AUM
Employee Count
Main Office
Discretion | AUM |
---|---|
Discretionary | $361.7 |
Non-Discretionary | $1.3 |
Total | $363.0 |
Client | AUM |
---|---|
Retail | $6.5 |
Pooled | $258.5 |
Institutional | $98.0 |
Total | $363.0 |
Retail | Accounts | AUM |
---|---|---|
Individual | 19 | $0.0 |
Average Individual AUM | $409,267 | |
HNW | 341 | $6.5 |
Average HNW AUM | $19,169,776 | |
Retail Total | 360 | $6.5 |
Average Retail AUM | $18,179,638 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
Custodian | Location | AUM |
---|---|---|
THE NORTHERN TRUST COMPANY | CHICAGO-IL-USA | $31.1 |
THE BANK OF NEW YORK MELLON | NEW YORK-NY-USA | $31.0 |
STATE STREET BANK AND TRUST COMPANY | BOSTON-MA-USA | $22.0 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Breakdown | AUM |
---|---|
Total SMA AUM | $104.5 |
Retail SMA AUM | $6.5 |
Institutional SMA AUM | $98.0 |
Asset Class | % | AUM |
---|---|---|
Equity Exch | 28% | $29.3 |
Equity Non-Exch | 0% | $0.0 |
Govt Agency | 8% | $8.4 |
Municipal | 4% | $4.2 |
Sovereign | 0% | $0.0 |
IG Credit | 36% | $37.6 |
HY Credit | 2% | $2.1 |
Derivatives | 0% | $0.0 |
Investment Companies | 0% | $0.0 |
Other Pools | 0% | $0.0 |
Cash | 2% | $2.1 |
Other | 21% | $21.9 |
Total | 101% | $105.6 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates | AUM | Business Types | CRD Number |
---|---|---|---|
DODGE & COX WORLDWIDE INVESTMENTS LTD. | $0.0 | - | |
DODGE & COX (EUROPE) GMBH | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
11 active
Name | Title |
---|---|
EMERY, DANA, MORTON | CHAIR, CEO, DIRECTOR, & SHAREHOLDER |
PRIMAS, KATHERINE, MARIE | CHIEF COMPLIANCE OFFICER, VP, & SHAREHOLDER |
KAMEDA, ROBERTA, RUMIE WAIYEE | GENERAL COUNSEL, VP, SECRETARY, & SHAREHOLDER |
HOEFT, DAVID, CLINTON | DIRECTOR, SVP, CHIEF INVESTMENT OFFICER, & SHAREHOLDER |
KUO, ROGER, GEORGE | PRESIDENT, DIRECTOR, & SHAREHOLDER |
STRICKLAND, WILLIAM, WILTON | CHIEF OPERATING OFFICER, SVP, & SHAREHOLDER |
SCOTT, STEPHEN | CHIEF FINANCIAL OFFICER, TREASURER AND ASSISTANT SECRETARY |
BARRET, PHILIPPE | DIRECTOR, SVP, & SHAREHOLDER |
JOHNS, LUCINDA, INGLE | DIRECTOR, SVP, & SHAREHOLDER |
MERTENS, RAYMOND, JOSEPH | DIRECTOR, SVP, & SHAREHOLDER |
VOORHIS, STEVEN, COERTE | SVP, DIRECTOR OF RESEARCH & SHAREHOLDER |
ADVDB.CO • SOURCE: SEC
2 active representatives found
Name | City | State | Exams | Designations | |||||
---|---|---|---|---|---|---|---|---|---|
KEVIN JOHNSON | SAN FRANCISCO | CA | S63|2015-08-14 | ||||||
DANA EMERY | SAN FRANCISCO | CA | S63|1991-06-12|S65|1996-06-18 |
ADVDB.CO • SOURCE: SEC
Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
---|---|---|---|---|---|---|
2024-10-01 | $363.0 | $0.0 | 0% | 306 | 0 | 0% |
2024-04-02 | $363.0 | $0.0 | 0% | 306 | 0 | 0% |
2023-04-04 | $322.9 | $40.1 | 12% | 295 | 11 | 4% |
2022-04-01 | $371.3 | -$8.3 | -2% | 289 | 17 | 6% |
2021-04-05 | $325.3 | $37.7 | 12% | 277 | 29 | 10% |
2020-04-01 | $326.7 | $36.3 | 11% | 270 | 36 | 13% |
2019-04-01 | $285.9 | $77.1 | 27% | 248 | 58 | 23% |
2018-04-02 | $316.0 | $47.0 | 15% | 243 | 63 | 26% |
2017-04-01 | $275.9 | $87.1 | 32% | 236 | 70 | 30% |
2016-04-01 | $259.5 | $103.5 | 40% | 224 | 82 | 37% |
2015-04-01 | $269.6 | $93.4 | 35% | 210 | 96 | 46% |
2014-04-01 | $224.4 | $138.6 | 62% | 205 | 101 | 49% |
2013-04-01 | $189.5 | $173.5 | 92% | 195 | 111 | 57% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
STATE REGISTRATIONS |
CA, AR-03/28/2024, AZ-03/29/2016, CA-01/01/1970, CO-03/29/2016, CT-03/31/2011, DC-03/29/2016, DE-11/14/2005, FL-01/09/2002, GA-03/29/2016, HI-03/29/2007, IA-03/29/2016, IL-05/27/1998, IN-03/29/2016, KY-03/29/2016, LA-03/29/2016, MA-03/29/2016, MD-12/19/2001, ME-03/30/2018, MI-03/29/2016, MN-03/29/2016, MO-03/29/2016, MT-03/29/2016, NC-03/29/2016, NE-03/29/2016, NJ-04/13/2016, NM-03/29/2016, NV-11/26/1990, NY-01/07/2003, OH-03/29/2016, OK-03/29/2016, OR-10/22/1974, PA-08/21/2002, RI-03/30/2022, SC-03/29/2016, TX-05/08/1980, UT-03/29/2016, VA-03/29/2016, VT-03/29/2016, WA-03/08/1999, WI-03/29/2016, WV-03/29/2016, WY-03/30/2018 |
ADVISER ACTIVITIES |
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) |
OTHER ACTIVITIES |
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV