2005 managers profiles

Abbott Capital Management LLC
1211 Avenue of the Americas, Suite 4300, New York, NY 10036; phone: 212-757-2700; fax: 212-757-0835; www.abbottcapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$4,594
Total worldwide institutional assets$4,534
Total U.S. assets$4,594
Total U.S. tax-exempt assets$4,337
Total U.S. institutional tax-exempt$4,337
Internally managed$4,337
Asset mix:
Private equity100%
Raymond L. Held is chief investment officer; Charles H. van Horne is client contact.
Aberdeen Asset Management Inc.
45 Broadway, 21st Floor, New York, NY 10006; phone: 203-438-8908; fax: 203-438-8970; www.aberdeen-asset.com
Dollars are in U.S. millions.
Total assets managed worldwide$45,943
Total worldwide institutional assets$34,881
Total U.S. assets$1,177
Total U.S. tax-exempt assets$481
Total U.S. institutional tax-exempt$481
Internally managed$481
Asset mix:
Equity80%
Fixed income20%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$385
Foreign bond, active$96
Worldwide mutual fund assets$320
No. of portfolio managers88
The parent is Aberdeen Asset Management PLC.
Anne Richards is chief investment officer; Sue Mullin is client contact.
ABN AMRO Asset Management
161 N. Clark St., Chicago, IL 60601; phone: 312-884-2000; fax: 312-884-2440; www.ii.abnamrousa.com
Dollars are in U.S. millions.
Total assets managed worldwide$24,961
Total worldwide institutional assets$24,961
Total U.S. assets$24,961
Total U.S. tax-exempt assets$12,086
Total U.S. institutional tax-exempt$12,086
Internally managed$12,086
Asset mix:
Equity25%
Fixed income75%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,448
REITs$1,450
U.S. bond, active$9,062
Cash$126
Active domestic equity strategies:
Growth:
Large cap$1,226
Midcap$222
Domestic fixed-income strategies:
Stable value$771
Core$1,441
Other$6,850
Worldwide mutual fund assets$7,803
No. of portfolio managers8
Size of research staff13
The parent is ABN AMRO Asset Management Holdings Inc.
Bernie Myszkowski is chief investment officer; Andrew Thinnes is client contact.
The assets of the following subsidiaries are included in the figures above: ABN AMRO Asset Management (USA) LLC, ABN AMRO Asset Management Inc., and ABN AMRO Investment Trust Co.
Abner, Herrman & Brock Asset Management
Harborside Financial Center, Plaza 5, Suite 1640, Jersey City, NJ 07311; phone: 201-484-2000; fax: 201-435-4603; www.ahbi.com
Dollars are in U.S. millions.
Total assets managed worldwide$514
Total worldwide institutional assets$128
Total U.S. assets$514
Total U.S. tax-exempt assets$220
Total U.S. institutional tax-exempt$50
Internally managed$50
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$50
Active domestic equity strategies:
Core:
Large cap$50
No. of portfolio managers4
Size of research staff1
Howard Abner is chief investment officer; Jennifer Brundage is client contact.
Acadian Asset Management Inc.
10 Post Office Square, Boston, MA 02109; phone: 617-946-3500; fax: 617-946-3501; www.acadian-asset.com
Dollars are in U.S. millions.
Total assets managed worldwide$12,605
Total worldwide institutional assets$11,950
Total U.S. assets$8,150
Total U.S. tax-exempt assets$7,495
Total U.S. institutional tax-exempt$7,495
Internally managed$7,495
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$7,495
Active international strategies:
Emerging markets equity$2,405
Worldwide mutual fund assets$840
No. of portfolio managers9
Size of research staff5
The parent is Old Mutual (US) Holdings Inc.
Ronald D. Frashure is chief investment officer; Churchill G. Franklin is client contact.
Acorn Derivatives Management Corp.
50 Main St., White Plains, NY 10606; phone: 914-949-3516; fax: 914-949-3521
Dollars are in U.S. millions.
Total assets managed worldwide$949
Total worldwide institutional assets$948
Total U.S. assets$808
Total U.S. tax-exempt assets$795
Total U.S. institutional tax-exempt$795
Internally managed$795
Asset mix:
Hedge funds100%
Internal U.S. institutional tax-exempt assets in:
Hedge funds$795
Overlay strategies:
Derivative strategies$550
Internally managed underlying assets$550
No. of portfolio managers2
Size of research staff3
William Melvin Jr. is chief investment officer; Howard Offit is client contact.
Adams Street Partners LLC
1 N. Wacker Drive, Suite 2200, Chicago, IL 60606-2807; phone: 312-553-7890; fax: 312-553-7891; www.adamsstreetpartners.com
Dollars are in U.S. millions.
Total assets managed worldwide$9,368
Total worldwide institutional assets$9,368
Total U.S. assets$7,471
Total U.S. tax-exempt assets$7,271
Total U.S. institutional tax-exempt$7,271
Assigned to external managers$6,857
Internally managed$414
Asset mix:
Private equity100%
Internal U.S. institutional tax-exempt assets in:
Venture capital$414
Defined contribution assets:
Total$105
Internally managed$0
No. of portfolio managers24
T. Bondurant French is chief investment officer; Gary Fencik is client contact.
The assets of subsidiary Adams Street Partners Ltd. are included in the figures above.
Addenda Capital Inc.
2001 McGill College Ave., Suite 1900, Montreal, Quebec H3A 1G1 Canada; phone: 514-287-7373; fax: 514-287-7200; www.addenda-capital.com
Dollars are in U.S. millions.
Total assets managed worldwide$17,808
Total worldwide institutional assets$17,567
Total tax-exempt assets$16,841
Total institutional tax-exempt$16,841
Internally managed$16,841
Asset mix:
Fixed income100%
Internal institutional tax-exempt assets in:
Domestic/U.S. bond, active$16,667
Domestic/U.S. bond, enhanced index$174
Domestic/U.S. fixed-income strategies:
Sector rotation$2,526
Market timing/active duration$11,789
Yield curve$2,526
No. of portfolio managers12
Size of research staff3
Carmand Normand is chief investment officer; Joe DiMassimo is client contact.
Adelante Capital Management LLC
1995 University Ave., Suite 225, Berkeley, CA 94704; phone: 510-849-8360; fax: 510-849-8369; www.adelantecapitalmanagement.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,406
Total worldwide institutional assets$2,827
Total U.S. assets$3,406
Total U.S. tax-exempt assets$2,827
Total U.S. institutional tax-exempt$2,827
Internally managed$2,827
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
REITs$2,827
Active domestic equity strategies:
Core:
Large cap$937
Midcap$1,836
Small cap$54
No. of portfolio managers1
Size of research staff3
Michael Torres is chief investment officer; Arthur Hidalgo is client contact.
Advanced Investment Partners
311 Park Place Blvd., Suite 250, Clearwater, FL 33759; phone: 727-799-3671; fax: 727-799-1232; www.aipllc.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,539
Total worldwide institutional assets$1,229
Total U.S. assets$735
Total U.S. tax-exempt assets$424
Total U.S. institutional tax-exempt$424
Internally managed$424
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$421
Hedge funds$3
Active domestic equity strategies:
Growth:
Large cap$365
Value:
Large cap$1
Core:
Large cap$55
Pure quantitative$421
No. of portfolio managers3
Size of research staff6
The parent is State Street Global Alliance LLC.
Douglas Case is chief investment officer; Laurie Watson is client contact.
Advantus Capital Management Inc.
400 Robert St. N., St. Paul, MN 55101; phone: 651-665-3826; fax: 651-223-5959; www.advantuscapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$15,421
Total worldwide institutional assets$14,881
Total U.S. assets$15,421
Total U.S. tax-exempt assets$3,370
Total U.S. institutional tax-exempt$3,370
Assigned to external managers$146
Internally managed$3,224
Asset mix:
Equity51%
Fixed income49%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, passive$1,516
REITs$136
U.S. bond, active$824
Mortgage-backed securities$537
Other asset-backed securities$211
Passive domestic equity strategies:
Growth:
Large cap$34
Value:
Large cap$33
Core:
Large cap$1,343
Midcap$87
Broad market$19
Domestic fixed-income strategies:
Core$1,514
Worldwide mutual fund assets$540
Defined contribution assets:
Total$1,322
Internally managed$1,322
Plan type:
Corporate 401(k)$1,322
Investment vehicle:
Variable annuities$1,322
No. of portfolio managers11
Size of research staff14
The parent is Securian Financial Group.
Dianne Orbison is chief investment officer; Kirsten Burton is client contact.
Advent Capital Management LLC
1065 Avenue of the Americas, 31st Floor, New York, NY 10018; phone: 212-482-1600; fax: 212-480-9655; www.adventcap.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,848
Total worldwide institutional assets$2,780
Total U.S. assets$3,463
Total U.S. tax-exempt assets$2,222
Total U.S. institutional tax-exempt$1,286
Internally managed$1,286
Asset mix:
Other100%
Internal U.S. institutional tax-exempt assets in:
Convertibles$1,157
Hedge funds$129
No. of portfolio managers7
Size of research staff8
Tracy V. Maitland is chief investment officer; Andra Fogel is client contact.
Advisory Research Inc.
180 N. Stetson Ave., Suite 5780, Chicago, IL 60601; phone: 312-565-1414; fax: 312-565-2002
Dollars are in U.S. millions.
Total assets managed worldwide$3,509
Total worldwide institutional assets$2,076
Total U.S. assets$3,493
Total U.S. tax-exempt assets$1,577
Total U.S. institutional tax-exempt$1,546
Internally managed$1,546
Asset mix:
Equity91%
Fixed income9%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,392
U.S. bond, active$154
Active domestic equity strategies:
Value:
Large cap$218
Midcap$263
Small cap$911
Domestic fixed-income strategies:
Core$154
No. of portfolio managers4
Size of research staff5
Brien O'Brien is chief investment officer; Christopher Crawshaw is client contact.
AEW Capital Management LP
World Trade Center E., 2 Seaport Lane, Boston, MA 02210-2021; phone: 617-261-9000; fax: 617-261-9555; www.aew.com
Dollars are in U.S. millions.
Total assets managed worldwide$19,665
Total worldwide institutional assets$18,016
Total U.S. assets$10,178
Total U.S. tax-exempt assets$8,774
Total U.S. institutional tax-exempt$8,289
Internally managed$8,289
Asset mix:
Equity44%
Equity real estate56%
Internal U.S. institutional tax-exempt assets in:
REITs$3,627
Mortgage-backed securities$28
Equity real estate, domestic$4,634
Domestic fixed-income strategies:
Other$28
Worldwide mutual fund assets$1,191
No. of portfolio managers10
Size of research staff7
AEW Capital Management LP invests in commercial properties and portfolios.
The parent is IXIS Asset Management.
Jeffrey D. Furber is chief investment officer; Steven Corkin is client contact.
The assets of IXIS AEW Europe are included in the figures above.
Affinity Investment Advisors LLC
18191 Von Karman Ave., Suite 420, Irvine, CA 92612; phone: 949-660-6373; fax: 949-660-6375; www.affinityinvestment.com
Dollars are in U.S. millions.
Total assets managed worldwide$96
Total worldwide institutional assets$54
Total U.S. assets$96
Total U.S. tax-exempt assets$60
Total U.S. institutional tax-exempt$46
Internally managed$46
Asset mix:
Equity99%
Cash1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$46
Active domestic equity strategies:
Core:
Large cap$46
Pure quantitative$46
Defined contribution assets:
Total$3
Internally managed$3
Plan type:
Taft-Hartley$3
Investment vehicle:
Separate accounts$3
No. of portfolio managers2
Size of research staff1
Gregory Lai is chief investment officer; John Quintanar is client contact.
AFL-CIO Building Investment Trust
1717 K St. N.W., Suite 707, Washington, DC 20036; phone: 202-331-8055; fax: 202-296-4028; www.aflcio-bit.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,068
Total worldwide institutional assets$2,068
Total U.S. assets$2,068
Total U.S. tax-exempt assets$2,068
Total U.S. institutional tax-exempt$2,068
Internally managed$2,068
Asset mix:
Fixed income19%
Equity real estate72%
Cash9%
Internal U.S. institutional tax-exempt assets in:
Mortgages$348
Mortgage-backed securities$43
Equity real estate, domestic$1,483
Cash$183
AFL-CIO Building Investment Trust is a real estate manager whose objective is obtaining income or capital appreciation from investments, principally in equity interests, while protecting participants' capital.
Ardyth Hall is chief investment officer; Michael Arnold is client contact.
AFL-CIO Housing Investment Trust
1717 K St. N.W., Suite 707, Washington, DC 20036; phone: 202-331-8055; fax: 202-331-8190; www.aflcio-hit.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,711
Total worldwide institutional assets$3,711
Total U.S. assets$3,711
Total U.S. tax-exempt assets$3,711
Total U.S. institutional tax-exempt$3,711
Internally managed$3,711
Asset mix:
Fixed income99%
Cash1%
Internal U.S. institutional tax-exempt assets in:
Mortgage-backed securities$3,543
Cash$22
Domestic fixed-income strategies:
Market timing/active duration$3,543
No. of portfolio managers1
Size of research staff4
John Hanley is chief investment officer; Michael Arnold is client contact.
Agincourt Capital Management LLC
600 E. Main St., Suite 2120, Richmond, VA 23219; phone: 804-648-1111; fax: 804-648-4475; www.agincourtcapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,607
Total worldwide institutional assets$2,602
Total U.S. assets$2,607
Total U.S. tax-exempt assets$2,602
Total U.S. institutional tax-exempt$2,602
Internally managed$2,602
Asset mix:
Fixed income100%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active$2,602
Domestic fixed-income strategies:
Core$2,602
Defined contribution assets:
Total$120
Internally managed$120
Plan type:
Corporate 401(k)$120
Investment vehicle:
Separate accounts$120
No. of portfolio managers5
Size of research staff3
Brad P. Coats is chief investment officer; Patrick O'Hara is client contact.
AIB Investment Managers Ltd.
AIB Investment House, Percy Place, Dublin 4 Ireland; phone: (35) 31-661-7077; fax: (35) 31-661-7038; www.aibim.ie
Dollars are in U.S. millions.
Total assets managed worldwide$13,433
Total worldwide institutional assets$12,119
Total U.S. assets$52
Total U.S. tax-exempt assets$52
Total U.S. institutional tax-exempt$52
Internally managed$52
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$51
Cash$1
Active international strategies:
Emerging markets equity$3
No. of portfolio managers8
Size of research staff2
The parent is AIB Group PLC.
Innes McKeand is chief investment officer; Jessica Jennings is client contact.
AIG Global Investment Group
70 Pine St., 12th Floor, New York, NY 10270; phone: 212-770-7000; fax: 212-770-9491; www.aiggig.com
Dollars are in U.S. millions.
Total assets managed worldwide$524,677
Total worldwide institutional assets$494,622
Total U.S. assets$348,386
Total U.S. tax-exempt assets$66,904
Total U.S. institutional tax-exempt$66,904
Assigned to external managers$17,706
Internally managed$49,198
Asset mix:
Equity24%
Fixed income74%
Other2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,535
U.S. equity, passive$9,147
U.S. equity, enhanced index$486
Foreign equity, active$620
U.S. bond, active$24,915
Foreign bond, active$4,419
High-yield bonds$2,420
Mortgage-backed securities$4,438
Other asset-backed securities$424
Hedge funds$659
Other private equity, domestic$135
Active domestic equity strategies:
Growth:
Small cap$214
Core:
Large cap$1,260
Passive domestic equity strategies:
Growth:
Large cap$498
Midcap$805
Value:
Large cap$48
Midcap$628
Core:
Large cap$4,551
Midcap$1,768
Small cap$848
Active international strategies:
Emerging markets debt$663
Domestic fixed-income strategies:
Stable value$28,891
Core$3,262
Worldwide mutual fund assets$61,019
Defined contribution assets:
Total$43,512
Internally managed$43,512
Plan type:
403(b)$43,184
Other$328
Investment vehicle:
Variable annuities$43,184
Separate accounts$328
No. of portfolio managers202
Size of research staff245
The parent is American International Group Inc.
Win Neuger is chief investment officer; Steven Guterman is client contact; Edward Wisialko is DC client contact.
The assets of subsidiaries AIG SunAmerica Asset Management Corp., Brazos Capital Management LP and Variable Annuity Life Insurance Co. are included in the figures above.
AIM Advisors Inc.
11 Greenway Plaza, Suite 100, Houston, TX 77046; phone: 800-347-1919; fax: 713-214-1538; www.aiminvestments.com
Dollars are in U.S. millions.
Total assets managed worldwide$146,543
Total worldwide institutional assets$37,590
Total U.S. assets$136,309
Total U.S. tax-exempt assets$27,497
Total U.S. institutional tax-exempt$13,928
Internally managed$13,928
Asset mix:
Equity95%
Fixed income3%
Cash2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$12,526
Foreign equity, active$724
U.S. bond, active$288
High-yield bonds$53
Cash$337
Active domestic equity strategies:
Growth:
Large cap$631
Midcap$2,077
Small cap$1,431
Broad market$1,528
Value:
Large cap$599
Midcap$22
Small cap$54
Broad market$1,954
Core:
Large cap$1,476
Midcap$1,160
Small cap$66
Broad market$48
Pure quantitative$803
Active international strategies:
Emerging markets equity$86
Worldwide mutual fund assets$138,000
Defined contribution assets:
Total$13,907
Internally managed$13,907
Plan type:
Corporate 401(k)$11,933
457$13
401(a)$82
403(b)$1,285
Other$594
Investment vehicle:
Mutual funds$13,907
No. of portfolio managers52
Size of research staff59
The parent is AMVESCAP PLC.
J. Philip Ferguson is chief investment officer; John Cooper is client contact; Patrick White is DC client contact.
Alaska Permanent Capital Management Co.
900 W. Fifth Ave., Suite 601, Anchorage, AK 99501; phone: 907-272-7575; fax: 907-272-7574; www.apcm.net
Dollars are in U.S. millions.
Total assets managed worldwide$1,978
Total worldwide institutional assets$1,978
Total U.S. assets$1,978
Total U.S. tax-exempt assets$1,833
Total U.S. institutional tax-exempt$1,833
Internally managed$1,833
Asset mix:
Equity5%
Fixed income90%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, enhanced index$92
Foreign equity, index$3
U.S. bond, active$1,323
Mortgage-backed securities$258
Other asset-backed securities$63
Cash$94
Domestic fixed-income strategies:
Core$1,323
No. of portfolio managers3
Size of research staff1
Jeff Pantages is chief investment officer; Mary Lou Pratt is client contact.
Alexander Capital Management Group LLC
1099 18th St., Suite 2810, Denver, CO 80202; phone: 303-298-1858; fax: 303-292-2966; www.alexander-capital.com
Dollars are in U.S. millions.
Total assets managed worldwide$485
Total worldwide institutional assets$83
Total U.S. assets$485
Total U.S. tax-exempt assets$96
Total U.S. institutional tax-exempt$49
Internally managed$49
The parent is CoBiz Inc.
Howard Alexander is chief investment officer; John Phoenix is client contact.
Fred Alger Management Inc.
111 Fifth Ave., New York, NY 10003; phone: 212-806-8800; fax: 212-806-2942; www.alger.com
Dollars are in U.S. millions.
Total assets managed worldwide$9,722
Total worldwide institutional assets$6,244
Total U.S. assets$9,722
Total U.S. tax-exempt assets$6,225
Total U.S. institutional tax-exempt$6,005
Internally managed$6,005
Asset mix:
Equity95%
Fixed income4%
Cash1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$5,819
Active domestic equity strategies:
Growth:
Large cap$2,118
Midcap$1,522
Small cap$589
Broad market$1,442
No. of portfolio managers5
Size of research staff20
The parent is Fred Alger & Co. Inc.
Dan Chung is chief investment officer; Duke Meythaler is client contact.
Allegiance Capital Inc.
300 Pacific Coast Highway, Suite 405, Huntington Beach, CA 92648; phone: 714-969-0521; fax: 714-969-7519; www.allegiancecapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$5,293
Total worldwide institutional assets$5,238
Total U.S. tax-exempt assets$5,075
Total U.S. institutional tax-exempt$5,020
Internally managed$5,020
Asset mix:
Fixed income100%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active$5,020
Domestic fixed-income strategies:
Core$5,020
No. of portfolio managers6
Size of research staff6
William Mawhorter is chief investment officer; Robert Southard is client contact.
Allegiant Investment Counselors
100 S. Brentwood, Suite 100, St. Louis, MO 63105; phone: 314-587-7740; fax: 314-726-0593; www.investmentcounselors.com
Dollars are in U.S. millions.
Total assets managed worldwide$681
Total worldwide institutional assets$629
Total U.S. assets$681
Total U.S. tax-exempt assets$535
Total U.S. institutional tax-exempt$526
Internally managed$526
Asset mix:
Equity77%
Fixed income21%
Cash2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$387
U.S. bond, active$126
Cash$13
Active domestic equity strategies:
Core:
Large cap$8
Small cap$63
Broad market$235
Worldwide mutual fund assets$109
Defined contribution assets:
Total$62
Internally managed$62
Plan type:
Taft-Hartley$62
Investment vehicle:
Separate accounts$62
No. of portfolio managers4
Size of research staff1
The parent is National City Corp.
Gordon A. Johnson is chief investment officer; Jodie Jeffries is client contact.
AllianceBernstein (AB) Institutional Investment Management
1345 Avenue of the Americas, New York, NY 10105; phone: 212-969-1000; fax: 212-756-4558; www.institutional. alliancebernstein.com
Dollars are in U.S. millions.
Total assets managed worldwide$538,764
Total worldwide institutional assets$314,921
Total U.S. assets$407,901
Total U.S. tax-exempt assets$176,368
Total U.S. institutional tax-exempt$150,473
Internally managed$150,473
Asset mix:
Equity81%
Fixed income19%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$64,320
U.S. equity, passive$16,698
U.S. equity, enhanced index$2,413
Foreign equity, active$36,008
Foreign equity, index$1,305
Foreign equity, enhanced index$303
U.S. bond, active$20,439
U.S. bond, passive$841
Foreign bond, active$692
High-yield bonds$1,040
Mortgage-backed securities$5,904
Hedge funds$246
Venture capital$109
Cash$155
Active domestic equity strategies:
Growth:
Large cap$25,672
Midcap$122
Small cap$1,680
Broad market$1,358
Value:
Large cap$30,621
Small cap$1,690
Core:
Large cap$3,163
Small cap$14
Passive domestic equity strategies:
Growth:
Midcap$243
Value:
Large cap$736
Core:
Large cap$11,721
Midcap$3,363
Small cap$635
Active international strategies:
Emerging markets equity$5,293
Emerging markets debt$32
Domestic fixed-income strategies:
Sector rotation$8,343
Stable value$1,800
Core$3,991
Other$14,090
Worldwide mutual fund assets$141,174
Defined contribution assets:
Total$6,894
Internally managed$6,894
Plan type:
Corporate 401(k)$6,237
Taft-Hartley$198
Other$459
Investment vehicle:
Mutual funds$4,283
Separate accounts$2,610
Other commingled$1
No. of portfolio managers162
Size of research staff320
The parent is AXA Financial Inc.
Lewis Sanders is chief investment officer; Greg Best is DC client contact.
Alpha Partners LLC
600 W. Lafayette Blvd., Suite 108, Detroit, MI 48226; phone: 313-963-4911; fax: 313-963-3430; www.alphapartnersllc.com
Dollars are in U.S. millions.
Total assets managed worldwide$234
Total worldwide institutional assets$234
Total U.S. assets$234
Total U.S. tax-exempt assets$234
Total U.S. institutional tax-exempt$234
Internally managed$234
Asset mix:
Equity4%
Fixed income83%
Cash13%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$8
U.S. bond, active$195
Cash$31
Active domestic equity strategies:
Growth:
Large cap$8
Pure quantitative$8
Domestic fixed-income strategies:
Core$195
No. of portfolio managers2
Dawna Edwards is chief investment officer; Robert Warfield is client contact.
Alta Capital Management LLC
6440 S. Wasatch Blvd., Suite 260, Salt Lake City, UT 84121; phone: 801-274-6010; fax: 801-274-8061; www.altacapital.net
Dollars are in U.S. millions.
Total assets managed worldwide$442
Total worldwide institutional assets$226
Total U.S. assets$442
Total U.S. tax-exempt assets$192
Total U.S. institutional tax-exempt$110
Internally managed$110
Asset mix:
Equity85%
Fixed income15%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$91
U.S. bond, active$19
Active domestic equity strategies:
Growth:
Large cap$60
Midcap$3
Broad market$1
Pure quantitative$91
Domestic fixed-income strategies:
Core$19
Defined contribution assets:
Total$58
Internally managed$58
Plan type:
Corporate 401(k)$58
Investment vehicle:
Separate accounts$58
No. of portfolio managers3
Size of research staff2
Michael Tempest is chief investment officer; Andrew Schaffernoth is client contact.
Amalgamated Bank
15 Union Square, New York, NY 10003-3378; phone: 212-727-6027; fax: 212-924-9213; www.amalgamatedbank.com
Dollars are in U.S. millions.
Total assets managed worldwide$10,275
Total worldwide institutional assets$10,275
Total U.S. assets$10,275
Total U.S. tax-exempt assets$10,275
Total U.S. institutional tax-exempt$10,275
Internally managed$10,275
Asset mix:
Equity79%
Fixed income19%
Cash2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$2,261
U.S. equity, passive$5,676
U.S. equity, enhanced index$425
Foreign equity, active$1
U.S. bond, active$744
U.S. bond, passive$932
Equity real estate, domestic$126
Cash$110
Active domestic equity strategies:
Core:
Large cap$425
Pure quantitative$425
Passive domestic equity strategies:
Core:
Large cap$4,765
Midcap$270
Small cap$219
Broad market$418
No. of portfolio managers6
Size of research staff1
The parent is UNITE HERE.
Tom O'Donnell is chief investment officer; Hugh Scott is client contact.
AmalgaTrust Co. Inc.
1 W. Monroe St., Chicago, IL 60603; phone: 312-822-3000; fax: 312-267-8775; www.aboc.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,324
Total worldwide institutional assets$2,272
Total U.S. assets$2,324
Total U.S. tax-exempt assets$2,272
Total U.S. institutional tax-exempt$2,272
Assigned to external managers$1,861
Internally managed$411
Asset mix:
Equity35%
Fixed income60%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$108
U.S. equity, passive$34
U.S. bond, active$244
Cash$25
Active domestic equity strategies:
Core:
Large cap$108
Pure quantitative$100
Passive domestic equity strategies:
Core:
Large cap$27
Domestic fixed-income strategies:
Sector rotation$114
Market timing/active duration$130
Worldwide mutual fund assets$50
Defined contribution assets:
Total$142
Internally managed$142
Plan type:
Taft-Hartley$135
Other$7
Investment vehicle:
Mutual funds$140
Other commingled$2
No. of portfolio managers2
Size of research staff1
The parent is Amalgamated Bank of Chicago.
Thomas F. Lasko is chief investment officer; William Uher is client contact.
Amarillo National Bank
Plaza One, P.O. Box 1, Amarillo, TX 79105; phone: 806-378-8000; fax: 806-378-8317; www.anb.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,292
Total worldwide institutional assets$455
Total U.S. assets$1,292
Total U.S. tax-exempt assets$372
Total U.S. institutional tax-exempt$164
Internally managed$164
Asset mix:
Equity40%
Fixed income55%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$62
U.S. equity, passive$10
U.S. bond, active$87
Hedge funds$5
Active domestic equity strategies:
Growth:
Large cap$2
Midcap$2
Value:
Large cap$9
Midcap$2
Passive domestic equity strategies:
Growth:
Broad market$3
Defined contribution assets:
Total$5
Internally managed$5
Plan type:
Corporate 401(k)$4
Other 401(k)$1
Investment vehicle:
Mutual funds$5
No. of portfolio managers3
Size of research staff1
Brian Wood is chief investment officer; Jason Gross is client contact. Stella Knickerbocker is the defined contribution contact.
AMB Capital Partners LLC
Pier 1, Bay 1, San Francisco, CA 94111; phone: 415-394-9000; fax: 415-394-9001; www.amb.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,953
Total worldwide institutional assets$2,953
Total U.S. assets$2,953
Total U.S. tax-exempt assets$1,923
Total U.S. institutional tax-exempt$1,923
Internally managed$1,923
Asset mix:
Equity real estate100%
Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic$1,913
Equity real estate, international$9
AMB Capital Partners LLC, a real estate manager, invests its own capital alongside that of its commingled fund investors and offers an enhanced exit strategy and liquidity.
The parent is AMB Property Corp.
Guy Jaquier is chief investment officer; John T. Roberts Jr. is client contact.
AMBS Investment Counsel LLC
1241 East Beltline N.E., Suite 150, Grand Rapids, MI 49525; phone: 616-949-8160; fax: 616-949-8161; www.ambsinvestment.com
Dollars are in U.S. millions.
Total assets managed worldwide$476
Total worldwide institutional assets$256
Total U.S. assets$476
Total U.S. tax-exempt assets$277
Total U.S. institutional tax-exempt$241
Internally managed$241
Asset mix:
Equity51%
Fixed income45%
Cash4%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$123
U.S. bond, active$111
Cash$7
Active domestic equity strategies:
Value:
Broad market$123
Domestic fixed-income strategies:
Stable value$111
Defined contribution assets:
Total$172
Internally managed$172
Plan type:
Corporate 401(k)$14
Other$158
Investment vehicle:
Separate accounts$172
No. of portfolio managers4
Size of research staff4
The parent is Convergent Capital Management LLC.
Wayne Titche is chief investment officer; Scott Wagasky is client contact.
American Beacon Advisors
4151 Amon Carter Blvd., MD 2450, Fort Worth, TX 76155; phone: 817-967-3509; fax: 817-967-0768; www.americanbeaconadvisors.com
Dollars are in U.S. millions.
Total assets managed worldwide$36,461
Total worldwide institutional assets$34,164
Total U.S. assets$36,121
Total U.S. tax-exempt assets$21,698
Total U.S. institutional tax-exempt$21,628
Assigned to external managers$17,300
Internally managed$4,328
Asset mix:
Fixed income44%
Cash56%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active$1,371
Mortgage-backed securities$492
Other asset-backed securities$27
Cash$2,438
Domestic fixed-income strategies:
Sector rotation$630
Market timing/active duration$630
Other$630
Worldwide mutual fund assets$12,440
Defined contribution assets:
Total$4,203
Internally managed$127
Plan type:
Corporate 401(k)$127
Investment vehicle:
Mutual funds$127
No. of portfolio managers6
Size of research staff4
The parent is AMR Corp.
Nancy Eckl is chief investment officer; Brian Brett is client contact.
American Century Investments
4500 Main St., Kansas City, MO 64111; phone: 800-345-2021; fax: 816-340-7962; institutional.americancentury.com
Dollars are in U.S. millions.
Total assets managed worldwide$97,754
Total worldwide institutional assets$59,885
Total U.S. assets$93,510
Total U.S. tax-exempt assets$38,462
Total U.S. institutional tax-exempt$23,070
Internally managed$23,070
Asset mix:
Equity84%
Fixed income11%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$16,615
Foreign equity, active$2,783
U.S. bond, active$3,574
Foreign bond, active$16
High-yield bonds$6
Mortgage-backed securities$74
Equity real estate, domestic$2
Active domestic equity strategies:
Growth:
Large cap$5,475
Midcap$969
Small cap$52
Broad market$53
Value:
Large cap$3,704
Midcap$4
Small cap$557
Broad market$323
Core:
Large cap$3,144
Small cap$666
Broad market$1,560
Active international strategies:
Emerging markets equity$60
Domestic fixed-income strategies:
Stable value$1,674
Core$852
Worldwide mutual fund assets$91,743
Defined contribution assets:
Total$19,279
Internally managed$19,279
Plan type:
Corporate 401(k)$7,715
Taft-Hartley$87
401(a)$364
403(b)$2,696
Other$8,417
Investment vehicle:
Mutual funds$13,004
Variable annuities$5,126
Separate accounts$1,149
No. of portfolio managers62
Size of research staff67
The parent is American Century Cos. Inc.
Mark Mallon is chief investment officer; Steve Levitt is client contact; Jeff Yun is DC client contact.
American Express Financial Corp.
200 AXP Financial Center, Minneapolis, MN 55474; phone: 800-437-0600; fax: 612-678-1843; www.americanexpress.com
Dollars are in U.S. millions.
Total assets managed worldwide$353,929
Total worldwide institutional assets$139,310
Total U.S. assets$246,433
Total U.S. tax-exempt assets$111,284
Total U.S. institutional tax-exempt$40,973
Assigned to external managers$2,539
Internally managed$38,434
Asset mix:
Equity37%
Fixed income55%
Cash8%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$10,644
U.S. equity, passive$2,471
U.S. equity, enhanced index$11
Foreign equity, active$1,095
U.S. bond, active$20,968
Foreign bond, active$34
High-yield bonds$137
Hedge funds$1,200
Cash$1,874
Worldwide mutual fund assets$65,060
Defined contribution assets:
Total$24,394
Internally managed$21,855
Plan type:
Corporate 401(k)$21,855
Investment vehicle:
Mutual funds$11,644
Variable annuities$7
Other commingled$10,204
No. of portfolio managers60
Size of research staff80
The parent is American Express Co.
Ted Truscott is chief investment officer; Steve Moen is client contact.
The assets of subsidiaries American Express Asset Management Group and American Express Retirement Services are included in the figures above.
American Realty Advisors
801 N. Brand Blvd., Suite 800, Glendale, CA 91203; phone: 818-545-1152; fax: 818-545-8460; www.americanreal.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,902
Total worldwide institutional assets$1,902
Total U.S. assets$1,902
Total U.S. tax-exempt assets$1,902
Total U.S. institutional tax-exempt$1,902
Internally managed$1,902
Asset mix:
Fixed income10%
Equity real estate90%
Internal U.S. institutional tax-exempt assets in:
Mortgages$187
Equity real estate, domestic$1,715
No. of portfolio managers5
Size of research staff5
American Realty Advisors uses core and value-added strategies that target the acquisition or financing of low- to moderate-risk properties with strong cash flow.
Stanley Iezman is chief investment officer; Jay Butterfield is client contact.
AmeriCap Advisers LLC
228 E. 45th St., Suite 1802, New York, NY 10017; phone: 212-375-6270; fax: 646-827-4846
Dollars are in U.S. millions.
Total assets managed worldwide$203
Total worldwide institutional assets$197
Total U.S. assets$203
Total U.S. tax-exempt assets$197
Total U.S. institutional tax-exempt$197
Internally managed$197
Asset mix:
Equity99%
Cash1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$197
Active domestic equity strategies:
Growth:
Large cap$193
No. of portfolio managers4
Size of research staff1
Michael Gayed is chief investment officer; Nadia Albert is client contact.
Amerindo Investment Advisors Inc.
399 Park Ave., 22nd Floor, New York, NY 10022; phone: 212-371-6360; fax: 212-371-6988; www.amerindo.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,271
Total worldwide institutional assets$1,074
Total U.S. assets$1,220
Total U.S. tax-exempt assets$788
Total U.S. institutional tax-exempt$788
Internally managed$788
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$788
Active domestic equity strategies:
Growth:
Broad market$788
Worldwide mutual fund assets$145
Defined contribution assets:
Total$643
Internally managed$643
Plan type:
Corporate 401(k)$72
Other$571
Investment vehicle:
Separate accounts$643
No. of portfolio managers2
Size of research staff2
Marc Weiss is chief investment officer; Jeff Stewart is client contact.
Amivest Corp.
275 Broadhollow Road, Melville, NY 11747; phone: 631-844-0572; fax: 631-844-1308
Dollars are in U.S. millions.
Total assets managed worldwide$921
Total worldwide institutional assets$863
Total U.S. assets$921
Total U.S. tax-exempt assets$871
Total U.S. institutional tax-exempt$849
Internally managed$849
Asset mix:
Equity72%
Fixed income21%
Cash7%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$612
U.S. bond, active$178
Cash$59
Active domestic equity strategies:
Core:
Broad market$612
Domestic fixed-income strategies:
Core$178
Defined contribution assets:
Total$28
Internally managed$28
Plan type:
Corporate 401(k)$15
Taft-Hartley$13
Investment vehicle:
Mutual funds$28
No. of portfolio managers4
The parent is North Fork Bancorp Inc.
Tyler Jenks is chief investment officer; Joseph Calderone is client contact.
AmSouth Investment Management Co.
1901 Sixth Ave. N., Birmingham, AL 35203; phone: 205-801-0743; fax: 205-322-1997; www.amsouth.com
Dollars are in U.S. millions.
Total assets managed worldwide$5,886
Total worldwide institutional assets$4,263
Total U.S. assets$5,886
Total U.S. tax-exempt assets$599
Total U.S. institutional tax-exempt$522
Internally managed$522
Asset mix:
Fixed income79%
Cash21%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active$355
Cash$167
Domestic fixed-income strategies:
Market timing/active duration$355
Worldwide mutual fund assets$5,886
No. of portfolio managers47
Size of research staff14
The parent is AmSouth Bank.
Joseph Keating is chief investment officer; Don Korn is client contact.
Analytic Investors Inc.
500 S. Grand Ave., 23rd Floor, Los Angeles, CA 90071; phone: 213-688-3015; fax: 213-688-8856; www.aninvestor.com
Dollars are in U.S. millions.
Total assets managed worldwide$6,547
Total worldwide institutional assets$6,547
Total U.S. assets$5,530
Total U.S. tax-exempt assets$1,362
Total U.S. institutional tax-exempt$1,362
Internally managed$1,362
Asset mix:
Equity91%
Fixed income1%
Other8%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,173
U.S. bond, active$33
Hedge funds$156
Active domestic equity strategies:
Value:
Large cap$87
Core:
Large cap$1,086
Pure quantitative$1,173
Domestic fixed-income strategies:
Core$33
Worldwide mutual fund assets$148
Overlay strategies:
Derivative strategies$208
Internally managed underlying assets$208
The parent is Old Mutual (US) Holdings Inc.
Greg McMurran is chief investment officer; Brian Haskin is client contact.
Anchor Capital Advisors Inc.
1 Post Office Square, Suite 3850, Boston, MA 02109; phone: 617-338-3800; fax: 617-426-6871; www.anchorcapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,371
Total worldwide institutional assets$882
Total U.S. assets$3,371
Total U.S. tax-exempt assets$1,713
Total U.S. institutional tax-exempt$882
Internally managed$882
Asset mix:
Equity95%
Fixed income5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$835
U.S. bond, active$47
Active domestic equity strategies:
Value:
Midcap$468
Small cap$1
Broad market$357
No. of portfolio managers6
Size of research staff3
Mark V. Rickabaugh is chief investment officer; Robert F. Croce is client contact.
Angelo, Gordon & Co.
245 Park Ave., 26th Floor, New York, NY 10167; phone: 212-692-2042; fax: 212-867-9328; www.angelogordon.com
Dollars are in U.S. millions.
Total assets managed worldwide$8,500
Total worldwide institutional assets$5,950
Total U.S. assets$7,300
Total U.S. tax-exempt assets$3,500
Total U.S. institutional tax-exempt$3,400
Internally managed$3,400
Asset mix:
Equity35%
Fixed income32%
Equity real estate32%
Private equity1%
Internal U.S. institutional tax-exempt assets in:
Convertibles$200
Equity real estate, domestic$1,100
Hedge funds$970
Other private equity, domestic$30
Distressed debt$1,100
No. of portfolio managers11
Size of research staff50
Angelo, Gordon & Co., in its real estate portfolio, uses an opportunistic strategy that relies on repositioning and renovation to stabilize the asset and a core-plus strategy focusing on higher quality, subperforming assets.
Michael Gordon is chief investment officer; Marsha Roth is client contact.
AQR Capital Management LLC
2 Greenwich Plaza, 3rd Floor, Greenwich, CT 06830; phone: 203-742-3600; fax: 203-742-3100; www.aqrcapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$12,050
Total worldwide institutional assets$11,500
Total U.S. assets$9,040
Total U.S. tax-exempt assets$8,190
Total U.S. institutional tax-exempt$8,190
Internally managed$8,190
Asset mix:
Equity64%
Hedge funds36%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$5,240
Hedge funds$2,950
Overlay strategies:
Derivative strategies$1,000
No. of portfolio managers3
Size of research staff30
David Kabiller is client contact.
Arbor Capital Management LLC
120 S. Sixth St., Suite 1000, Minneapolis, MN 55402; phone: 612-317-2950; fax: 612-317-2940
Dollars are in U.S. millions.
Total assets managed worldwide$1,480
Total worldwide institutional assets$1,394
Total U.S. assets$1,480
Total U.S. tax-exempt assets$1,394
Total U.S. institutional tax-exempt$1,394
Internally managed$1,394
Asset mix:
Equity95%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,324
Cash$70
Active domestic equity strategies:
Growth:
Small cap$1,394
Defined contribution assets:
Total$1,067
Internally managed$1,067
Plan type:
Corporate 401(k)$1,030
Taft-Hartley$37
Investment vehicle:
Separate accounts$1,034
Other commingled$33
No. of portfolio managers4
Size of research staff2
David Deming is client contact.
Argus Investors' Counsel Inc.
100 Prospect St., South Tower, Stamford, CT 06901; phone: 203-316-9000; fax: 203-356-0513; www.argusmoney.com
Dollars are in U.S. millions.
Total assets managed worldwide$607
Total worldwide institutional assets$555
Total U.S. assets$607
Total U.S. tax-exempt assets$555
Total U.S. institutional tax-exempt$555
Internally managed$555
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$555
Active domestic equity strategies:
Core:
Large cap$555
No. of portfolio managers3
Size of research staff22
The parent is Argus Research Group.
Stewart P. Zobian is chief investment officer; Jim Tierney is client contact.
Ariel Capital Management LLC
200 E. Randolph Drive, Suite 2900, Chicago, IL 60601; phone: 312-726-0140; fax: 312-726-7473; www.arielcapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$21,433
Total worldwide institutional assets$15,917
Total U.S. assets$21,433
Total U.S. tax-exempt assets$15,917
Total U.S. institutional tax-exempt$15,917
Assigned to external managers$169
Internally managed$15,748
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$15,748
Active domestic equity strategies:
Value:
Midcap$10,135
Small cap$5,613
Worldwide mutual fund assets$7,714
Defined contribution assets:
Total$5,428
Internally managed$5,259
Plan type:
Other$5,259
Investment vehicle:
Mutual funds$2,109
Variable annuities$1,612
Separate accounts$428
Other commingled$1,110
No. of portfolio managers1
Size of research staff10
John W. Rogers Jr. is chief investment officer; Peter Q. Thompson is client contact.
Ark Asset Management Co. Inc.
125 Broad St., 12th & 13th Floors, New York, NY 10004; phone: 212-487-5000; fax: 212-601-5482; www.the-ark.com
Dollars are in U.S. millions.
Total assets managed worldwide$15,489
Total worldwide institutional assets$15,483
Total U.S. assets$15,489
Total U.S. tax-exempt assets$15,327
Total U.S. institutional tax-exempt$15,327
Internally managed$15,327
Asset mix:
Equity86%
Fixed income14%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$13,251
U.S. bond, active$2,076
Active domestic equity strategies:
Growth:
Large cap$7,512
Value:
Large cap$2,634
Midcap$803
Small cap$2,302
Pure quantitative$12,263
The parent is Ark Asset Holdings Inc.
S. Jay Mermelstein is chief investment officer; Patricia Ryan is client contact.
Armstrong Shaw Associates Inc.
45 Grove St., New Canaan, CT 06840; phone: 203-972-9600; fax: 203-972-9630
Dollars are in U.S. millions.
Total assets managed worldwide$7,233
Total worldwide institutional assets$5,283
Total U.S. assets$7,233
Total U.S. tax-exempt assets$5,120
Total U.S. institutional tax-exempt$5,041
Internally managed$5,041
Asset mix:
Equity97%
Cash3%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$4,890
Cash$151
Active domestic equity strategies:
Value:
Large cap$4,890
Worldwide mutual fund assets$483
No. of portfolio managers6
Jeffrey Shaw is chief investment officer; Terry Newman is client contact.
Arnhold & S. Bleichroeder Advisers LLC
1345 Avenue of the Americas, New York, NY 10105-4300; phone: 212-698-3000; fax: 212-299-4360; www.asbai.com
Dollars are in U.S. millions.
Total assets managed worldwide$26,320
Total worldwide institutional assets$9,823
Total U.S. assets$22,487
Total U.S. tax-exempt assets$2,129
Total U.S. institutional tax-exempt$2,129
Internally managed$2,129
Asset mix:
Equity99%
Fixed income1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$629
Foreign equity, active$1,492
Foreign bond, active$8
Active domestic equity strategies:
Value:
Large cap$629
Active international strategies:
Emerging markets debt$8
Worldwide mutual fund assets$20,059
No. of portfolio managers15
Size of research staff15
The parent is Arnhold & S. Bleichroeder Holdings Inc.
John Arnhold is chief investment officer; Lawrence Borsanyi is client contact.
Aronson + Johnson + Ortiz LP
230 S. Broad St., 20th Floor, Philadelphia, PA 19102; phone: 215-546-7500; fax: 215-546-7506; www.ajopartners.com
Dollars are in U.S. millions.
Total assets managed worldwide$19,307
Total worldwide institutional assets$19,307
Total U.S. assets$18,668
Total U.S. tax-exempt assets$18,668
Total U.S. institutional tax-exempt$18,668
Internally managed$18,668
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$18,326
Hedge funds$342
Active domestic equity strategies:
Value:
Large cap$16,069
Midcap$1,000
Small cap$1,257
Pure quantitative$18,326
Worldwide mutual fund assets$3,277
Defined contribution assets:
Total$1,096
Internally managed$1,096
Plan type:
Corporate 401(k)$833
Other 401(k)$153
Taft-Hartley$110
Investment vehicle:
Separate accounts$1,096
No. of portfolio managers4
Size of research staff3
Theodore R. Aronson is chief investment officer and client contact.
Arrowstreet Capital LP
44 Brattle St., 5th Floor, Cambridge, MA 02138; phone: 617-547-9999; fax: 617-547-0099; www.arrowstreetcapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$7,427
Total worldwide institutional assets$7,427
Total U.S. assets$5,759
Total U.S. tax-exempt assets$5,759
Total U.S. institutional tax-exempt$5,759
Internally managed$5,759
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$5,728
Hedge funds$31
Active international strategies:
Emerging markets equity$713
No. of portfolio managers6
Size of research staff5
Peter Rathjens is chief investment officer; Kevin Taube is client contact.
Artisan Partners (APAM) LP
875 E. Wisconsin Ave., Suite 800, Milwaukee, WI 53202; phone: 414-390-6100; fax: 414-390-6139; www.artisanfunds.com
Dollars are in U.S. millions.
Total assets managed worldwide$40,442
Total worldwide institutional assets$30,712
Total U.S. assets$40,312
Total U.S. tax-exempt assets$27,546
Total U.S. institutional tax-exempt$27,546
Internally managed$27,546
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$13,142
Foreign equity, active$14,404
Active domestic equity strategies:
Growth:
Midcap$9,082
Small cap$1,419
Value:
Midcap$22
Small cap$2,619
Worldwide mutual fund assets$20,772
Defined contribution assets:
Total$5,446
Internally managed$5,446
Plan type:
Corporate 401(k)$5,446
Investment vehicle:
Mutual funds$5,191
Separate accounts$255
No. of portfolio managers9
Size of research staff17
Darren DeVore is client contact; Edward Mooney Jr. is DC client contact.
ASB Capital Management Inc.
1919 M St. N.W., Suite 310, Washington, DC 20036; phone: 202-383-6300; fax: 202-347-0792; www.asbcm.com
Dollars are in U.S. millions.
Total assets managed worldwide$7,140
Total worldwide institutional assets$7,140
Total U.S. assets$7,140
Total U.S. tax-exempt assets$7,140
Total U.S. institutional tax-exempt$7,140
Internally managed$7,140
Asset mix:
Equity68%
Fixed income22%
Equity real estate10%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$98
U.S. equity, passive$4,630
U.S. bond, active$1,099
U.S. bond, enhanced index$446
Equity real estate, domestic$739
Other private equity, domestic$89
Cash$39
Active domestic equity strategies:
Value:
Large cap$85
Core:
Large cap$4
Passive domestic equity strategies:
Core:
Large cap$4,630
Domestic fixed-income strategies:
Core$1,099
Other$446
No. of portfolio managers6
Size of research staff7
ASB Capital Management Inc., in its real estate portfolios, makes equity investments in developmental and existing commercial real estate.
The parent is Chevy Chase Bank FSB.
Peter Lindner is chief investment officer; Judy McCoy is client contact.
Ashfield & Co. Inc.
750 Battery St., Suite 600, San Francisco, CA 94111; phone: 415-391-4747; fax: 415-391-1234; www.ashfield.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,695
Total worldwide institutional assets$554
Total U.S. assets$2,631
Total U.S. tax-exempt assets$1,163
Total U.S. institutional tax-exempt$489
Internally managed$489
Asset mix:
Equity89%
Fixed income9%
Other2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$435
U.S. bond, active$44
Cash$10
Active domestic equity strategies:
Growth:
Large cap$435
Domestic fixed-income strategies:
Core$44
No. of portfolio managers6
J. Stephen Lauck is chief investment officer; R. David Freeman is client contact.
Ashmore Investment Management Ltd.
20 Bedfordbury, London England WC2N 4BL; phone: (44) 207-557-4100; fax: (44) 207-557-4141; www.ashmoregroup.com
Dollars are in U.S. millions.
Total assets managed worldwide$8,077
Total worldwide institutional assets$6,898
Total U.S. assets$1,784
Total U.S. tax-exempt assets$1,784
Total U.S. institutional tax-exempt$1,784
Internally managed$1,784
Asset mix:
Fixed income100%
Internal U.S. institutional tax-exempt assets in:
Foreign bond, active$1,784
Active international strategies:
Emerging markets debt$1,784
No. of portfolio managers6
Size of research staff6
The parent is Ashmore Group Ltd.
Mark Coombs is chief investment officer; Tony Kane is client contact.
Atalanta Sosnoff Capital LLC
101 Park Ave., 6th Floor, New York, NY 10178; phone: 212-867-5000; fax: 212-922-1820; www.atalantasosnoff.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,567
Total worldwide institutional assets$2,239
Total U.S. assets$3,567
Total U.S. tax-exempt assets$2,166
Total U.S. institutional tax-exempt$1,961
Internally managed$1,961
Asset mix:
Equity74%
Fixed income25%
Cash1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,442
U.S. bond, active$509
Cash$10
Active domestic equity strategies:
Core:
Large cap$1,172
Domestic fixed-income strategies:
Market timing/active duration$407
Defined contribution assets:
Total$1,458
Internally managed$1,458
Plan type:
Taft-Hartley$931
Other$527
Investment vehicle:
Separate accounts$1,458
No. of portfolio managers4
Size of research staff3
The parent is MTS Holding Corp.
Martin Sosnoff is chief investment officer; Bruce Deutsch is client contact; Bill DiPietro is DC client contact.
Atlanta Capital Management Co. LLC
2 Midtown Plaza, Suite 1600, 1349 W. Peachtree St., Atlanta, GA 30309; phone: 404-876-9411; fax: 404-872-1672; www.atlcap.com
Dollars are in U.S. millions.
Total assets managed worldwide$9,487
Total worldwide institutional assets$8,526
Total U.S. assets$9,472
Total U.S. tax-exempt assets$7,052
Total U.S. institutional tax-exempt$7,052
Internally managed$7,052
Asset mix:
Equity80%
Fixed income20%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$5,560
U.S. bond, active$1,492
Active domestic equity strategies:
Growth:
Large cap$4,865
Value:
Small cap$544
Core:
Large cap$61
Domestic fixed-income strategies:
Core$699
Other$793
Worldwide mutual fund assets$1,455
Defined contribution assets:
Total$37
Internally managed$37
Plan type:
Corporate 401(k)$27
Taft-Hartley$5
Other$5
Investment vehicle:
Separate accounts$37
No. of portfolio managers8
Size of research staff6
The parent is Eaton Vance (EV) Corp.
Michelle Breig is client contact.
Atlantic Asset Management LLC
2187 Atlantic St., Stamford, CT 06902; phone: 203-351-2800; fax: 203-351-2866; www.atlanticasset.com
Dollars are in U.S. millions.
Total assets managed worldwide$7,605
Total worldwide institutional assets$5,636
Total U.S. assets$7,284
Total U.S. tax-exempt assets$7,284
Total U.S. institutional tax-exempt$5,315
Internally managed$5,315
Asset mix:
Equity19%
Fixed income81%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, enhanced index$1,015
U.S. bond, active$2,138
High-yield bonds$2,162
No. of portfolio managers10
Size of research staff14
Elaine S. Hunt is chief investment officer; Annemarie Moran is client contact.
Austin Calvert Flavin Inc.
755 E. Mulberry, Suite 400, San Antonio, TX 78212; phone: 210-353-0500; fax: 210-353-0503; www.auscal.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,572
Total worldwide institutional assets$830
Total U.S. assets$1,572
Total U.S. tax-exempt assets$877
Total U.S. institutional tax-exempt$804
Internally managed$804
Asset mix:
Equity66%
Fixed income30%
Cash4%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$556
U.S. bond, active$1
Active domestic equity strategies:
Core:
Large cap$556
Defined contribution assets:
Total$147
Internally managed$147
Plan type:
Corporate 401(k)$112
Taft-Hartley$35
Investment vehicle:
Separate accounts$147
No. of portfolio managers5
Size of research staff4
The parent is Waddell & Reed Investment Management Co.
David Halloran is chief investment officer; June Whitney is client contact.
Avanti Investment Advisors Ltd.
923 N. Pennsylvania Ave., Winter Park, FL 32789; phone: 407-628-8488; fax: 407-644-3115; www.avantiprop.com
Dollars are in U.S. millions.
Total assets managed worldwide$740
Total worldwide institutional assets$575
Total U.S. assets$734
Total U.S. tax-exempt assets$575
Total U.S. institutional tax-exempt$575
Internally managed$575
Asset mix:
Equity real estate100%
Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic$575
No. of portfolio managers5
Size of research staff1
Avanti Investment Advisors Ltd. is a real estate manager, using a strategy that focuses on medium-term land investment and finance.
Charles Schwartz Sr. is chief investment officer; JoAnn Hanson is client contact.
Awad Asset Management Inc.
250 Park Ave., New York, NY 10177; phone: 888-657-9140; fax: 727-567-8551; www.awadassetmanagement.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,539
Total worldwide institutional assets$607
Total U.S. assets$1,323
Total U.S. tax-exempt assets$353
Total U.S. institutional tax-exempt$227
Internally managed$227
Asset mix:
Equity95%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$210
Hedge funds$9
Cash$8
Active domestic equity strategies:
Core:
Small cap$210
Worldwide mutual fund assets$562
No. of portfolio managers1
Size of research staff3
The parent is Raymond James Financial Inc.
James Awad is chief investment officer; Ross Hawkins is client contact.
AXA Investment Managers Inc.
1 Fawcett Place, Greenwich, CT 06830; phone: 203-863-8990; fax: 203-861-4112; www.axa-im.com
Dollars are in U.S. millions.
Total assets managed worldwide$5,300
Total worldwide institutional assets$5,267
Total U.S. assets$2,872
Total U.S. tax-exempt assets$282
Total U.S. institutional tax-exempt$282
Internally managed$282
Asset mix:
Fixed income100%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active$175
High-yield bonds$107
Domestic fixed-income strategies:
Core$175
No. of portfolio managers7
Size of research staff2
The parent is AXA Investment Managers Group of Cos.
Amy Kistulinec is client contact.
AXA Rosenberg Investment Management LLC
4 Orinda Way, Building E, Orinda, CA 94563; phone: 925-254-6464; fax: 925-254-0213; www.axarosenberg.com
Dollars are in U.S. millions.
Total assets managed worldwide$56,024
Total worldwide institutional assets$48,381
Total U.S. assets$12,601
Total U.S. tax-exempt assets$9,724
Total U.S. institutional tax-exempt$9,724
Internally managed$9,724
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$6,397
Foreign equity, active$3,327
Active domestic equity strategies:
Value:
Midcap$374
Small cap$81
Core:
Large cap$634
Midcap$3,696
Small cap$1,170
Broad market$441
Pure quantitative$6,397
Active international strategies:
Emerging markets equity$3,327
Worldwide mutual fund assets$2,233
Defined contribution assets:
Total$864
Internally managed$864
Plan type:
Corporate 401(k)$288
Other$576
Investment vehicle:
Separate accounts$864
No. of portfolio managers35
Size of research staff20
The parent is AXA Rosenberg Group LLC.
William E. Ricks is chief investment officer; William Barnes is client contact.
Axiom International Investors LLC
55 Railroad Ave., 3rd Floor, Greenwich, CT 06830-6378; phone: 203-422-8000; fax: 203-422-8090
Dollars are in U.S. millions.
Total assets managed worldwide$4,312
Total worldwide institutional assets$3,944
Total U.S. assets$4,121
Total U.S. tax-exempt assets$3,458
Total U.S. institutional tax-exempt$3,458
Internally managed$3,458
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$3,453
Cash$5
Active international strategies:
Emerging markets equity$574
Defined contribution assets:
Total$60
Internally managed$60
Plan type:
Corporate 401(k)$58
Other$2
Investment vehicle:
Separate accounts$58
Other commingled$2
No. of portfolio managers2
Size of research staff7
Andrew Jacobson is chief investment officer; Jon Yenor is client contact.
Babson Capital Management LLC
1 Memorial Drive, Cambridge, MA 02142; phone: 617-225-3800; fax: 617-761-6533; www.babsoncapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$89,684
Total worldwide institutional assets$88,745
Total U.S. assets$74,532
Total U.S. tax-exempt assets$14,156
Total U.S. institutional tax-exempt$14,040
Internally managed$14,040
Asset mix:
Equity44%
Fixed income55%
Other1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$4,735
U.S. equity, enhanced index$1,430
U.S. bond, active$7,155
High-yield bonds$107
Other asset-backed securities$365
Hedge funds$58
Private placements, domestic$190
Active domestic equity strategies:
Growth:
Small cap$260
Value:
Large cap$1,695
Small cap$120
Core:
Large cap$287
Small cap$2,373
Domestic fixed-income strategies:
Core$7,262
Other$365
No. of portfolio managers44
Size of research staff80
Babson Capital Management LLC manages other significant products, using bank loans and collateralized debt obligations.
The parent is Massachusetts Mutual Life Insurance Co.
Kevin McClintock is chief investment officer; Michael Kellogg is client contact.
Badgley, Phelps & Bell Inc.
1420 Fifth Ave., Suite 3200, Seattle, WA 98101-2349; phone: 206-623-6172; fax: 206-623-2042; www.badgley.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,574
Total worldwide institutional assets$514
Total U.S. assets$1,574
Total U.S. tax-exempt assets$510
Total U.S. institutional tax-exempt$323
Internally managed$323
Asset mix:
Equity63%
Fixed income31%
Cash6%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$202
U.S. bond, active$101
Cash$20
Active domestic equity strategies:
Core:
Broad market$202
Domestic fixed-income strategies:
Core$101
Worldwide mutual fund assets$52
Defined contribution assets:
Total$41
Internally managed$41
Investment vehicle:
Separate accounts$41
No. of portfolio managers13
Steven C. Phelps is chief investment officer; Curtis L. Pepin is client contact.
Julius Baer Investment Management LLC
330 Madison Ave., New York, NY 10017; phone: 212-297-3829; fax: 212-297-3856; www.juliusbaer.com
Dollars are in U.S. millions.
Total assets managed worldwide$24,376
Total worldwide institutional assets$24,376
Total U.S. assets$21,039
Total U.S. tax-exempt assets$11,407
Total U.S. institutional tax-exempt$11,407
Internally managed$11,407
Asset mix:
Equity76%
Fixed income2%
Other22%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$46
Foreign equity, active$8,646
U.S. bond, active$8
Foreign bond, active$190
Hedge funds$1,705
Active domestic equity strategies:
Core:
Large cap$41
Midcap$3
Small cap$2
Active international strategies:
Emerging markets equity$25
Domestic fixed-income strategies:
Core$7
Worldwide mutual fund assets$12,880
Defined contribution assets:
Total$218
Internally managed$218
Plan type:
Taft-Hartley$218
Investment vehicle:
Separate accounts$146
Other commingled$72
No. of portfolio managers27
Size of research staff24
The parent is Julius Baer Holding Ltd.
Richard Pell is chief investment officer; Denise Downey is client contact.
Bailard Inc.
950 Tower Lane, Suite 1900, Foster City, CA 94404; phone: 650-571-5800; fax: 650-573-7128; www. bailard.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,569
Total worldwide institutional assets$270
Total U.S. assets$1,569
Total U.S. tax-exempt assets$329
Total U.S. institutional tax-exempt$270
Internally managed$270
Asset mix:
Equity31%
Fixed income5%
Equity real estate59%
Cash3%
Other2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$64
Foreign equity, active$20
U.S. bond, active$13
Equity real estate, domestic$160
Hedge funds$5
Cash$8
Worldwide mutual fund assets$448
No. of portfolio managers9
Size of research staff4
Bailard Inc. is a real estate manager, buying properties that offer repositioning and mispricing opportunities and selling them once the value-added potential has been maximized.
Peter Hill is chief investment officer; Sharon Henderson is client contact.
Baillie Gifford Overseas Ltd.
Calton Square, 1 Greenside Row, Edinburgh EH1 3AN Scotland; phone: 44-131-275-2000; fax: 44-131-275-3975; www.bailliegifford.com
Dollars are in U.S. millions.
Total assets managed worldwide$62,283
Total worldwide institutional assets$56,167
Total U.S. assets$11,063
Total U.S. tax-exempt assets$8,248
Total U.S. institutional tax-exempt$8,248
Internally managed$8,248
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$8,248
Active international strategies:
Emerging markets equity$721
Worldwide mutual fund assets$2,282
No. of portfolio managers47
Size of research staff23
The parent is Baillie Gifford & Co.
Richard Burns is chief investment officer; Bill Pacula and Larysa Bemko are client contacts at 212-319-4633.
Baird Advisors
777 E. Wisconsin Ave., Suite 2100, Milwaukee, WI 53202; phone: 414-298-1060; fax: 414-298-1078; www.bairdadvisors.com
Dollars are in U.S. millions.
Total assets managed worldwide$6,686
Total worldwide institutional assets$6,571
Total U.S. assets$6,686
Total U.S. tax-exempt assets$6,056
Total U.S. institutional tax-exempt$6,056
Internally managed$6,056
Asset mix:
Fixed income100%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, enhanced index$6,056
Domestic fixed-income strategies:
Core$6,056
Worldwide mutual fund assets$438
No. of portfolio managers9
The parent is Robert W. Baird & Co.
Mary Ellen Stanek is chief investment officer; Richard Whittow is client contact.
Baird Investment Management
777 E. Wisconsin Ave., Milwaukee, WI 53217; phone: 800-792-4011; fax: 414-765-7012; www.bairdinvestmentmanagement.com
Dollars are in U.S. millions.
Total assets managed worldwide$5,251
Total worldwide institutional assets$1,677
Total U.S. assets$5,251
Total U.S. tax-exempt assets$1,655
Total U.S. institutional tax-exempt$1,513
Internally managed$1,513
Asset mix:
Equity82%
Fixed income12%
Cash6%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,244
U.S. bond, active$185
Cash$84
Active domestic equity strategies:
Growth:
Large cap$1,032
Midcap$180
Small cap$32
Worldwide mutual fund assets$174
Defined contribution assets:
Total$387
Internally managed$387
Plan type:
Other$387
Investment vehicle:
Mutual funds$100
Separate accounts$287
No. of portfolio managers12
Size of research staff5
The parent is Robert W. Baird & Co.
J. Bary Morgan is chief investment officer; Todd Haschker is client contact.
Baker Gilmore & Associates Inc.
1002 Sherbrooke St. W., Suite 2620, Montreal, Quebec H3A 3L6 Canada; phone: 514-287-0110; fax: 514-287-9176; www.bakergilmore.ca
Dollars are in U.S. millions.
Total assets managed worldwide$3,719
Total worldwide institutional assets$3,719
Total worldwide institutional$3,719
Total tax-exempt assets$1,619
Total institutional tax-exempt$1,619
Internally managed$1,619
Asset mix:
Fixed income100%
Internal institutional tax-exempt assets in:
Domestic/U.S. bond, active$1,619
Domestic/U.S. fixed-income strategies:
Stable value$52
Core$933
Long bond$634
Defined contribution assets:
Total$324
Internally managed$324
No. of portfolio managers4
Size of research staff2
The parent company is Connor, Clark & Lunn Financial Group.
Harold Scheer is chief investment officer; Bruce Shewfelt is client contact.
Bank of Ireland Asset Management
75 Holly Hill Lane, Greenwich, CT 06830; phone: 203-869-0111; fax: 203-869-0268; www.biam.ie
Dollars are in U.S. millions.
Total assets managed worldwide$66,632
Total worldwide institutional assets$53,571
Total U.S. assets$16,373
Total U.S. tax-exempt assets$14,211
Total U.S. institutional tax-exempt$14,211
Internally managed$14,211
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$14,211
No. of portfolio managers17
The parent is Bank of Ireland Group.
Christopher Reilly is chief investment officer; Stephen Holland is client contact.
Bank of Oklahoma
1 Williams Center, Bank of Oklahoma Tower, P.O. Box 880, Tulsa, OK 74101-0880; phone: 800-285-9559; fax: 918-588-6142; www.bankofoklahoma.com
Dollars are in U.S. millions.
Total assets managed worldwide$22,009
Total worldwide institutional assets$13,999
Total U.S. assets$22,009
Total U.S. tax-exempt assets$9,132
Total U.S. institutional tax-exempt$7,526
Internally managed$7,526
Asset mix:
Equity72%
Fixed income21%
Cash7%
Worldwide mutual fund assets$6,305
Defined contribution assets:
Total$104
Internally managed$104
Plan type:
Corporate 401(k)$62
Other$42
Investment vehicle:
Mutual funds$70
Separate accounts$34
No. of portfolio managers20
Size of research staff3
The parent is BOK Financial Corp.
Pansy Nordstrom is client contact; Diane Jenkins is DC client contact.
The assets of the following subsidiaries are included in the figures above: Bank of Albuquerque NA, Bank of Arkansas NA, Bank of Texas NA and Colorado State Bank & Trust.
Barclays Global Investors NA
45 Fremont St., 34th Floor, San Francisco, CA 94105; phone: 415-597-2000; fax: 415-597-2140; www.barclaysglobal.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,361,949
Total worldwide institutional assets$1,172,724
Total U.S. assets$774,314
Total U.S. tax-exempt assets$651,955
Total U.S. institutional tax-exempt$651,955
Internally managed$651,955
Asset mix:
Equity74%
Fixed income10%
Cash15%
Other1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,013
U.S. equity, passive$304,933
U.S. equity, enhanced index$72,331
Foreign equity, active$1,823
Foreign equity, index$66,708
Foreign equity, enhanced index$24,183
REITs$5,968
U.S. bond, active$6,310
U.S. bond, passive$55,755
U.S. bond, enhanced index$1,902
Foreign bond, index$1,082
High-yield bonds$418
Mortgage-backed securities$1,464
Other asset-backed securities$600
Hedge funds$4,355
Cash$99,746
Active domestic equity strategies:
Growth:
Large cap$1,013
Passive domestic equity strategies:
Growth:
Large cap$9,273
Small cap$290
Value:
Large cap$12,855
Small cap$348
Broad market$304
Core:
Large cap$168,469
Midcap$1,483
Small cap$5,502
Broad market$106,409
Domestic fixed-income strategies:
Core$66,433
Other$16
Worldwide mutual fund assets$145,554
Overlay strategies:
Derivative strategies$559
Currency$7,866
Internally managed underlying assets$8,425
Defined contribution assets:
Total$130,527
Internally managed$130,527
Plan type:
Corporate 401(k)$13,155
457$1,768
401(a)$95,012
Other$20,592
Investment vehicle:
Mutual funds$2,067
Separate accounts$4,685
Other commingled$123,775
No. of portfolio managers269
Size of research staff103
The parent is Barclays PLC.
Blake Grossman is chief investment officer; Matt Scanlan is client contact.
Baring Asset Management
High Street Tower, 125 High St., Suite 2700, Boston, MA 02110; phone: 617-946-5200; fax: 617-330-7481; www.baring-asset-us.com
Dollars are in U.S. millions.
Total assets managed worldwide$34,539
Total worldwide institutional assets$28,361
Total U.S. assets$6,309
Total U.S. tax-exempt assets$6,139
Total U.S. institutional tax-exempt$6,139
Internally managed$6,139
Asset mix:
Equity65%
Fixed income35%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$157
Foreign equity, active$727
Foreign equity, enhanced index$3,102
U.S. bond, active$209
Foreign bond, active$1,944
Active domestic equity strategies:
Growth:
Large cap$157
Active international strategies:
Emerging markets equity$328
Emerging markets debt$4
Domestic fixed-income strategies:
Other$209
Worldwide mutual fund assets$45
No. of portfolio managers53
Size of research staff32
The parent is ING Group NV.
Michael Hughes is chief investment officer; Barclay Douglas III is client contact.
Weaver C. Barksdale & Associates Inc.
10 Cadillac Drive, Suite 450, Brentwood, TN 37027; phone: 615-665-1085; fax: 615-665-1087; www.wcbarksdale.com
Dollars are in U.S. millions.
Total assets managed worldwide$4,855
Total worldwide institutional assets$4,828
Total U.S. assets$4,855
Total U.S. tax-exempt assets$4,291
Total U.S. institutional tax-exempt$4,286
Internally managed$4,286
Asset mix:
Equity17%
Fixed income82%
Cash1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$715
U.S. bond, active$2,724
Mortgage-backed securities$786
Other asset-backed securities$41
Cash$20
Active domestic equity strategies:
Growth:
Large cap$156
Value:
Large cap$20
Core:
Large cap$1
Midcap$538
Domestic fixed-income strategies:
Core$3,571
No. of portfolio managers6
Size of research staff2
Charles Webb is chief investment officer; John McDowell is client contact.
Baron Capital Management Inc.
