FIAM LLC
Latest filing: Jun 28, 2024 (146 days ago)
AUM
$219,221,467,379
44% change vs. 1 year ago
56% change vs. 3 years ago
159% change vs. 5 years ago
422% change vs. 10 years ago
Employee Count
168
-16% change vs. 1 year ago
-2% change vs. 3 years ago
-63% change vs. 5 years ago
65% change vs. 10 years ago
Main Office
SMITHFIELD, RI
900 SALEM STREET, SMITHFIELD, RI, UNITED STATES, 02917
Client AUM
| Discretion | AUM |
|---|---|
| Discretionary | $219.2 |
| Non-Discretionary | $0.0 |
| Total | $219.2 |
| Client | AUM |
|---|---|
| Retail | $1.0 |
| Pooled | $122.6 |
| Institutional | $95.6 |
| Total | $219.2 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 39 | $1.0 |
| Average HNW AUM | $25,168,591 | |
| Retail Total | 39 | $1.0 |
| Average Retail AUM | $25,168,591 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
SMA Custodians
| Custodian | Location | AUM |
|---|---|---|
| BROWN BROTHERS HARRIMAN & CO. | NEW YORK-NY-USA | $37.5 |
| THE BANK OF NEW YORK MELLON | NEW YORK-NY-USA | $17.3 |
| STATE STREET BANK AND TRUST COMPANY | BOSTON-MA-USA | $16.7 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
Separately Managed Assets
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $96.6 |
| Retail SMA AUM | $1.0 |
| Institutional SMA AUM | $95.6 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 35% | $33.8 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 16% | $15.5 |
| Municipal | 5% | $4.8 |
| Sovereign | 1% | $1.0 |
| IG Credit | 23% | $22.2 |
| HY Credit | 8% | $7.7 |
| Derivatives | 0% | $0.0 |
| Investment Companies | 10% | $9.7 |
| Other Pools | 0% | $0.0 |
| Cash | 3% | $2.9 |
| Other | 0% | $0.0 |
| Total | 101% | $97.6 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
Affiliates
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| FIDELITY MANAGEMENT & RESEARCH COMPANY LLC | $3,964.4 | 108281 | |
| STRATEGIC ADVISERS LLC | $824.7 | 104555 | |
| FIDELITY PERSONAL AND WORKPLACE ADVISORS LLC | $818.8 | 288590 | |
| FIDELITY MANAGEMENT & RESEARCH (HONG KONG) LIMITED | $24.4 | 148045 | |
| FMR INVESTMENT MANAGEMENT (UK) LIMITED | $14.7 | 108273 | |
| IMPRESA MANAGEMENT LLC | $11.8 | 168741 | |
| BALLYROCK INVESTMENT ADVISORS LLC | $6.5 | 115324 | |
| FIDELITY INSTITUTIONAL WEALTH ADVISER LLC | $3.9 | 301896 | |
| FIDELITY MANAGEMENT & RESEARCH (JAPAN) LIMITED | $2.8 | 148239 | |
| FIDELITY DIVERSIFYING SOLUTIONS LLC | $2.6 | 315088 | |
| AVON VENTURE ADVISORS FUND II LP | $0.0 | - | |
| F-PRIME CAPITAL PARTNERS HITS ADVISORS FUND II LP | $0.0 | - | |
| F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND V LP | $0.0 | - | |
| FIDELITY STRATEGIC ADVISERS IRELAND, LIMITED | $0.0 | - | |
| DIGITAL BROKERAGE SERVICES LLC | $0.0 | broker-dealer | 308213 |
| FIDVEST US LLC | $0.0 | - | |
| FIDELITY PRIME FINANCING, LLC | $0.0 | broker-dealer | 299736 |
