| AUM* | 850,362,296,660 13% |
| of that, discretionary | 850,362,296,660 13% |
| Private Fund GAV* | 13,416,959,272 24% |
| Avg Account Size | 95,471,236 2% |
| High Net Worth | 1.76% -87% |
| SMA’s | Yes |
| Private Funds | 4 |
Number of Employees 903 4%
of those in investment advisory functions 596 3%
- Individuals (other than high net worth individuals)
- High net worth individuals
- Banking or thrift institutions
- Investment companies
- Pooled investment vehicles
- Pension and profit sharing plans
- Charitable organizations
- State or municipal government entities
- Other investment advisers
- Insurance companies
- Sovereign wealth funds and foreign official institutions
- Corporations or other businesses not listed above
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses
- Selection of other advisers
- Educational seminars/workshops
- 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 |
| SEC Fund Type | Count | GAV |
|---|---|---|
| SEC Fund TypeLiquidity Fund | Count4 | GAV$13,416,959,272 |