AUM
Employee Count
Main Office
| Discretion | AUM |
|---|---|
| Discretionary | $1,014.3 |
| Non-Discretionary | $0.0 |
| Total | $1,014.3 |
| Client | AUM |
|---|---|
| Retail | $0.0 |
| Pooled | $1,008.8 |
| Institutional | $5.5 |
| Total | $1,014.3 |
| Retail | Accounts | AUM |
|---|---|---|
| Individual | 0 | $0.0 |
| Average Individual AUM | $0 | |
| HNW | 0 | $0.0 |
| Average HNW AUM | $0 | |
| Retail Total | 0 | $0.0 |
| Average Retail AUM | $0 |
ADVDB.CO • AUM IN BILLIONS, AVERAGES IN DOLLARS • SOURCE: SEC FORM ADV
| Custodian | Location | AUM |
|---|---|---|
| STATE STREET BANK AND TRUST COMPANY | QUINCY-MA-USA | $3.7 |
| STATE STREET BANK AND TRUST COMPANY | LONDON--GBR | $1.8 |
ADVDB.CO • SMA AUM IN BILLIONS • SMA INCLUDES RETAIL AND INSTITUTIONAL • SOURCE: SEC FORM ADV
| Breakdown | AUM |
|---|---|
| Total SMA AUM | $5.5 |
| Retail SMA AUM | $0.0 |
| Institutional SMA AUM | $5.5 |
| Asset Class | % | AUM |
|---|---|---|
| Equity Exch | 0% | $0.0 |
| Equity Non-Exch | 0% | $0.0 |
| Govt Agency | 0% | $0.0 |
| Municipal | 0% | $0.0 |
| Sovereign | 0% | $0.0 |
| IG Credit | 0% | $0.0 |
| HY Credit | 0% | $0.0 |
| Derivatives | 1% | $0.1 |
| Investment Companies | 0% | $0.0 |
| Other Pools | 63% | $3.5 |
| Cash | 0% | $0.0 |
| Other | 36% | $2.0 |
| Total | 100% | $5.5 |
ADVDB.CO • AUM IN BILLIONS • POSSIBLE ROUNDING ERRORS, BUT SOME ADVISERS REPORT SUMS ≠ 100% • SOURCE: SEC FORM ADV
| Affiliates | AUM | Business Types | CRD Number |
|---|---|---|---|
| STATE STREET BANK AND TRUST COMPANY | $0.0 | trust company | - |
| STATE STREET GLOBAL ADVISORS EUROPE LIMITED | $0.0 | 172361 | |
| STATE STREET TRUST COMPANY CANADA | $0.0 | trust company | - |
| STATE STREET TRUST AND BANKING COMPANY, LIMITED | $0.0 | trust company | - |
| STATE STREET GLOBAL MARKETS CANADA INC. | $0.0 | broker-dealer | - |
| STATE STREET BANK AND TRUST COMPANY OF CALIFORNIA, N.A. | $0.0 | - | |
| STATE STREET GLOBAL ADVISORS, LTD. | $0.0 | - | |
| STATE STREET BANK AND TRUST COMPANY, N.A. | $0.0 | - | |
| STATE STREET GLOBAL ADVISORS FUNDS DISTRIBUTORS, LLC | $0.0 | broker-dealer | 30107 |
| STATE STREET BANK INTERNATIONAL GMBH | $0.0 | trust company | - |
| STATE STREET GLOBAL ADVISORS, CAYMAN | $0.0 | - | |
| STATE STREET GLOBAL ADVISORS LIMITED | $0.0 | 112861 | |
| STATE STREET GLOBAL ADVISORS TRUST COMPANY | $0.0 | trust company | - |
| STATE STREET GLOBAL ADVISORS ASIA LIMITED | $0.0 | 172364 | |
| STATE STREET BANK AND TRUST COMPANY OF NEW HAMPSHIRE | $0.0 | trust company | - |
| STATE STREET GLOBAL ADVISORS AUSTRALIA, LIMITED | $0.0 | - | |
| STATE STREET GLOBAL ADVISORS SINGAPORE LTD. | $0.0 | - | |
| STATE STREET GLOBAL MARKETS, LLC | $0.0 | broker-dealer | 285852 |
| STATE STREET GLOBAL ADVISORS AG | $0.0 | - | |
| STATE STREET GLOBAL ADVISORS (JAPAN) CO., LTD. | $0.0 | - |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
14 active
| Name | Title |
|---|---|
| SMITH, BARRY, FRANCIS XAVIER | CHAIRMAN; DIRECTOR AND PRESIDENT |
| CARPENTER, ANN, M | CHIEF OPERATING OFFICER |
| O'MALLEY, SEAN | CHIEF LEGAL OFFICER |
| CORBETT, TIMOTHY, PAUL | CHIEF RISK OFFICER |
| URMAN, DAVID | CLERK |
| IRELAND, DAVID, ROBBINS | CTA-CHIEF MARKETING OFFICER |
| DRISCOLL, SEAN, PETER | DIRECTOR |
| AMOA, APEAWUSU, K | DIRECTOR |
| HARRIS, BRIAN, LEONARD | CHIEF COMPLIANCE OFFICER |
| HAMM, STEVEN, THOMAS | TREASURER |
| NARASIMHADEVARA, SHWETA | DIRECTOR |
| HARTCH, GREGORY, BARTON | DIRECTOR |
ADVDB.CO • SOURCE: SEC
| No representatives found with matching CRD |
ADVDB.CO • SOURCE: SEC
| Date | AUM | AUM ∆ | AUM % ∆ | Empl | Empl ∆ | Empl % ∆ |
|---|---|---|---|---|---|---|
| 2024-10-01 | $1,014.3 | $0.0 | 0% | 243 | 0 | 0% |
| 2024-04-02 | $1,014.3 | $0.0 | 0% | 243 | 0 | 0% |
| 2023-04-04 | $841.5 | $172.8 | 21% | 250 | -7 | -3% |
| 2022-04-01 | $894.5 | $119.8 | 13% | 264 | -21 | -8% |
| 2021-04-05 | $654.5 | $359.9 | 55% | 295 | -52 | -18% |
| 2020-04-01 | $602.4 | $411.9 | 68% | 297 | -54 | -18% |
| 2019-04-01 | $481.3 | $533.1 | 111% | 217 | 26 | 12% |
| 2018-04-02 | $496.0 | $518.3 | 104% | 214 | 29 | 14% |
| 2017-04-01 | $406.0 | $608.4 | 150% | 225 | 18 | 8% |
| 2016-04-01 | $384.9 | $629.4 | 163% | 168 | 75 | 45% |
| 2015-04-01 | $377.8 | $636.5 | 168% | 163 | 80 | 49% |
| 2014-04-01 | $335.3 | $679.0 | 203% | 149 | 94 | 63% |
| 2013-04-01 | $388.5 | $625.9 | 161% | 296 | -53 | -18% |
ADVDB.CO • AUM IN BILLIONS • SOURCE: SEC FORM ADV
| STATE REGISTRATIONS |
| MA, AZ-03/30/2020, CT-03/13/2017 |
| ADVISER ACTIVITIES |
|
PORTFOLIO MANAGEMENT (RIC) PORTFOLIO MANAGEMENT (POOLS) PORTFOLIO MANAGEMENT (SMB) PENSION CONSULTING MANAGER SELECTION |
| OTHER ACTIVITIES |
|
COMMODITY TRADING ADVISOR |
ADVDB.CO • SOURCE: SEC FORM ADV