| GREEN PIER FINTECH LLC | $0.0 | broker-dealer | 313305 |
| F-PRIME CAPITAL PARTNERS TECH ADVISORS FUND 2021 LP | $0.0 | - | |
| FINE STRUCTURES VENTURES ADVISORS FUND I LP | $0.0 | - | |
| FIDELITY INSURANCE AGENCY, INC. | $0.0 | - | |
| FIDELITY PRIVATE EQUITY MULTI-STRATEGY FUND GP LLC | $0.0 | - | |
| F-PRIME CAPITAL PARTNERS TECH ADVISORS FUND II LP | $0.0 | - | |
| FIDELITY DISTRIBUTORS COMPANY LLC | $0.0 | broker-dealer | 17507 |
| 42 NORTH RESOURCE PARTNERS ADVISORS II LP | $0.0 | - | |
| FIDELITY REAL ESTATE PARTNERS VI LLC | $0.0 | - | |
| F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND IV LP | $0.0 | - | |
| F-PRIME CAPITAL PARTNERS TECH ADVISORS FUND LP | $0.0 | - | |
| FIAM INDEX FUND GP, LLC | $0.0 | - | |
| F-PRIME CAPITAL PARTNERS LIFE SCIENCES ADVISORS FUND VI LP | $0.0 | - | |
| F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND LP | $0.0 | - | |
| FIDELITY FUNDS MANAGER, LLC | $0.0 | - | |
| DI CONSUMER ADVISORS FUND I LP | $0.0 | - | |
| FINE STRUCTURE VENTURES ADVISORS FUND II LP | $0.0 | - | |
| FIDELITY HEALTH INSURANCE SERVICES, LLC | $0.0 | - | |
| FIDELITY BROKERAGE SERVICES LLC | $0.0 | broker-dealer | 7784 |
| AVON VENTURE ADVISORS FUND I LP | $0.0 | - | |
| F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND III LP | $0.0 | - | |
| FIDELITY JAPAN DATA CENTERS FUND GP LP | $0.0 | - | |
| FIDELITY CRET TRUSTEE LLC | $0.0 | - | |
| FIDELITY FUNDS MANAGER II, LLC | $0.0 | - | |
| FIDELITY CONVERTIBLE ARBITRAGE FUND GP LLC | $0.0 | - | |
| FIDELITY PRIVATE EQUITY MULTI-STRATEGY FUND II GP LLC | $0.0 | - | |
| F-PRIME CAPITAL PARTNERS LIFE SCIENCES ADVISORS FUND VIII LP | $0.0 | - | |
| F-PRIME CAPITAL PARTNERS HITS ADVISORS FUND III LP | $0.0 | - | |
| FIDELITY EVERGREEN PRIVATE CREDIT FUND GP LLC | $0.0 | - | |
| FIDELITY TOKYO 3 SERIES GP LP | $0.0 | - | |
| VOLCAP ADVISORS FUND I LIMITED PARTNERSHIP | $0.0 | - | |
| ALIMONT VENTURES ADVISORS V LIMITED PARTNERSHIP | $0.0 | - | |
| FIDELITY MANAGEMENT TRUST COMPANY | $0.0 | trust company | - |
| FIDELITY BUSINESS SERVICES INDIA PRIVATE LIMITED | $0.0 | - | |
| EMPIRE FIDELITY INVESTMENTS LIFE INSURANCE COMPANY | $0.0 | - | |
| FIDELITY INSTITUTIONAL ASSET MANAGEMENT TRUST COMPANY | $0.0 | trust company | - |
| FIAM INSTITUTIONAL FUNDS MANAGER, LLC | $0.0 | - | |
| DI OPPORTUNITY ADVISORS FUND LP | $0.0 | - | |
| F-PRIME CAPITAL PARTNERS HITS ADVISORS FUND LP | $0.0 | - | |
| 42 NORTH RESOURCE PARTNERS ADVISORS LP | $0.0 | - | |
| FIDELITY DIGITAL ASSET SERVICES, LLC | $0.0 | trust company | - |
| FIDELITY INVESTMENTS LIFE INSURANCE COMPANY | $0.0 | - | |
| SOTERIA REINSURANCE LTD. | $0.0 | - | |
| FIDELITY PERSONAL TRUST COMPANY, FSB | $0.0 | trust company | - |
| F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND II LP | $0.0 | - | |
| FIDELITY MANAGEMENT & RESEARCH (CANADA) ULC | $0.0 | - | |
| NATIONAL FINANCIAL SERVICES LLC | $0.0 | broker-dealer | 13041 |
