| AUM* | 197,389,022,696 15% |
| of that, discretionary | 195,483,038,797 16% |
| Number of Employees | 1,356 -20% |
| of those in investment advisory functions | 507 -6% |
| Private Fund GAV* | 101,100,713,808 0% |
| Avg Account Size | 311,339,153 20% |
| SMA’s | Yes |
| Private Funds | 440 47 |
- Investment companies
- Business development 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
- Other
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses
- 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 |
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