| AUM* | 53,672,609,728 23% |
| of that, discretionary | 53,672,609,728 23% |
| Private Fund GAV* | 50,948,461,307 6% |
| Avg Account Size | 531,411,978 21% |
| SMA’s | No |
| Private Funds | 104 1 |
Number of Employees 677 9%
of those in investment advisory functions 229 17%
- Pooled investment vehicles
- Insurance companies
- Portfolio management for pooled investment vehicles
- A percentage of assets under your management
- Performance-based fees
| 11.A(1) | Convicted of felony (past 10 yrs) |
| 11.A(2) | Charged with felony |
| 11.C(1) | SEC/CFTC found false statement |
| 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.E(2) | SRO found rule violation |
| SEC Fund Type | Count | GAV |
|---|---|---|
| SEC Fund TypeHedge Fund | Count22 | GAV$26,812,636,907 |
| SEC Fund TypePrivate Equity Fund | Count6 | GAV$ |
| SEC Fund TypeReal Estate Fund | Count37 | GAV$10,122,260,260 |
| SEC Fund TypeSecuritized Asset Fund | Count36 | GAV$13,808,392,627 |
| SEC Fund TypeOther Private Fund | Count3 | GAV$205,171,513 |