| KEZAR TRADING, LLC | $0.0 | broker-dealer | 171752 |
| AGILUS VENTURES ADVISORS IV LIMITED PARTNERSHIP | $0.0 | - | |
| F-PRIME CAPITAL PARTNERS LIFE SCIENCES ADVISORS FUND VII LP | $0.0 | - | |
| F-PRIME CAPITAL PARTNERS HEALTHCARE ADVISORS FUND IV-A LP | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Control Persons
19 active
| Name | Title |
|---|---|
| HOLDING, PAM, RUDDICK | CO-HEAD EQUITY |
| CONDRON, CASEY, MOORE | HEAD OF SALES & RELATIONSHIP MANAGEMENT, DIRECTOR |
| JOHNSON, ABIGAIL, PIERREPONT | ELECTED MANAGER |
| JOHNSON IV, EDWARD, CROSBY | ELECTED MANAGER |
| WILENS, MICHAEL, ENGBER | ELECTED MANAGER |
| MCGRAW, GERARD, JOHN | ELECTED MANAGER |
| COHEN, TIMOTHY, MICHAEL | CO-HEAD EQUITY |
| RIMMER, CHRISTOPHER, JOHN | HEAD OF ASSET MANAGEMENT FINANCE |
| LANK, HARLEY, JAY | HEAD OF HIGH INCOME |
| MCGEE, MARTIN, TAGUE | CHIEF FINANCIAL OFFICER, DIRECTOR |
| PERRY, KIMBERLY, LYN | DIRECTOR |
| PARISEAULT, CHRISTIAN, GIRARD | HEAD OF INSTITUTIONAL PORTFOLIO MANAGERS, DIRECTOR |
| BROWN, STEPHANIE, JEAN | CHIEF COMPLIANCE OFFICER |
| IRVING, WILLIAM, WOOD | PRESIDENT, DIRECTOR, HEAD OF FIDELITY ASSET MANAGEMENT SOLUTIONS |
| GOUVEIA, CHRISTOPHER, MICHAEL | COMPLIANCE OFFICER |
| NEFF, STEPHEN, CHARLES | ELECTED MANAGER |
| FOLEY, ROBIN, LEE | HEAD OF FIXED INCOME |
ADVDB.CO • SOURCE: SEC
Representatives
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
History
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-11-01 | $219.2 | $0.0 | 0% | 168 | 0 | 0% |
| 2024-04-02 | $219.2 | $0.0 | 0% | 168 | 0 | 0% |
| 2023-04-04 | $152.4 | $66.8 | 44% | 199 | -31 | -16% |
| 2022-04-01 | $182.2 | $37.0 | 20% | 182 | -14 | -8% |
| 2021-04-05 | $140.1 | $79.1 | 56% | 171 | -3 | -2% |
| 2020-04-01 | $102.9 | $116.3 | 113% | 484 | -316 | -65% |
| 2019-04-01 | $84.6 | $134.7 | 159% | 450 | -282 | -63% |
| 2018-04-02 | $78.3 | $140.9 | 180% | 186 | -18 | -10% |
| 2017-04-01 | $75.2 | $144.0 | 191% | 164 | 4 | 2% |
| 2016-04-01 | $61.6 | $157.6 | 256% | 100 | 68 | 68% |
| 2015-04-01 | $60.0 | $159.2 | 265% | 111 | 57 | 51% |
| 2014-04-01 | $42.0 | $177.2 | 422% | 102 | 66 | 65% |
| 2013-04-01 | $32.6 | $186.6 | 572% | 115 | 53 | 46% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
Other
| STATE REGISTRATIONS |
| RI, AK-03/27/2013, AL-03/28/2024, CA-03/29/2012, CT-03/28/2024, DC-03/27/2015, DE-03/27/2013, FL-03/30/2012, GA-03/29/2012, HI-03/27/2015, IA-03/28/2024, IL-04/19/2012, IN-03/28/2024, KS-03/29/2019, MA-03/29/2012, MD-03/28/2024, MI-03/29/2012, MN-03/29/2012, MO-03/29/2012, NH-03/25/2014, NJ-04/18/2012, NM-03/30/2020, NV-03/28/2024, NY-03/29/2012, OH-03/27/2015, OR-03/27/2013, PA-03/29/2012, RI-03/29/2012, TN-03/28/2024, TX-03/29/2012, UT-03/28/2024, VA-03/25/2014, VT-03/28/2024, WA-03/27/2013, WI-03/29/2016 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV