{"url":"https://nivawealth.com/firms/schroder-investment-management-north-america-106585","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/106585","regulatoryAum":82545029900,"crd":"106585","secFileNumber":"801-37163","legalName":"Schroder Investment Management North America LTD","displayName":"Schroder Investment Management North America","website":null,"founded":null,"organization":"corporation organized in United Kingdom","fiscalYearEnd":"December","headquarters":{"street":"1 London Wall Place","city":"London","state":"","stateName":"","country":"United Kingdom","postalCode":"EC2Y 5AU"},"tradeNames":[],"registration":{"secApproved":"14 September 1990","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":300,"advisory":237,"brokerDealerReps":0,"insuranceAgents":0,"promoters":0},"aum":{"discretionary":80713924839,"discretionaryAccounts":107,"nonDiscretionary":1831105061,"nonDiscretionaryAccounts":4,"wrapProgram":null,"nonUsClientsPct":17,"nonAumClients":4},"clientTypes":[{"label":"High-net-worth individuals","clients":2,"regulatoryAum":47678822},{"label":"Investment companies","clients":60,"regulatoryAum":55780405968},{"label":"Pooled investment vehicles","clients":15,"regulatoryAum":9084279109},{"label":"Pension and profit-sharing plans","clients":7,"regulatoryAum":1758084561},{"label":"Charitable organizations","clients":1,"regulatoryAum":112979082},{"label":"State or municipal government entities","clients":16,"regulatoryAum":11806040991},{"label":"Other investment advisers","clients":4,"regulatoryAum":1831105061},{"label":"Insurance companies","clients":2,"regulatoryAum":532582184},{"label":"Sovereign wealth funds and foreign official institutions","clients":3,"regulatoryAum":1538191490},{"label":"Corporations and other businesses","clients":1,"regulatoryAum":53682632}],"fees":[],"feeNotes":[],"custodians":[{"name":"The Bank of New York Mellon","shortName":"The Bank of New York Mellon","location":"New York, NY","smaAssets":4909315860},{"name":"The Northern Trust Company","shortName":"The Northern Trust","location":"Chicago, IL","smaAssets":3299607302},{"name":"State Street Bank and Trust Company","shortName":"State Street Bank and Trust","location":"Boston, MA","smaAssets":5873118890}],"custodyNote":"Schroder Investment Management North America has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Raj Dhami","title":"Chief Compliance Officer","crd":"8068199"},{"name":"Louise Freeman","title":"Head of Corporate Reporting","crd":"8068211"},{"name":"Andrew Moscow","title":"Director","crd":"7223911"},{"name":"Christopher Taylor","title":"Director","crd":"6773424"}],"ownership":[{"label":"Schroder Investment Management LTD.","detail":"Direct shareholder in the 75% or more ownership band and a control person, since May 1989."},{"label":"Schroder Administration Limited","detail":"Indirect owner: a shareholder of Schroder International Holdings Limited in the 75% or more band and a control person, since July 2017.","parent":"Schroder International Holdings Limited"},{"label":"Schroders PLC","detail":"Indirect owner: a shareholder of Schroder Administration Limited in the 75% or more band and a control person, since June 2004.","parent":"Schroder Administration Limited"},{"label":"Schroder International Holdings Limited","detail":"Indirect owner: a shareholder of Schroder Investment Management LTD. in the 75% or more band and a control person, since July 2017.","parent":"Schroder Investment Management LTD."}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":3,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"4402076586000","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":"0","assetMix":[{"label":"Exchange-traded equity securities","percent":98},{"label":"Securities issued by registered investment companies or business development companies","percent":2}],"privateFunds":0},"sources":{"adv1FilingDate":"31 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/106585/PDF/106585.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Schroder Investment Management North America have?","answer":"Schroder Investment Management North America has 111 clients and manages $82.5 billion for them, as of March 2026. They include 60 investment companies, 16 state or municipal government entities and 15 pooled investment vehicles.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Schroder Investment Management North America offer?","answer":"Schroder 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 Schroder Investment Management North America use?","answer":"Schroder Investment Management North America’s separately managed account assets are held at State Street Bank and Trust Company (Boston, MA), with $5,873,118,890, The Bank of New York Mellon (New York, NY), with $4,909,315,860 and The Northern Trust Company (Chicago, IL), with $3,299,607,302. Only custodians holding at least a tenth of those assets are named.","source":"Form ADV Part 1A, Schedule D, Section 5.K.(3), filed 31 March 2026","sourceRef":{"doc":"adv1","section":"custodians"}},{"question":"How many financial advisors does Schroder Investment Management North America have?","answer":"Schroder Investment Management North America has 0 investment adviser representatives registered with state securities authorities, out of 300 employees, and 237 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 Schroder Investment Management North America invest in?","answer":"At the end of its last fiscal year, Schroder Investment Management North America’s separately managed accounts held 98% exchange-traded equities and 2% 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 Schroder Investment Management North America?","answer":"Schroder Investment Management North America is owned through a chain of holding companies by Schroders PLC. Its direct owner is Schroder Investment Management LTD. (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 31 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Schroder Investment Management North America get paid?","answer":"Schroder Investment Management 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."}