"Record Currency Management (us) has 0 investment adviser representatives registered with state securities authorities, out of 3 employees, and 2 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 Record Currency Management (us) invest in?","answer":"At the end of its last fiscal year, Record Currency Management (us)’s separately managed accounts held 100% derivatives. 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 Record Currency Management (us)?","answer":"Record Currency Management (us) is owned through a holding company by Neil Record. Its direct owner is Record PLC (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 30 June 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Record Currency Management (us) get paid?","answer":"Record Currency Management (us) is paid through fixed fees and other arrangements. Its Form ADV lists no commissions or performance-based fees 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."}