| AUM* | 658,853,013,093 27% |
| of that, discretionary | 658,853,013,093 27% |
| Number of Employees | 3,167 48% |
| of those in investment advisory functions | 850 -3% |
| Private Fund GAV* | 571,843,248,922 31% |
| Avg Account Size | 1,738,398,451 8% |
| SMA’s | Yes |
| Private Funds | 1198 271 |
- Investment companies
- Pooled investment vehicles
- Pension and profit sharing plans
- State or municipal government entities
- Insurance companies
- Other
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses
- Publication of periodicals or newsletters
- A percentage of assets under your management
- Performance-based fees
| 11.C(2) | SEC/CFTC found violation |
| 11.C(4) | SEC/CFTC order in investment-related activity |
| 11.C(5) | SEC/CFTC civil penalty / cease and desist |
| 11.D(2) | Other regulator found violation |
| 11.D(4) | Other regulator order (past 10 yrs) |
| 11.D(5) | Other regulator denied/suspended/revoked license |
| 11.E(2) | SRO found rule violation |
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