{"url":"https://nivawealth.com/firms/schroders-capital-management-us-145194","iapdUrl":"https://adviserinfo.sec.gov/firm/summary/145194","regulatoryAum":34585641082,"crd":"145194","secFileNumber":"801-69112","legalName":"Schroders Capital Management (us) Inc.","displayName":"Schroders Capital Management (us)","website":"http://www.schroderscapital.com","founded":null,"organization":"Delaware corporation","fiscalYearEnd":"December","headquarters":{"street":"7 Bryant Park","city":"New York","state":"NY","stateName":"New York","country":"United States","postalCode":"10018"},"tradeNames":[],"registration":{"secApproved":"15 May 2008","noticeFilings":null,"latestNoticeFiling":null},"staff":{"employees":163,"advisory":90,"brokerDealerReps":1,"insuranceAgents":0,"promoters":3},"aum":{"discretionary":32472051231,"discretionaryAccounts":134,"nonDiscretionary":2113589851,"nonDiscretionaryAccounts":14,"wrapProgram":null,"nonUsClientsPct":93,"nonAumClients":0},"clientTypes":[{"label":"High-net-worth individuals","clients":null,"regulatoryAum":184649936},{"label":"Banking or thrift institutions","clients":null,"regulatoryAum":242645099},{"label":"Investment companies","clients":6,"regulatoryAum":125502950},{"label":"Pooled investment vehicles","clients":69,"regulatoryAum":19969131869},{"label":"Pension and profit-sharing plans","clients":43,"regulatoryAum":9589908510},{"label":"State or municipal government entities","clients":6,"regulatoryAum":524138466},{"label":"Insurance companies","clients":null,"regulatoryAum":1136148613},{"label":"Corporations and other businesses","clients":14,"regulatoryAum":2813515639}],"fees":[],"feeNotes":[],"feePrograms":[],"brochureCoverage":{"scope":"known_documents","status":"not_processed","checkedAt":null,"documents":[]},"custodians":[],"custodyNote":"Schroders Capital Management (us) has custody of client assets.","otherCustodians":[],"leadership":[{"name":"Rainer Ender","title":"Director and President","crd":"5494173"},{"name":"Stephanie Aldag","title":"General Counsel Private Equity","crd":"7831723"},{"name":"Benjamin Alt","title":"Head of Global Private Equity Portfolios","crd":"7930211"},{"name":"Lorenzo Barreca","title":"Head of Risk Management","crd":"8126295"},{"name":"Timothy Creed","title":"Head of Private Equity'S Investments","crd":"6175207"},{"name":"Dirk Dillinger","title":"Head of Finance","crd":"7710550"},{"name":"Stefan Fuchs","title":"Member of the Board","crd":"7951701"},{"name":"Lee Gardella","title":"Director and Secretary","crd":"4141238"},{"name":"Sven Gasser","title":"Chief Operation Officer, Private Equity","crd":"7831721"},{"name":"Christa Janjic-Marti","title":"Member of the Board","crd":"7951702"},{"name":"Aikaterini Rigoulia","title":"Head of Compliance, Private Equity (cco)","crd":"7930205"},{"name":"Nils Rode","title":"Chief Investment Officer","crd":"5494181"},{"name":"Georg Wunderlin","title":"Global Head of Schroders Capital, Chairman of the Board","crd":"7177348"}],"ownership":[{"label":"Schroders US Holdings Inc","detail":"Owner in the 75% or more ownership band and a control person, since June 2023."},{"label":"Schroder International Holdings Limited","detail":"Indirect owner: a shareholder of Schroders US Holdings Inc in the 75% or more band and a control person, since December 1980.","parent":"Schroders US Holdings Inc"},{"label":"Schroder Administration LTD","detail":"Indirect owner: a shareholder of Schroder International Holdings Limited in the 75% or more band and a control person, since June 2004.","parent":"Schroder International Holdings Limited"},{"label":"Schroders PLC","detail":"Indirect owner: a shareholder of Schroder Administration LTD in the 75% or more band and a control person, since June 2004.","parent":"Schroder Administration LTD"}],"branchOffices":null,"filedOffices":{"otherThanPrincipal":0,"privateResidences":0},"listedOfficeAddresses":1,"officesByState":[{"state":"New York","offices":1,"addresses":[{"street":"7 Bryant Park","city":"New York","headquarters":true}]}],"advFacts":{"source":{"file":"ia100226.zip","asOf":"2 October 2026"},"telephone":"12124885330","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":"Non-exchange-traded equity securities","percent":37},{"label":"Securities issued by pooled investment vehicles (other than registered investment companies)","percent":59},{"label":"Cash and cash equivalents","percent":4}],"privateFunds":66},"sources":{"adv1FilingDate":"27 March 2026","adv1Url":"https://reports.adviserinfo.sec.gov/reports/ADV/145194/PDF/145194.pdf","brochureDate":null,"brochureUrl":null,"iapdCompiledDate":null,"retrievedDate":"15 October 2026","retrievedOn":"2026-10-15","adv1Pages":{},"brochurePages":{}},"otherBusiness":[],"faq":[{"question":"How many clients does Schroders Capital Management (us) have?","answer":"Schroders Capital Management (us) has 138 clients and manages $34.6 billion for them, as of March 2026. They include 69 pooled investment vehicles, 43 pension and profit-sharing plans and 14 corporations and other businesses.","source":"Form ADV Part 1A, Items 5.D and 5.F, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"employees"}},{"question":"What services does Schroders Capital Management (us) offer?","answer":"Schroders Capital Management (us) 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":"How many financial advisors does Schroders Capital Management (us) have?","answer":"Schroders Capital Management (us) has 0 investment adviser representatives registered with state securities authorities, out of 163 employees, and 90 perform investment advisory functions. 1 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 Schroders Capital Management (us) invest in?","answer":"At the end of its last fiscal year, Schroders Capital Management (us)’s separately managed accounts held 59% pooled vehicles (private funds and similar), 37% non-exchange-traded equities and 4% cash and equivalents. It advises 66 private funds.","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 Schroders Capital Management (us)?","answer":"Schroders Capital Management (us) is owned through a chain of holding companies by Schroders PLC. Its direct owner is Schroders US Holdings Inc (75% or more).","source":"Form ADV Part 1A, Schedules A and B, filed 27 March 2026","sourceRef":{"doc":"adv1","section":"scheduleA"}},{"question":"How does Schroders Capital Management (us) get paid?","answer":"Schroders Capital Management (us) 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."}