767 Fifth Ave., 49th Floor, New York, NY 10153; phone: 212-583-2000; fax: 212-583-2150; www.baronfunds.com
Dollars are in U.S. millions.
Total assets managed worldwide$10,815
Total worldwide institutional assets$6,141
Total U.S. assets$10,815
Total U.S. tax-exempt assets$3,842
Total U.S. institutional tax-exempt$3,360
Internally managed$3,360
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$3,360
Worldwide mutual fund assets$9,839
Defined contribution assets:
Total$2,973
Internally managed$2,973
Plan type:
Corporate 401(k)$2,973
Investment vehicle:
Mutual funds$2,973
No. of portfolio managers4
Size of research staff11
The parent is Baron Capital Group Inc.
Ronald Baron is chief investment officer; Meeta Singal is client contact.
Barrow, Hanley, Mewhinney & Strauss Inc.
3232 McKinney Ave., 15th Floor, 1 McKinney Plaza, Dallas, TX 75204; phone: 214-665-1900; fax: 214-665-1933; www.barrowhanley.com
Dollars are in U.S. millions.
Total assets managed worldwide$42,438
Total worldwide institutional assets$42,438
Total U.S. assets$41,352
Total U.S. tax-exempt assets$40,603
Total U.S. institutional tax-exempt$40,603
Internally managed$40,603
Asset mix:
Equity91%
Fixed income9%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$36,957
U.S. bond, active$3,646
Active domestic equity strategies:
Value:
Large cap$33,724
Midcap$2,424
Small cap$809
Domestic fixed-income strategies:
Sector rotation$1,756
Core$1,890
Worldwide mutual fund assets$25,304
No. of portfolio managers14
Size of research staff8
The parent is Old Mutual (US) Holdings Inc.
James Barrow is chief investment officer; Robert Barkley is client contact.
Batterymarch Financial Management Inc.
200 Clarendon St., Boston, MA 02116; phone: 617-266-8300; fax: 617-266-0633; www.batterymarch.com
See entry for LEGG MASON (LM) INC. (LM)
Beacon Capital Partners LLC
1 Federal St., 26th Floor, Boston, MA 02110; phone: 617-457-0400; fax: 617-457-0499; www.beaconcapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,042
Total worldwide institutional assets$1,863
Total U.S. assets$1,966
Total U.S. tax-exempt assets$1,474
Total U.S. institutional tax-exempt$1,474
Internally managed$1,474
Asset mix:
Equity real estate100%
Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic$1,474
Beacon Capital Partners LLC, a real estate manager, uses a value-added strategy associated with Class A office properties in knowledge-based, supply-constrained U.S. urban markets.
Randy Parker is client contact.
Bear Stearns Asset Management Inc.
383 Madison Ave., 29th Floor, New York, NY 10179; phone: 800-436-4148; fax: 212-881-1449; www.bearstearns.com
Dollars are in U.S. millions.
Total assets managed worldwide$30,946
Total worldwide institutional assets$27,316
Total U.S. assets$27,965
Total U.S. tax-exempt assets$9,806
Total U.S. institutional tax-exempt$9,602
Internally managed$9,602
Asset mix:
Equity70%
Fixed income30%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$6,542
U.S. bond, active$2,432
High-yield bonds$334
Hedge funds$294
Active domestic equity strategies:
Growth:
Large cap$90
Midcap$115
Small cap$266
Value:
Large cap$5,740
Small cap$103
Core:
Large cap$207
Broad market$5
Pure quantitative$489
Domestic fixed-income strategies:
Sector rotation$2,432
Other$334
Worldwide mutual fund assets$1,923
Defined contribution assets:
Total$165
Internally managed$165
Plan type:
Corporate 401(k)$165
Investment vehicle:
Separate accounts$165
No. of portfolio managers25
Size of research staff36
The parent is Bear Stearns Cos. Inc.
John Geissinger is chief investment officer; Lynda DiBari is client contact.
Becker Capital Management Inc.
1211 S.W. Fifth Ave., Suite 2185, Portland, OR 97204; phone: 503-223-1720; fax: 503-223-3624; www.beckercap.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,414
Total worldwide institutional assets$1,355
Total U.S. assets$2,414
Total U.S. tax-exempt assets$1,350
Total U.S. institutional tax-exempt$1,233
Internally managed$1,233
Asset mix:
Equity85%
Fixed income11%
Cash4%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,051
U.S. bond, active$132
Cash$50
Active domestic equity strategies:
Value:
Midcap$71
Small cap$678
Broad market$302
Worldwide mutual fund assets$27
Defined contribution assets:
Total$221
Internally managed$221
Plan type:
Corporate 401(k)$3
Taft-Hartley$65
Other$153
Investment vehicle:
Separate accounts$221
No. of portfolio managers7
Size of research staff7
Patrick Becker is chief investment officer; Michael Malone is client contact.
Bennett Lawrence Management LLC
757 Third Ave., 19th Floor, New York, NY 10017; phone: 212-508-6400; fax: 212-593-9647; www.bennettlawrence.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,423
Total worldwide institutional assets$618
Total U.S. assets$1,423
Total U.S. tax-exempt assets$665
Total U.S. institutional tax-exempt$421
Internally managed$421
Asset mix:
Equity97%
Cash3%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$421
Active domestic equity strategies:
Growth:
Midcap$421
No. of portfolio managers3
Size of research staff5
Van Schreiber is chief investment officer; Brendan Contant is client contact.
Berkeley Capital Management LLC
4 Embarcadero Center, Suite 3150, San Francisco, CA 94111; phone: 415-393-0300; fax: 415-393-0374; www.berkeleycm.com
Dollars are in U.S. millions.
Total assets managed worldwide$5,433
Total worldwide institutional assets$4,214
Total U.S. assets$5,433
Total U.S. tax-exempt assets$4,691
Total U.S. institutional tax-exempt$4,206
Internally managed$4,206
Asset mix:
Equity95%
Fixed income5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$4,193
U.S. bond, active$13
Active domestic equity strategies:
Growth:
Large cap$11
Value:
Large cap$13
Core:
Large cap$4,169
Domestic fixed-income strategies:
Sector rotation$13
No. of portfolio managers10
The parent is Lovell Minnick Partners LLC.
James Landau is chief investment officer; John Hart is client contact.
Bernzott Capital Advisors
c/o Schmetter & Associates LLC, 6490 Crestbrook Drive, Morrison, CO 80465; phone: 303-697-7300; fax: 303-697-7505; www.bernzott.com
Dollars are in U.S. millions.
Total assets managed worldwide$311
Total worldwide institutional assets$61
Total U.S. assets$311
Total U.S. tax-exempt assets$144
Total U.S. institutional tax-exempt$48
Internally managed$48
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$48
Active domestic equity strategies:
Value:
Small cap$48
No. of portfolio managers2
Size of research staff2
Peter Banks is chief investment officer; Gretchen Schmetter is client contact.
Biscayne Advisors Inc.
104 Crandon Blvd., Suite 400, Key Biscayne, FL 33149; phone: 305-361-7951; fax: 305-361-0517; www.biscayne-advisors.com
Dollars are in U.S. millions.
Total assets managed worldwide$312
Total worldwide institutional assets$296
Total U.S. assets$312
Total U.S. tax-exempt assets$301
Total U.S. institutional tax-exempt$296
Internally managed$296
Asset mix:
Equity43%
Fixed income47%
Cash10%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$127
U.S. bond, active$140
Cash$29
Active domestic equity strategies:
Core:
Large cap$114
Midcap$13
Domestic fixed-income strategies:
Core$163
No. of portfolio managers5
The parent is Walton Johnson Group Inc.
John Carlson is chief investment officer; Gerardo Nout is client contact.
A.G. Bisset & Co. Inc.
71 Rowayton Ave., 5 Mile Landing, Rowayton, CT 06853; phone: 203-866-3540; fax: 203-866-0439; www.agbisset.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,384
Total worldwide institutional assets$2,381
Total U.S. assets$240
Total U.S. tax-exempt assets$239
Total U.S. institutional tax-exempt$239
Internally managed$239
Asset mix:
Currency100%
Overlay strategies:
Currency$239
No. of portfolio managers2
Size of research staff1
A.G. Bisset & Co. Inc. manages currency overlays on internationally invested assets and also manages currencies in alpha programs.
Ulf J. Lindahl is chief investment officer; Alfred G. Bisset is client contact.
Bjurman, Barry & Associates
10100 Santa Monica Blvd., Suite 1200, Los Angeles, CA 90067; phone: 310-553-6577; fax: 310-553-2172; www.bjurmanbarry.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,306
Total worldwide institutional assets$1,259
Total U.S. assets$988
Total U.S. tax-exempt assets$318
Total U.S. institutional tax-exempt$313
Internally managed$313
Asset mix:
Equity99%
Cash1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$312
Cash$1
Active domestic equity strategies:
Growth:
Large cap$61
Midcap$5
Small cap$247
Worldwide mutual fund assets$973
No. of portfolio managers5
Size of research staff1
Thomas Barry III is chief investment officer; Stephen Shipman is client contact.
BlackRock (BLK) Inc. (BLK)
40 E. 52nd St., New York, NY 10022; phone: 212-810-5560; fax: 212-935-1370; www. blackrock.com
Dollars are in U.S. millions.
Total assets managed worldwide$341,760
Total worldwide institutional assets$319,888
Total U.S. assets$268,619
Total U.S. tax-exempt assets$108,389
Total U.S. institutional tax-exempt$108,384
Internally managed$108,384
Asset mix:
Equity5%
Fixed income90%
Cash2%
Alternatives3%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,311
U.S. equity, enhanced index$2,169
Foreign equity, active$2,006
U.S. bond, active$82,223
U.S. bond, enhanced index$8,325
Foreign bond, active$1,128
High-yield bonds$507
Mortgage-backed securities$4,990
Hedge funds$2,452
Cash$3,273
Active domestic equity strategies:
Growth:
Small cap$177
Broad market$75
Value:
Small cap$745
Broad market$314
Domestic fixed-income strategies:
Sector rotation$24,202
Stable value$12,841
Core$60,130
Worldwide mutual fund assets$93,834
Defined contribution assets:
Total$18,111
Internally managed$18,111
Plan type:
Corporate 401(k)$11,663
457$1,064
403(b)$494
Other$4,890
Investment vehicle:
Separate accounts$18,111
No. of portfolio managers125
Size of research staff307
The parent is PNC Financial Services Group Inc.
Robert Kapito is chief investment officer; Barbara Novick is client contact; Katherine Cahill is DC client contact.
The assets of the following subsidiaries are included in the figures above: BlackRock Advisors Inc.; BlackRock Capital Management Inc.; BlackRock Financial Management Inc.; BlackRock Institutional Management Corp.; BlackRock International Ltd.
BlackRock Realty Advisors Inc.
10 Park Ave., Morristown, NJ 07962; phone: 973-355-4500; fax: 973-355-4699; www. blackrock.com
Dollars are in U.S. millions.
Total assets managed worldwide$6,315
Total worldwide institutional assets$6,315
Total U.S. assets$6,315
Total U.S. tax-exempt assets$6,308
Total U.S. institutional tax-exempt$6,308
Internally managed$6,308
Asset mix:
Equity real estate98%
Cash2%
Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic$6,173
Cash$135
No. of portfolio managers15
The parent is BlackRock Inc.
Frederich Lieblich is chief investment officer; Eileen Byrne is client contact.
William Blair & Co. LLC
222 W. Adams St., Chicago, IL 60606; phone: 312-236-1600; fax: 312-364-5100; www.williamblair.com
Dollars are in U.S. millions.
Total assets managed worldwide$26,186
Total worldwide institutional assets$13,652
Total U.S. assets$25,647
Total U.S. tax-exempt assets$7,816
Total U.S. institutional tax-exempt$6,776
Internally managed$6,776
Asset mix:
Equity94%
Fixed income6%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$3,736
Foreign equity, active$2,636
U.S. bond, active$404
Active domestic equity strategies:
Growth:
Large cap$560
Midcap$1,068
Small cap$330
Broad market$1,483
Value:
Small cap$295
Domestic fixed-income strategies:
Core$404
Worldwide mutual fund assets$5,838
Defined contribution assets:
Total$406
Internally managed$406
Plan type:
Corporate 401(k)$317
Taft-Hartley$56
403(b)$33
Investment vehicle:
Separate accounts$406
No. of portfolio managers34
Size of research staff8
Michelle Seitz is chief investment officer; Katie Spirrison is client contact.
Blaylock Abacus Asset Management Inc.
10 S. Wacker Drive, Suite 1835, Chicago, IL 60606; phone: 212-715-6622; fax: 212-715-3300; www.blaylocklp.com
Dollars are in U.S. millions.
Total assets managed worldwide$330
Total worldwide institutional assets$330
Total U.S. assets$330
Total U.S. tax-exempt assets$330
Total U.S. institutional tax-exempt$330
Internally managed$330
Asset mix:
Fixed income100%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active$266
U.S. bond, passive$7
High-yield bonds$29
Mortgage-backed securities$28
Domestic fixed-income strategies:
Sector rotation$283
Core$47
No. of portfolio managers1
Size of research staff1
The parent is Blaylock & Partners LP.
Cynthia Plouche is chief investment officer; Pharra Gosserand is client contact.
BNP Paribas Asset Management Inc.
200 Park Ave., Suite 4520, New York, NY 10166; phone: 212-681-3180; fax: 212-681-3188; www.bnpparibas-am.com
Dollars are in U.S. millions.
Total assets managed worldwide$228,876
Total worldwide institutional assets$121,656
Total U.S. assets$4,548
Total U.S. tax-exempt assets$3,565
Total U.S. institutional tax-exempt$3,565
Internally managed$3,565
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$72
Foreign equity, active$3,493
Active domestic equity strategies:
Growth:
Large cap$72
Worldwide mutual fund assets$99
No. of portfolio managers123
Size of research staff65
The parent is BNP Paribas.
Philippe Lespinard is chief investment officer; Christel Turcat is client contact.
The assets of BNP Paribas Fauchier Partners and Overlay Asset Management are included in the figures above.
BNY Asset Management
1633 Broadway, 13th Floor, New York, NY 10019; phone: 212-641-7900; fax: 212-641-6756; www.bankofny.com
Dollars are in U.S. millions.
Total assets managed worldwide$93,674
Total worldwide institutional assets$68,159
Total U.S. assets$93,674
Total U.S. tax-exempt assets$41,045
Total U.S. institutional tax-exempt$41,045
Internally managed$41,045
Asset mix:
Equity46%
Fixed income15%
Cash39%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,456
U.S. equity, passive$15,158
Foreign equity, index$2,447
U.S. bond, active$4,925
U.S. bond, passive$1,200
Cash$15,859
Active domestic equity strategies:
Growth:
Large cap$66
Small cap$1,390
Passive domestic equity strategies:
Growth:
Large cap$49
Value:
Large cap$262
Core:
Large cap$13,761
Midcap$506
Small cap$508
Domestic fixed-income strategies:
Core$4,925
Worldwide mutual fund assets$13,742
No. of portfolio managers120
Size of research staff29
The parent is Bank of New York.
Kevin J. Bannon is chief investment officer; Vincent J. Bailey is client contact.
The assets of Beacon Fiduciary Advisors and Ivy Asset Management Corp. are included in the figures above.
BNY Overlay Associates
1 Canada Square, London England E14 5AL; phone: (44) 207-964-6112; fax: (44) 207-964-6753; www.bankofny.com
Dollars are in U.S. millions.
Total assets managed worldwide$8,799
Total worldwide institutional assets$8,799
Total U.S. assets$8,133
Total U.S. tax-exempt assets$8,110
Total U.S. institutional tax-exempt$8,110
Internally managed$8,110
Asset mix:
Currency overlay100%
Overlay strategies:
Currency$8,110
No. of portfolio managers4
Size of research staff4
BNY Overlay Associates offers a systematic approach to currency management, applying its techniques to both hedging and currency alpha mandates.
The parent is Bank of New York.
Bogle Investment Management LP
57 River St., Suite 206, Wellesley, MA 02481; phone: 781-283-5000; fax: 781-283-5010; www.boglefunds.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,783
Total worldwide institutional assets$774
Total U.S. assets$1,272
Total U.S. tax-exempt assets$1,197
Total U.S. institutional tax-exempt$774
Internally managed$774
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$774
Active domestic equity strategies:
Core:
Small cap$774
Pure quantitative$774
Worldwide mutual fund assets$332
No. of portfolio managers2
Size of research staff3
John C. Bogle Jr. is chief investment officer; Lisa LaFrance is client contact.
Boston Advisors Inc.
1 Federal St., 26th Floor, Boston, MA 02110; phone: 617-348-3100; fax: 617-348-0081; www.bostonadvisors.com
Dollars are in U.S. millions.
Total assets managed worldwide$4,891
Total worldwide institutional assets$802
Total U.S. assets$4,891
Total U.S. tax-exempt assets$1,266
Total U.S. institutional tax-exempt$794
Internally managed$794
Asset mix:
Equity35%
Fixed income65%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$278
U.S. bond, active$516
Active domestic equity strategies:
Value:
Large cap$73
Core:
Small cap$11
Broad market$194
Pure quantitative$278
Domestic fixed-income strategies:
Core$461
Other$55
Worldwide mutual fund assets$2,740
No. of portfolio managers17
Size of research staff2
The parent is Advest Group Inc.
Michael Vogelzang is chief investment officer; Kristan Tammaro is client contact.
Boston Co. Asset Management LLC
1 Boston Place, Suite 024-0131, Boston, MA 02108; phone: 617-722-7029; fax: 617-722-7516; www.thebostoncompany.com
See entry for MELLON FINANCIAL CORP.
Boston Trust & Investment Management Co.
40 Court St., Boston, MA 02108; phone: 617-726-7362; fax: 617-227-2690; www.bostontrust.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,829
Total worldwide institutional assets$2,085
Total U.S. assets$3,829
Total U.S. tax-exempt assets$2,290
Total U.S. institutional tax-exempt$2,024
Internally managed$2,024
Asset mix:
Equity70%
Fixed income28%
Cash2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,383
U.S. bond, active$540
Cash$92
Active domestic equity strategies:
Growth:
Large cap$40
Value:
Large cap$10
Core:
Large cap$1,277
Midcap$10
Small cap$23
Domestic fixed-income strategies:
Core$540
Worldwide mutual fund assets$290
Defined contribution assets:
Total$122
Internally managed$122
Plan type:
Corporate 401(k)$20
Taft-Hartley$52
Other$50
Investment vehicle:
Separate accounts$52
Other commingled$70
No. of portfolio managers11
Size of research staff8
Domenic Colasacco is chief investment officer; Mark Cushing is client contact.
Bowen, Hanes & Co. Inc.
3290 Northside Parkway, Suite 880, Atlanta, GA 30327; phone: 404-995-0507; fax: 404-995-0324
Dollars are in U.S. millions.
Total assets managed worldwide$1,638
Total worldwide institutional assets$1,447
Total U.S. tax-exempt assets$1,300
Total U.S. institutional tax-exempt$1,300
Internally managed$1,300
Harold J. Bowen III is chief investment officer; David L. Kelly III is client contact.
Boyd Watterson Asset Management LLC
1801 E. Ninth St., Suite 1400, Cleveland, OH 44114; phone: 216-771-3450; fax: 216-771-4454
Dollars are in U.S. millions.
Total assets managed worldwide$3,675
Total worldwide institutional assets$3,027
Total U.S. assets$3,675
Total U.S. tax-exempt assets$2,817
Total U.S. institutional tax-exempt$2,629
Internally managed$2,629
Asset mix:
Equity24%
Fixed income71%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$455
U.S. bond, active$2,017
Cash$157
Active domestic equity strategies:
Growth:
Large cap$49
Value:
Large cap$406
Pure quantitative$455
Domestic fixed-income strategies:
Market timing/active duration$2,017
No. of portfolio managers10
Size of research staff2
The parent is Mercantile Bankshares Corp.
Clyde Bartter is chief investment officer; William Spetrino is client contact.
BPG Properties Ltd.
3000 Centre Square W., 1500 Market St., Philadelphia, PA 19102; phone: 215-496-0400; fax: 215-496-0431; www.bpgltd.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,590
Total worldwide institutional assets$2,369
Total U.S. assets$3,590
Total U.S. tax-exempt assets$2,294
Total U.S. institutional tax-exempt$2,294
Internally managed$2,294
Asset mix:
Equity real estate100%
Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic$2,294
Arthur Pasquarella is chief investment officer; Holly Reynolds is client contact.
BPI Global Asset Management LLP
1900 Summit Tower Blvd., Suite 450, Orlando, FL 32810; phone: 407-660-6100; fax: 407-667-5778
Dollars are in U.S. millions.
Total assets managed worldwide$4,927
Total worldwide institutional assets$2,635
Total U.S. assets$2,976
Total U.S. tax-exempt assets$2,173
Total U.S. institutional tax-exempt$2,173
Internally managed$2,173
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$2,173
Active international strategies:
Emerging markets equity$42
Worldwide mutual fund assets$714
No. of portfolio managers3
Size of research staff4
The parent is C.I. Fund Management Inc.
Daniel R. Jaworski is chief investment officer; Brian Ballew is client contact.
Bradford & Marzec Inc.
333 S. Hope St., Suite 4050, Los Angeles, CA 90071; phone: 213-687-9170; fax: 213-687-9189; www.bradfordmarzec.com
Dollars are in U.S. millions.
Total assets managed worldwide$4,506
Total worldwide institutional assets$4,460
Total U.S. assets$4,101
Total U.S. tax-exempt assets$4,101
Total U.S. institutional tax-exempt$4,101
Internally managed$4,101
Asset mix:
Fixed income100%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active$3,621
Foreign bond, active$128
High-yield bonds$352
Domestic fixed-income strategies:
Sector rotation$3,621
No. of portfolio managers5
Size of research staff8
Edward Bradford is chief investment officer; Sonja Strzoda is client contact.
Bramwell Capital Management Inc.
745 Fifth Ave., New York, NY 10151; phone: 212-308-0505; fax: 212-308-2554; www.bramwellfunds.com
Dollars are in U.S. millions.
Total assets managed worldwide$336
Total worldwide institutional assets$334
Total U.S. assets$336
Total U.S. tax-exempt assets$71
Total U.S. institutional tax-exempt$71
Internally managed$71
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$71
Active domestic equity strategies:
Growth:
Broad market$71
Worldwide mutual fund assets$265
No. of portfolio managers1
Size of research staff3
Elizabeth R. Bramwell is chief investment officer; Donald G. Allison is client contact.
Brandes Investment Partners LP
11988 El Camino Real, Suite 500, San Diego, CA 92130; phone: 858-755-0239; fax: 858-755-0916; www.brandes.com
Dollars are in U.S. millions.
Total assets managed worldwide$98,078
Total worldwide institutional assets$60,760
Total U.S. assets$69,469
Total U.S. tax-exempt assets$37,144
Total U.S. institutional tax-exempt$24,101
Internally managed$24,101
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$875
Foreign equity, active$23,193
U.S. bond, active$33
Active domestic equity strategies:
Value:
Large cap$2
Midcap$382
Small cap$433
Broad market$58
Active international strategies:
Emerging markets equity$122
Domestic fixed-income strategies:
Core$20
Other$13
Worldwide mutual fund assets$17,014
No. of portfolio managers42
Size of research staff30
Brent V. Woods is chief investment officer; Clifford Schireson is client contact.
Brandywine Asset Management Inc.
201 N. Walnut St., Wilmington, DE 19801; phone: 302-654-6162; fax: 302-654-6165; www.brandywine-online.com
See entry for LEGG MASON INC.
Stacey Braun Associates Inc.
377 Broadway, 8th Floor, New York, NY 10013-3934; phone: 212-226-7707; fax: 212-941-0759
Dollars are in U.S. millions.
Total assets managed worldwide$3,508
Total worldwide institutional assets$3,473
Total U.S. assets$3,508
Total U.S. tax-exempt assets$3,483
Total U.S. institutional tax-exempt$3,473
Internally managed$3,473
Asset mix:
Equity27%
Fixed income73%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$945
U.S. bond, active$2,528
Active domestic equity strategies:
Core:
Large cap$945
Domestic fixed-income strategies:
Core$2,528
Defined contribution assets:
Total$561
Internally managed$561
Plan type:
Taft-Hartley$561
Investment vehicle:
Separate accounts$561
No. of portfolio managers5
Martin H. Wexler is chief investment officer and DC client contact.
Bridgewater Associates Inc.
1 Glendinning Place, Westport, CT 06880; phone: 203-226-3030; fax: 203-291-7300; www.bwater.com
Dollars are in U.S. millions.
Total assets managed worldwide$101,895
Total worldwide institutional assets$101,895
Total U.S. assets$49,129
Total U.S. tax-exempt assets$47,270
Total U.S. institutional tax-exempt$47,270
Internally managed$47,270
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active$3,643
Foreign bond, active$10,554
Hedge funds$3,986
Active international strategies:
Emerging markets debt$346
Domestic fixed-income strategies:
Core$3,643
Overlay strategies:
Currency$15,801
Other$12,088
Internally managed underlying assets$12,088
No. of portfolio managers7
Size of research staff27
Bridgewater Associates Inc. offers currency and alpha overlay strategies.
Raymond T. Dalio is chief investment officer; Bill Mahoney is client contact.
Britannic Asset Management International
Britannic Court, 50 Bothwell St., Glasgow G2 6HR Scotland; phone: (44) 141-222-8000; fax: (44) 141-222-8345; www.britannicasset.com/international
Dollars are in U.S. millions.
Total assets managed worldwide$26,571
Total worldwide institutional assets$24,458
Total U.S. assets$388
Total U.S. tax-exempt assets$388
Total U.S. institutional tax-exempt$388
Internally managed$388
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$382
Cash$6
No. of portfolio managers49
The parent is Britannic Group PLC.
Peter Reid is chief investment officer; Jennifer Mair is client contact.
Alex. Brown Investment Management
217 E. Redwood St., Suite 1400, Baltimore, MD 21202; phone: 410-895-4802; fax: 410-895-4801; www.abimltd.com
Dollars are in U.S. millions.
Total assets managed worldwide$8,449
Total worldwide institutional assets$6,278
Total U.S. assets$7,309
Total U.S. tax-exempt assets$4,809
Total U.S. institutional tax-exempt$4,785
Internally managed$4,785
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$3,988
U.S. bond, active$427
Cash$370
Active domestic equity strategies:
Core:
Large cap$3,988
Domestic fixed-income strategies:
Other$427
Worldwide mutual fund assets$1,349
Defined contribution assets:
Total$250
Internally managed$250
Plan type:
Corporate 401(k)$55
Other$195
Investment vehicle:
Separate accounts$250
No. of portfolio managers10
Size of research staff2
Hutch Vernon is chief investment officer; Paul Schiminger is client contact.
Brown Brothers Harriman & Co.
140 Broadway, New York, NY 10005; phone: 212-483-1818; fax: 212-493-8791; www.bbh.com
Dollars are in U.S. millions.
Total assets managed worldwide$38,457
Total worldwide institutional assets$27,304
Total U.S. assets$30,792
Total U.S. tax-exempt assets$14,180
Total U.S. institutional tax-exempt$7,647
Internally managed$7,647
Asset mix:
Equity100%
Brown Capital Management Inc.
1201 N. Calvert St., Baltimore, MD 21202; phone: 410-837-3234; fax: 410-837-5783; www.browncapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$5,279
Total worldwide institutional assets$4,133
Total U.S. assets$5,279
Total U.S. tax-exempt assets$4,133
Total U.S. institutional tax-exempt$3,844
Internally managed$3,844
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$3,764
Foreign equity, active$70
Active domestic equity strategies:
Growth:
Large cap$1,665
Midcap$673
Small cap$1,426
Active international strategies:
Emerging markets equity$70
Worldwide mutual fund assets$689
No. of portfolio managers10
Eddie C. Brown is chief investment officer; Robert L. Young III is client contact.
Brown Investment Advisory & Trust Co.
901 S. Bond St., Suite 400, Baltimore, MD 21231; phone: 410-537-5400; fax: 410-537-6464; www.brownadvisory.com
Dollars are in U.S. millions.
Total assets managed worldwide$5,597
Total worldwide institutional assets$1,367
Total U.S. assets$5,597
Total U.S. tax-exempt assets$1,265
Total U.S. institutional tax-exempt$951
Internally managed$951
Asset mix:
Equity100%
The parent is Brown Advisory.
Charlie Constable is client contact.
Buckhead Capital Management LLC
1545 Peachtree St. N.E., Suite 550, Atlanta, GA 30309-7025; phone: 404-720-8800; fax: 404-720-8802; www.buckheadcapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,772
Total worldwide institutional assets$1,517
Total U.S. assets$1,772
Total U.S. tax-exempt$1,456
Total U.S. institutional tax-exempt$1,434
Internally managed$1,434
Asset mix:
Equity84%
Fixed income12%
Cash4%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,205
U.S. bond, active$172
Cash$57
Active domestic equity strategies:
Value:
Large cap$904
Midcap$17
Small cap$284
Domestic fixed-income strategies:
Core$172
No. of portfolio managers9
Size of research staff2
Eugene Pearce is chief investment officer; Terrence Miller is client contact.
Byram Capital Management LLC
41 W. Putnam Ave., Greenwich, CT 06830; phone: 203-869-5570; fax: 203-869-5688; www.byramcapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$970
Total worldwide institutional assets$918
Total U.S. assets$970
Total U.S. tax-exempt assets$750
Total U.S. institutional tax-exempt$744
Internally managed$744
Asset mix:
Equity99%
Fixed income1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$740
U.S. bond, active$4
Active domestic equity strategies:
Value:
Large cap$3
Midcap$2
Small cap$735
No. of portfolio managers3
Size of research staff1
Seth Lynn Jr. is chief investment officer; Robert Follert is client contact.
Cadence Capital Management LLC
265 Franklin St., 11th Floor, Boston, MA 02110; phone: 617-624-3500; fax: 617-624-3590; www.cadencecapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$6,024
Total worldwide institutional assets$6,024
Total U.S. assets$6,024
Total U.S. tax-exempt assets$3,455
Total U.S. institutional tax-exempt$3,455
Internally managed$3,455
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$3,455
Active domestic equity strategies:
Growth:
Large cap$2,055
Midcap$601
Small cap$88
Worldwide mutual fund assets$2,492
No. of portfolio managers2
Size of research staff9
The parent is Allianz Global Investors.
William Bannick is chief investment officer; Michael Skillman is client contact.
Calamos Advisors (CLMS) LLC (CLMS)
1111 E. Warrenville Road, Naperville, IL 60563; phone: 800-582-6959; fax: 630-245-6335; www.calamos.com
Dollars are in U.S. millions.
Total assets managed worldwide$37,975
Total worldwide institutional assets$6,526
Total U.S. assets$37,667
Total U.S. tax-exempt assets$5,617
Total U.S. institutional tax-exempt$3,479
Internally managed$3,479
Asset mix:
Equity26%
Convertibles74%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$900
Convertibles$2,579
Active domestic equity strategies:
Growth:
Broad market$900
Worldwide mutual fund assets$27,241
Defined contribution assets:
Total$615
Internally managed$615
Plan type:
Corporate 401(k)$28
Taft-Hartley$325
Other$262
Investment vehicle:
Separate accounts$615
No. of portfolio managers3
Size of research staff18
The parent is Calamos Holdings LLC.
John Calamos Sr. is chief investment officer; Maryann Bianchini is client contact.
Calvert Asset Management Co. Inc.
4550 Montgomery Ave., Suite 1000N, Bethesda, MD 20814; phone: 800-327-2109; fax: 301-654-7820; www.calvert.com
Dollars are in U.S. millions.
Total assets managed worldwide$10,291
Total worldwide institutional assets$2,571
Total U.S. assets$10,291
Total U.S. tax-exempt assets$2,571
Total U.S. institutional tax-exempt$2,571
Assigned to external managers$1,400
Internally managed$1,171
Asset mix:
Fixed income77%
Cash23%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active$901
Cash$270
Domestic fixed-income strategies:
Core$901
Worldwide mutual fund assets$10,291
Defined contribution assets:
Total$808
Internally managed$448
Plan type:
403(b)$100
Other$348
Investment vehicle:
Mutual funds$448
No. of portfolio managers6
Size of research staff14
The parent is Ameritas Acacia Cos.
Steve Falci is chief investment officer; Christine Teske is client contact.
Cambiar Investors LLC
2401 E. Second Ave., Suite 400, Denver, CO 80206; phone: 303-302-9000; fax: 303-302-9050; www.cambiar.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,406
Total worldwide institutional assets$1,939
Total U.S. assets$3,406
Total U.S. tax-exempt assets$2,677
Total U.S. institutional tax-exempt$1,939
Internally managed$1,939
Asset mix:
Equity95%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,939
Active domestic equity strategies:
Value:
Large cap$1,937
Small cap$2
Worldwide mutual fund assets$204
Defined contribution assets:
Total$51
Internally managed$51
Plan type:
Corporate 401(k)$51
Investment vehicle:
Separate accounts$51
No. of portfolio managers5
Size of research staff2
Brian Barish is chief investment officer; Nancy Wigton is client contact.
Camden Asset Management LP
2049 Century Park E., Suite 330, Los Angeles, CA 90067; phone: 310-785-9755; fax: 310-785-9780; www.camdenassetmanagement.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,298
Total worldwide institutional assets$3,258
Total U.S. assets$2,900
Total U.S. tax-exempt assets$2,141
Total U.S. institutional tax-exempt$2,141
Internally managed$2,141
Asset mix:
Equity66%
Fixed income34%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, enhanced index$1,059
U.S. bond, enhanced index$962
Hedge funds$120
Overlay strategies:
Derivative strategies$1,546
Internally managed underlying assets$1,546
Defined contribution assets:
Total$111
Internally managed$111
Plan type:
Corporate 401(k)$111
Investment vehicle:
Separate accounts$111
No. of portfolio managers6
John Wagner is chief investment officer; Barbara Detwiler is client contact.
Campbell Group LLC
1 S.W. Columbia, Suite 1700, Portland, OR 97258-2084; phone: 503-275-9675; fax: 503-275-9667; www.campbellgroup.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,396
Total worldwide institutional assets$1,396
Total U.S. assets$1,396
Total U.S. tax-exempt assets$1,396
Total U.S. institutional tax-exempt$1,396
Internally managed$1,396
Asset mix:
Equity real estate100%
Internal U.S. institutional tax-exempt assets in:
Timber$1,396
No. of portfolio managers7
Size of research staff16
The parent is Old Mutual (US) Holdings Inc.
John Gilleland is chief investment officer; Angie Davis is client contact.
Campbell Newman Asset Management Inc.
12080 N. Corporate Parkway, Suite 130, Mequon, WI 53092; phone: 262-243-7000; fax: 262-243-7200; www.campbellnewman.com
Dollars are in U.S. millions.
Total assets managed worldwide$691
Total worldwide institutional assets$372
Total U.S. assets$691
Total U.S. tax-exempt assets$403
Total U.S. institutional tax-exempt$372
Internally managed$372
Asset mix:
Equity28%
Fixed income65%
Cash7%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$103
U.S. bond, active$243
Cash$26
Active domestic equity strategies:
Growth:
Broad market$44
Pure quantitative$44
Domestic fixed-income strategies:
Core$227
Defined contribution assets:
Total$129
Internally managed$129
Plan type:
Taft-Hartley$75
Other$54
Investment vehicle:
Separate accounts$129
No. of portfolio managers4
Size of research staff2
Mary C. Brown is chief investment officer and client contact.
Canyon Capital Advisors LLC
9665 Wilshire Blvd., Suite 200, Beverly Hills, CA 90212; phone: 310-247-2700; fax: 310-247-2711; www.canyonpartners.com
Dollars are in U.S. millions.
Total assets managed worldwide$7,600
Total worldwide institutional assets$5,300
Total U.S. tax-exempt assets$500
Total U.S. institutional tax-exempt$500
Internally managed$500
Asset mix:
Equity16%
Fixed income39%
Cash14%
Other31%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$81
High-yield bonds$195
Convertibles$33
Other private equity, domestic$34
Distressed debt$87
Cash$70
Chris Evensen is chief investment officer and client contact.
Canyon Capital Realty Advisors LLC
9665 Wilshire Blvd., Suite 200, Beverly Hills, CA 90212; phone: 310-247-2700; fax: 310-247-8067; www.canyoncapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$822
Total worldwide institutional assets$822
Total U.S. assets$822
Total U.S. tax-exempt assets$436
Total U.S. institutional tax-exempt$436
Internally managed$436
Asset mix:
Fixed income52%
Equity real estate48%
Internal U.S. institutional tax-exempt assets in:
Mortgages$225
Equity real estate, domestic$211
Canyon Capital Realty Advisors LLC focuses on providing debt and equity capital to developers.
Bobby Turner is client contact.
Capital Guardian Trust Co.
333 S. Hope St., 51st Floor, Los Angeles, CA 90071; phone: 213-486-9200; fax: 213-486-9625; www.capgroup.com
Dollars are in U.S. millions.
Total assets managed worldwide$162,136
Total worldwide institutional assets$162,136
Total U.S. assets$140,912
Total U.S. tax-exempt assets$134,324
Total U.S. institutional tax-exempt$134,342
Internally managed$134,342
Asset mix:
Equity92%
Fixed income8%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$31,252
Foreign equity, active$93,176
U.S. bond, active$4,035
Foreign bond, active$4,459
High-yield bonds$1,120
Convertibles$300
Active domestic equity strategies:
Growth:
Large cap$833
Value:
Large cap$2,645
Core:
Large cap$24,199
Small cap$3,574
Active international strategies:
Emerging markets equity$1,490
Emerging markets debt$2,103
Domestic fixed-income strategies:
Market timing/active duration$241
Core$3,794
High yield$655
Defined contribution assets:
Total$7,231
Internally managed$7,231
Plan type:
Corporate 401(k)$5,960
457$333
403(b)$140
Other$798
Investment vehicle:
Separate accounts$2,650
Other commingled$4,581
No. of portfolio managers38
Size of research staff99
The parent is Capital Group Cos. Inc.
David Fisher is chief investment officer; John Seiter is client contact; Kyle Colburn is DC client contact.
Capital Management Corp.
9030 Stony Point Parkway, Suite 150, Richmond, VA 23235; phone: 804-560-0301; fax: 804-560-0401; www.the-cmc.com
Dollars are in U.S. millions.
Total assets managed worldwide$259
Total worldwide institutional assets$55
Total U.S. assets$259
Total U.S. tax-exempt assets$76
Total U.S. institutional tax-exempt$48
Internally managed$48
Asset mix:
Equity91%
Fixed income9%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$40
U.S. bond, active$7
Cash$1
Active domestic equity strategies:
Growth:
Broad market$40
Domestic fixed-income strategies:
Market timing/active duration$7
No. of portfolio managers4
James F. Jollay is chief investment officer; Richard Murphy is client contact.
Capital Research & Management Co.
333 S. Hope St., 50th Floor, Los Angeles, CA 90071; phone: 213-486-9000; fax: 213-486-9217; www.americanfunds.com
Dollars are in U.S. millions.
Total assets managed worldwide$703,632
Total worldwide institutional assets$167,913
Total U.S. tax-exempt assets$289,012
Total U.S. institutional tax-exempt$167,913
Internally managed$167,913
Worldwide mutual fund assets$703,632
Defined contribution assets:
Total$167,913
Internally managed$167,913
Investment vehicle:
Mutual funds$167,913
No. of portfolio managers39
Size of research staff100
The parent is Capital Group Cos. Inc.
Jim Rothenberg is chief investment officer; Drew Taylor is client contact; Lorin Liesy is DC client contact.
Capri Capital Advisors
875 N. Michigan Ave., Suite 3430, Chicago, IL 60611; phone: 312-573-5300; fax: 312-573-5270; www.capricapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,282
Total worldwide institutional assets$2,282
Total U.S. assets$2,282
Total U.S. tax-exempt assets$2,282
Total U.S. institutional tax-exempt$2,282
Internally managed$2,282
Asset mix:
Fixed income4%
Equity real estate90%
Other6%
Internal U.S. institutional tax-exempt assets in:
Mortgages$86
Equity real estate, domestic$2,004
Private placements, domestic$192
Donald J. Meyer is chief investment officer; Quintin E. Primo III is client contact.
Cardinal Capital Management LLC
1 Fawcett Place, Greenwich, CT 06830; phone: 203-863-8990; fax: 203-861-4112; www.cardcap.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,093
Total worldwide institutional assets$847
Total U.S. assets$1,093
Total U.S. tax-exempt assets$847
Total U.S. institutional tax-exempt$847
Internally managed$847
Asset mix:
Equity95%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$805
Cash$42
Active domestic equity strategies:
Value:
Small cap$805
Worldwide mutual fund assets$65
Defined contribution assets:
Total$9
Internally managed$9
Plan type:
Corporate 401(k)$9
Investment vehicle:
Separate accounts$9
No. of portfolio managers3
Size of research staff2
Amy Kistulinec is client contact.
Castleark Management LLC
1 N. Wacker Drive, Suite 3950, Chicago, IL 60606; phone: 312-456-9682; fax: 312-456-9690; www.castleark.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,438
Total worldwide institutional assets$1,314
Total U.S. assets$1,438
Total U.S. tax-exempt assets$1,314
Total U.S. institutional tax-exempt$1,314
Internally managed$1,314
Asset mix:
Equity76%
Fixed income24%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$971
U.S. bond, active$342
Active domestic equity strategies:
Growth:
Large cap$639
Midcap$151
Small cap$72
Domestic fixed-income strategies:
Core$342
No. of portfolio managers6
Size of research staff3
Jerome Castellini is chief investment officer; Steve Manus is client contact.
Causeway Capital Management LLC
11111 Santa Monica Blvd., Suite 1550, Los Angeles, CA 90025; phone: 310-231-6100; fax: 310-231-6176; www.causewaycap.com
Dollars are in U.S. millions.
Total assets managed worldwide$10,820
Total worldwide institutional assets$8,485
Total U.S. assets$10,162
Total U.S. tax-exempt assets$6,413
Total U.S. institutional tax-exempt$6,413
Internally managed$6,413
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$6,413
Worldwide mutual fund assets$2,335
No. of portfolio managers4
Size of research staff7
Ed Clarke is client contact.
Cavanaugh Capital Management Inc.
515 Fairmount Ave., Suite 400, Baltimore, MD 21286; phone: 410-769-6125; fax: 410-321-4468; www.cavcap.com
Dollars are in U.S. millions.
Total assets managed worldwide$852
Total worldwide institutional assets$610
Total U.S. assets$852
Total U.S. tax-exempt assets$477
Total U.S. institutional tax-exempt$462
Internally managed$462
Asset mix:
Equity12%
Fixed income85%
Cash3%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, passive$42
Foreign equity, index$11
U.S. bond, active$393
Cash$16
Passive domestic equity strategies:
Core:
Large cap$34
Small cap$8
Domestic fixed-income strategies:
Sector rotation$292
Core$101
No. of portfolio managers1
Size of research staff4
James Dugan is chief investment officer; Jack Cavanaugh is client contact.
Caywood-Scholl Capital Management LLC
4350 Executive Drive, Suite 125, San Diego, CA 92121-2110; phone: 858-452-3811; fax: 858-535-9068
See entry for RCM CAPITAL MANAGEMENT LLC.
Asset mix:
Equity100%
CB Richard Ellis Investors LLC
865 S. Figueroa St., Suite 3500, Los Angeles, CA 90017-2543; phone: 213-683-4200; fax: 213-683-4301; www.cbreinvestors.com
Dollars are in U.S. millions.
Total assets managed worldwide$15,076
Total worldwide institutional assets$14,035
Total U.S. assets$6,183
Total U.S. tax-exempt assets$5,523
Total U.S. institutional tax-exempt$5,523
Internally managed$5,523
Asset mix:
Equity6%
Equity real estate89%
Other5%
Internal U.S. institutional tax-exempt assets in:
REITs$319
Equity real estate, domestic$4,932
Other private equity, domestic$94
Other private equity, international$178
The parent is CB Richard Ellis Inc.
Robert Zerbst is chief investment officer; Michael McMenomy is client contact.
CDK Realty Advisors
2301 N. Akard St., Suite 100, Dallas, TX 75201; phone: 214-253-2140; fax: 214-253-2141; www.cdkrealtyadvisors.com
Dollars are in U.S. millions.
Total assets managed worldwide$398
Total worldwide institutional assets$398
Total U.S. assets$398
Total U.S. tax-exempt assets$398
Total U.S. institutional tax-exempt$398
Internally managed$398
Asset mix:
Equity real estate100%
Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic$398
Defined contribution assets:
Total$398
Internally managed$398
Plan type:
401(a)$398
Investment vehicle:
Separate accounts$398
No. of portfolio managers4
Size of research staff1
CDK Realty Advisors' investment philosophy is based on the concept of strategic partnering, implemented with midsize real estate developers and owners.
Brent Kroener is chief investment officer; Kenneth Cooley is client contact.
Cedar Capital Management
200 Huron View Blvd., Ann Arbor, MI 48103-2948; phone: 734-996-8400; fax: 734-996-8361; www.cedarcapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$49
Total worldwide institutional assets$15
Total U.S. assets$49
Total U.S. tax-exempt assets$44
Total U.S. institutional tax-exempt$15
Internally managed$15
Asset mix:
Equity90%
Fixed income5%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$13
U.S. bond, active$1
Cash$1
Active domestic equity strategies:
Growth:
Large cap$3
Midcap$7
Small cap$3
No. of portfolio managers2
Stephen J. Seymour is chief investment officer; James T. Foran is client contact.
Century Management
805 Las Cimas Parkway, Suite 430, Austin, TX 78746; phone: 512-329-0050; fax: 512-329-0816; www.centman.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,057
Total worldwide institutional assets$241
Total U.S. assets$1,816
Total U.S. tax-exempt assets$872
Total U.S. institutional tax-exempt$202
Internally managed$202
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$62
U.S. bond, active$1
Cash$139
Active domestic equity strategies:
Value:
Large cap$12
Midcap$21
Small cap$29
James Brilliant is chief investment officer; Scott Van Den Berg is client contact.
Chandler Asset Management Inc.
9255 Towne Centre Drive, Suite 350, San Diego, CA 92121; phone: 858-546-3737; fax: 858-546-3741; www.chandlerasset.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,369
Total worldwide institutional assets$2,369
Total U.S. assets$2,369
Total U.S. tax-exempt assets$2,045
Total U.S. institutional tax-exempt$2,045
Internally managed$2,045
Asset mix:
Fixed income99%
Cash1%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active$2,045
No. of portfolio managers4
Kay Chandler is chief investment officer and client contact.
Charlesbank Capital Partners LLC
600 Atlantic Ave., 26th Floor, Boston, MA 02210; phone: 617-619-5400; fax: 617-227-7728; www.charlesbank.com
Dollars are in U.S. millions.
Total assets managed worldwide$976
Total worldwide institutional assets$922
Total U.S. assets$912
Total U.S. tax-exempt assets$763
Total U.S. institutional tax-exempt$763
Internally managed$763
Asset mix:
Buyouts100%
Internal U.S. institutional tax-exempt assets in:
Buyout funds$763
No. of portfolio managers14
Charlesbank Capital Partners LLC invests in established middle-market and growth companies, delivering attractive returns with carefully controlled risk.
Michael Eisenson is chief investment officer; Michael Thonis is client contact.
Charlotte Capital LLC
10800 Sikes Place, Suite 110, Charlotte, NC 28277; phone: 704-246-2420; www.charlottecapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$429
Total worldwide institutional assets$418
Total U.S. assets$429
Total U.S. tax-exempt assets$411
Total U.S. institutional tax-exempt$411
Internally managed$411
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$411
Active domestic equity strategies:
Value:
Midcap$14
Small cap$397
Defined contribution assets:
Total$8
Internally managed$8
Plan type:
Other$8
Investment vehicle:
Separate accounts$8
No. of portfolio managers1
Size of research staff2
Ronald B. Saba is chief investment officer; Robert W. Mathai is client contact.
Chartwell Investment Partners
1235 Westlakes Drive, Suite 400, Berwyn, PA 19312; phone: 610-296-1400; fax: 610-722-5644; www.chartwellip.com
Dollars are in U.S. millions.
Total assets managed worldwide$6,400
Total worldwide institutional assets$6,250
Total U.S. assets$6,400
Total U.S. tax-exempt assets$5,970
Total U.S. institutional tax-exempt$5,970
Internally managed$5,970
Asset mix:
Equity77%
Fixed income23%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$4,600
U.S. bond, active$970
High-yield bonds$400
Active domestic equity strategies:
Growth:
Midcap$25
Small cap$1,140
Value:
Large cap$1,595
Small cap$740
Core:
Large cap$300
Domestic fixed-income strategies:
Stable value$1,370
Worldwide mutual fund assets$42
Defined contribution assets:
Total$890
Internally managed$890
Plan type:
Corporate 401(k)$130
Taft-Hartley$51
Other$709
Investment vehicle:
Separate accounts$890
No. of portfolio managers20
Size of research staff10
Michael McCloskey is client contact.
Chase Investment Counsel Corp.
300 Preston Ave., Suite 403, Charlottesville, VA 22902-5091; phone: 434-293-9104; fax: 434-293-9002; www.chaseinv.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,681
Total worldwide institutional assets$3,006
Total U.S. assets$3,681
Total U.S. tax-exempt assets$2,750
Total U.S. institutional tax-exempt$2,750
Internally managed$2,750
Asset mix:
Equity95%
Fixed income1%
Cash4%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$2,613
U.S. bond, active$28
Cash$109
Active domestic equity strategies:
Growth:
Large cap$2,312
Midcap$57
Broad market$10
Domestic fixed-income strategies:
Other$28
Worldwide mutual fund assets$231
Defined contribution assets:
Total$133
Internally managed$133
Plan type:
Other$133
Investment vehicle:
Separate accounts$133
No. of portfolio managers3
Size of research staff2
Derwood S. Chase Jr. is chief investment officer and DC client contact; Brian Lazorishak is client contact.
Chelsea Management Co.
444 S. Flower St., Suite 2340, Los Angeles, CA 90071; phone: 213-362-9200; fax: 213-627-7463
Dollars are in U.S. millions.
Total assets managed worldwide$1,015
Total worldwide institutional assets$742
Total U.S. assets$1,015
Total U.S. tax-exempt assets$303
Total U.S. institutional tax-exempt$259
Internally managed$259
Asset mix:
Equity24%
Fixed income76%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$68
U.S. bond, active$190
Domestic fixed-income strategies:
Core$165
No. of portfolio managers5
Size of research staff1
Frederick J. Ruopp Sr. is chief investment officer; Sally Gallagher is client contact.
Chicago Asset Management Co.
70 W. Madison St., Suite 400, Chicago, IL 60602-4205; phone: 312-372-2800; fax: 312-372-8489; www.chicagoasset.com
Dollars are in U.S. millions.
Total assets managed worldwide$867
Total worldwide institutional assets$777
Total U.S. assets$867
Total U.S. tax-exempt assets$777
Total U.S. institutional tax-exempt$777
Internally managed$777
Asset mix:
Equity49%
Fixed income51%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$384
U.S. bond, active$393
Active domestic equity strategies:
Growth:
Broad market$6
Value:
Large cap$378
Domestic fixed-income strategies:
Core$393
Worldwide mutual fund assets$59
No. of portfolio managers6
Size of research staff1
Jon F. Holsteen is chief investment officer; Tom Harmon is client contact.
Chicago Equity Partners LLC
180 N. LaSalle St., Suite 3800, Chicago, IL 60601; phone: 312-629-8200; fax: 312-629-2728
Dollars are in U.S. millions.
Total assets managed worldwide$7,888
Total worldwide institutional assets$7,760
Total U.S. assets$7,269
Total U.S. tax-exempt assets$7,225
Total U.S. institutional tax-exempt$7,225
Internally managed$7,225
Asset mix:
Equity93%
Fixed income7%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$6,709
U.S. bond, active$475
Active domestic equity strategies:
Growth:
Large cap$206
Value:
Large cap$190
Core:
Large cap$4,754
Midcap$1,478
Small cap$81
Pure quantitative$6,709
Domestic fixed-income strategies:
Core$147
Other$328
No. of portfolio managers10
Size of research staff5
David C. Coughenour and Michael Millhouse are co-chief investment officers; Patrick Lynch is client contact.
Christian Brothers Investment Services Inc.
90 Park Ave., 29th Floor, New York, NY 10016; phone: 800-592-8890; fax: 212-490-6092; www.cbisonline.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,894
Total worldwide institutional assets$3,894
Total U.S. assets$3,894
Total U.S. tax-exempt assets$3,894
Total U.S. institutional tax-exempt$3,894
Assigned to external managers$3,894
Frank Haines is chief investment officer; Howard Hawkins is client contact.
Citigroup Asset Management
399 Park Ave., 4th Floor, New York, NY 10022; phone: 212-559-0104; fax: 212-793-1055; www.citigroupam.com
Dollars are in U.S. millions.
Total assets managed worldwide$513,668
Total worldwide institutional assets$260,860
Total U.S. assets$272,096
Total U.S. tax-exempt assets$69,319
Total U.S. institutional tax-exempt$37,701
Internally managed$37,701
Asset mix:
Equity53%
Fixed income38%
Cash6%
Other3%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$17,390
U.S. equity, enhanced index$1,252
Foreign equity, active$760
U.S. bond, active$8,917
Foreign bond, active$2,993
High-yield bonds$1,479
Mortgages$406
Mortgage-backed securities$551
Convertibles$499
Cash$2,267
Active international strategies:
Emerging markets equity$760
Emerging markets debt$2,993
Worldwide mutual fund assets$167,232
Defined contribution assets:
Total$9,837
Internally managed$9,837
Plan type:
Corporate 401(k)$8,551
Other 401(k)$1,281
Taft-Hartley$5
Investment vehicle:
Mutual funds$7,045
Variable annuities$1,506
Separate accounts$1,286
No. of portfolio managers194
Size of research staff150
The parent is Citigroup Inc.
Michael Even is chief investment officer; Patrick McNelis is client contact; Evan Merberg is DC client contact.
City Capital Inc.
1100 Peachtree St., Suite 1500, Atlanta, GA 30309; phone: 404-874-1110; fax: 404-874-9793
Dollars are in U.S. millions.
Total assets managed worldwide$953
Total worldwide institutional assets$695
Total U.S. assets$580
Total U.S. tax-exempt assets$451
Total U.S. institutional tax-exempt$434
Internally managed$434
Asset mix:
Equity8%
Fixed income88%
Cash4%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$33
U.S. bond, active$385
Cash$16
Active domestic equity strategies:
Value:
Large cap$33
Domestic fixed-income strategies:
Core$385
Defined contribution assets:
Total$16
Internally managed$16
Plan type:
Other$16
Investment vehicle:
Separate accounts$16
No. of portfolio managers5
Size of research staff1
Willis Dobbs is chief investment officer; Hunter Groton is client contact.
City of London Investment Management Co. Ltd.
10 Eastcheap, London EC3M 1LX England; phone: (44) 207-711-0771; fax: (44) 207-711-0772; www.citlon.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,356
Total worldwide institutional assets$1,323
Total U.S. assets$922
Total U.S. tax-exempt assets$922
Total U.S. institutional tax-exempt$922
Internally managed$922
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$922
Active international strategies:
Emerging markets equity$922
No. of portfolio managers5
Size of research staff3
The parent is City of London Investment Group PLC.
Barry Olliff is chief investment officer; Rich Murphy is client contact.
City National Bank
400 N. Roxbury Drive, Suite 600, Beverly Hills, CA 90210; phone: 310-888-6300; fax: 310-888-6278; www.cnb.com
Dollars are in U.S. millions.
Total assets managed worldwide$10,405
Total worldwide institutional assets$2,438
Total U.S. assets$10,405
Total U.S. tax-exempt assets$2,299
Total U.S. institutional tax-exempt$1,526
Internally managed$1,526
Asset mix:
Equity52%
Fixed income39%
Equity real estate2%
Cash7%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$794
U.S. bond, active$571
High-yield bonds$24
Equity real estate, domestic$31
Cash$106
Active domestic equity strategies:
Core:
Large cap$172
Midcap$27
Small cap$595
Domestic fixed-income strategies:
Core$571
Worldwide mutual fund assets$3,866
Defined contribution assets:
Total$120
Internally managed$120
Plan type:
Corporate 401(k)$2
401(a)$99
Other$19
No. of portfolio managers21
Size of research staff10
The parent is City National Corp.
Richard Weiss is chief investment officer; Antony Orme is client contact.
The assets of the following subsidiaries are included in the figures above:
Reed, Conner & Birdwell LLC manages $3.553 billion in total assets and $1.2 billion in U.S. institutional tax-exempt assets. Jeffrey Bronchick is chief investment officer, and Daryl Ann Weber is client contact at 310-689-2711.
Clay Finlay Inc.
200 Park Ave., 56th Floor, New York, NY 10166; phone: 212-692-8000; fax: 212-557-9350; www.clayfinlay.com
Dollars are in U.S. millions.
Total assets managed worldwide$7,023
Total worldwide institutional assets$6,782
Total U.S. assets$2,480
Total U.S. tax-exempt assets$2,151
Total U.S. institutional tax-exempt$2,151
Internally managed$2,151
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$2,151
Active international strategies:
Emerging markets equity$87
No. of portfolio managers3
Size of research staff9
The parent is Old Mutual (US) Holdings Inc.
Robert Schletter is chief investment officer; Lesley Stiska is client contact.
Clifton Group Investment Management Co.
309 Clifton Ave., Minneapolis, MN 55403; phone: 612-870-8800; fax: 612-870-0012; www.thecliftongroup.com
Dollars are in U.S. millions.
Total assets managed worldwide$4,687
Total worldwide institutional assets$4,678
Total U.S. assets$4,533
Total U.S. tax-exempt assets$4,450
Total U.S. institutional tax-exempt$4,448
Internally managed$4,448
Asset mix:
Equity24%
Fixed income15%
Futures61%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, passive$1,466
U.S. equity, enhanced index$1,275
Foreign equity, index$361
U.S. bond, passive$668
U.S. bond, enhanced index$677
Domestic fixed-income strategies:
Core$677
Overlay strategies:
Derivative strategies$2,729
Internally managed underlying assets$390
Defined contribution assets:
Total$52
Internally managed$52
Plan type:
Corporate 401(k)$52
Investment vehicle:
Separate accounts$52
No. of portfolio managers4
Size of research staff4
Clifton Group Investment Management Co. uses futures contracts to fully invest the fund to policy targets and maintain asset allocations at target levels.
The parent is DFG Holdings LLC.
Jack L. Hansen is chief investment officer; Ben Lazarus is client contact.
Clover Capital Management Inc.
400 Meridian Center, Suite 200, Rochester, NY 14618; phone: 585-385-6090; fax: 585-385-9068; www.clovercap.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,524
Total worldwide institutional assets$1,851
Total U.S. assets$2,524
Total U.S. tax-exempt assets$1,334
Total U.S. institutional tax-exempt$1,077
Internally managed$1,077
Asset mix:
Equity63%
Fixed income37%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$683
U.S. bond, active$394
Active domestic equity strategies:
Value:
Large cap$1
Midcap$138
Small cap$358
Broad market$60
Pure quantitative$1
Worldwide mutual fund assets$693
Defined contribution assets:
Total$139
Internally managed$139
Plan type:
Corporate 401(k)$51
Taft-Hartley$76
Other$12
Investment vehicle:
Separate accounts$139
Michael Jones is chief investment officer; Daniel Burnside is client contact; George Stone is DC client contact.
Cohen & Steers Capital Management (CNS) Inc. (CNS)
757 Third Ave., 20th Floor, New York, NY 10017; phone: 212-832-3232; fax: 212-832-3498; www.cohenandsteers.com
Dollars are in U.S. millions.
Total assets managed worldwide$18,301
Total worldwide institutional assets$4,102
Total U.S. assets$17,407
Total U.S. tax-exempt assets$2,568
Total U.S. institutional tax-exempt$2,568
Internally managed$2,568
Asset mix:
Equity98%
Cash2%
Internal U.S. institutional tax-exempt assets in:
REITs$2,517
Cash$51
Active domestic equity strategies:
Core:
Broad market$2,568
Worldwide mutual fund assets$14,183
No. of portfolio managers6
Size of research staff8
The parent is Cohen & Steers Inc.
Martin Cohen is chief investment officer; William Frischling is client contact.
Cohen, Klingenstein & Marks Inc.
2112 Broadway, Suite 417, New York, NY 10023; phone: 212-799-4880; fax: 212-799-2922
Dollars are in U.S. millions.
Total assets managed worldwide$1,784
Total worldwide institutional assets$1,340
Total U.S. assets$1,655
Total U.S. tax-exempt assets$1,340
Total U.S. institutional tax-exempt$1,340
Internally managed$1,340
Asset mix:
Equity99%
Cash1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,340
Active domestic equity strategies:
Growth:
Large cap$1,340
Defined contribution assets:
Total$363
Internally managed$363
Plan type:
Corporate 401(k)$352
Taft-Hartley$11
Investment vehicle:
Separate accounts$363
No. of portfolio managers6
George Cohen is chief investment officer; Richard Blum III is client contact.
Colchester Global Investors Ltd.
Heathcoat House, 20 Savile Row, London England W1S 3PR; phone: (44) 207-468-5980; fax: (44) 207-468-5995; www.colchesterglobal.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,058
Total worldwide institutional assets$3,009
Total U.S. assets$1,672
Total U.S. tax-exempt assets$1,577
Total U.S. institutional tax-exempt$1,557
Internally managed$1,557
Asset mix:
Fixed income100%
Internal U.S. institutional tax-exempt assets in:
Foreign bond, active$1,555
Hedge funds$2
No. of portfolio managers4
Ian Sims is chief investment officer; Mamak Shahbazi is client contact.
Colony Capital LLC
1999 Avenue of the Stars, Suite 1200, Los Angeles, CA 90067; phone: 310-282-8820; fax: 310-282-8808; www.colonyinc.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,501
Total worldwide institutional assets$2,255
Total U.S. assets$2,053
Total U.S. tax-exempt assets$1,428
Total U.S. institutional tax-exempt$1,428
Internally managed$1,428
Asset mix:
Equity1%
Fixed income14%
Equity real estate85%
Internal U.S. institutional tax-exempt assets in:
Mortgages$178
Other asset-backed securities$7
Equity real estate, domestic$616
Equity real estate, international$594
Other private equity, domestic$33
Colony Capital LLC is a real estate manager, investing in real estate equity, non-performing loans, distressed opportunities, real estate-dependent operating companies and select commercial and residential development opportunities.
Kevin Traenkle is client contact.
Colony Capital Management Inc.
3060 Peachtree Road N.W., Suite 1550, Atlanta, GA 30305; phone: 404-365-5050; fax: 404-365-5070; www.colonycapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$287
Total worldwide institutional assets$201
Total U.S. assets$287
Total U.S. tax-exempt assets$211
Total U.S. institutional tax-exempt$201
Internally managed$201
Asset mix:
Equity71%
Fixed income24%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$140
U.S. bond, active$51
Cash$10
Active domestic equity strategies:
Growth:
Broad market$140
Domestic fixed-income strategies:
Other$51
Defined contribution assets:
Total$5
Internally managed$5
Plan type:
Taft-Hartley$5
Investment vehicle:
Separate accounts$5
No. of portfolio managers2
Size of research staff1
William Robertson is chief investment officer and client contact.
Columbia Management
100 Federal St., Boston, MA 02110; phone: 212-893-7200; fax: 212-893-7191; www.columbiamanagement.com
Dollars are in U.S. millions.
Total assets managed worldwide$331,207
Total worldwide institutional assets$68,784
Total U.S. assets$320,595
Total U.S. tax-exempt assets$43,642
Total U.S. institutional tax-exempt$34,345
Assigned to external managers$401
Internally managed$33,944
Asset mix:
Equity73%
Fixed income23%
Cash2%
Other2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$17,710
U.S. equity, passive$5,669
U.S. equity, enhanced index$482
Foreign equity, active$351
U.S. bond, active$7,522
High-yield bonds$403
Cash$857
Active domestic equity strategies:
Growth:
Large cap$11,753
Midcap$15
Small cap$859
Broad market$2,710
Value:
Large cap$551
Small cap$766
Core:
Broad market$1,656
Passive domestic equity strategies:
Core:
Large cap$57
Domestic fixed-income strategies:
Market timing/active duration$76
Core$5,829
Other$1,626
Worldwide mutual fund assets$211,461
No. of portfolio managers57
Size of research staff119
The parent is Bank of America Corp.
Keith Banks is chief investment officer; Frederick Berretta is client contact.
The assets of the following subsidiaries are included in the figures above: Banc of America Capital Management LLC manages $193.2 billion in total assets and $10.2 billion in U.S. institutional, tax-exempt assets; Columbia Management Advisors Inc. manages $79.4 billion in total assets and $11.5 billion in U.S. institutional, tax-exempt assets; Marsico Capital Management LLC manages $36.3 billion in total assets and $11.4 billion in U.S. institutional, tax-exempt assets; and Columbia Wanger Asset Management manages $22.2 billion in total assets and $1.1 billion in U.S. institutional, tax-exempt assets.
Columbia Partners LLC Investment Management
1775 Pennsylvania Ave. N.W., Suite 1000, Washington, DC 20006; phone: 202-296-3131; fax: 202-296-2535; www.columbiaptrs.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,287
Total worldwide institutional assets$2,181
Total U.S. assets$2,287
Total U.S. tax-exempt assets$2,287
Total U.S. institutional tax-exempt$2,181
Internally managed$2,181
Asset mix:
Equity80%
Fixed income20%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,563
U.S. bond, active$414
Active domestic equity strategies:
Core:
Large cap$526
Midcap$259
Small cap$271
Robert A. von Pentz is chief investment officer; Steven Binder is client contact.
Columbus Circle Investors
Metro Center, 1 Station Place, Stamford, CT 06902; phone: 203-353-6000; fax: 203-251-8638
Dollars are in U.S. millions.
Total assets managed worldwide$3,916
Total worldwide institutional assets$3,847
Total U.S. assets$3,916
Total U.S. tax-exempt assets$3,482
Total U.S. institutional tax-exempt$3,482
Internally managed$3,482
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$3,461
Hedge funds$21
Active domestic equity strategies:
Growth:
Large cap$1,500
Midcap$1,459
Small cap$192
No. of portfolio managers4
Size of research staff14
The parent is Principal Global Investors.
Robert W. Fehrmann is client contact.
Commerce Trust Co.
8000 Forsyth Blvd., 6th Floor, St. Louis, MO 63105; phone: 800-292-1601; fax: 314-746-3937; www.commercebank.com
Dollars are in U.S. millions.
Total assets managed worldwide$10,203
Total worldwide institutional assets$4,531
Total U.S. assets$10,203
Total U.S. tax-exempt assets$5,672
Total U.S. institutional tax-exempt$4,531
Internally managed$4,531
Asset mix:
Equity64%
Fixed income36%
No. of portfolio managers37
Size of research staff11
The parent is Commerce Bancshares NA.
Landers Carnal is chief investment officer; H. William Reisner is client contact.
Commonfund
15 Old Danbury Road, P.O. Box 812, Wilton, CT 06897; phone: 203-563-5000; fax: 203-762-1092; www. commonfund.org
Dollars are in U.S. millions.
Total assets managed worldwide$31,940
Total worldwide institutional assets$31,940
Total U.S. assets$31,622
Total U.S. tax-exempt assets$31,622
Total U.S. institutional tax-exempt$31,622
Assigned to external managers$31,622
No. of portfolio managers25
Size of research staff22
Lyn Hutton is chief investment officer; Eugene Ferguson is client contact.
The assets of the following subsidiaries are included in the figures above: Commonfund Asset Management Co. Inc.; Commonfund Capital Inc.; Commonfund Realty Inc.
Commonwealth Realty Advisors Inc.
20 S. Clark St., Suite 3000, Chicago, IL 60603; phone: 312-629-0136; fax: 312-855-0445; www.commonwealthrealty.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,180
Total worldwide institutional assets$1,180
Total U.S. assets$1,180
Total U.S. tax-exempt assets$1,180
Total U.S. institutional tax-exempt$1,180
Internally managed$1,180
Asset mix:
Equity real estate100%
Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic$1,180
No. of portfolio managers3
Mark R. Kirincich is chief investment officer and client contact.
Congress Asset Management Co.
2 Seaport Lane, 5th Floor, Boston, MA 02210; phone: 617-737-1566; fax: 617-737-4333; www.congressasset.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,844
Total worldwide institutional assets$2,120
Total U.S. assets$3,844
Total U.S. tax-exempt assets$2,197
Total U.S. institutional tax-exempt$2,081
Internally managed$2,081
Asset mix:
Equity44%
Fixed income32%
Other24%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$911
U.S. bond, active$660
Other private equity, domestic$510
Active domestic equity strategies:
Growth:
Large cap$882
Midcap$29
Domestic fixed-income strategies:
Core$660
No. of portfolio managers14
Size of research staff5
Alfred Lagan is chief investment officer; Thomas O'Donnell is client contact.
Conning Asset Management Co.
1 Financial Plaza, Hartford, CT 06103-2627; phone: 860-299-2000; fax: 860-299-2482; www.conning.com
Dollars are in U.S. millions.
Total assets managed worldwide$45,384
Total worldwide institutional assets$45,384
Total U.S. assets$41,343
Total U.S. tax-exempt assets$22,949
Total U.S. institutional tax-exempt$22,949
Internally managed$22,949
Asset mix:
Equity2%
Fixed income98%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, passive$556
U.S. bond, active$22,393
Passive domestic equity strategies:
Core:
Large cap$556
Domestic fixed-income strategies:
Core$22,393
Defined contribution assets:
Total$6
Internally managed$6
Plan type:
Corporate 401(k)$6
Investment vehicle:
Separate accounts$6
No. of portfolio managers22
Size of research staff6
The parent is Swiss Re Insurance Co.
Richard Sega is chief investment officer; Walter Blasberg is client contact; Nancy Carini is DC client contact.
Connor, Clark & Lunn Arrowstreet Capital Ltd.
100 King St. W., Suite 5700, Toronto, Ontario M5X 1E3 Canada; phone: 416-862-2020; fax: 416-363-2089; www.cclarrowstreet.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,502
Total worldwide institutional assets$1,399
Total tax-exempt assets$1,397
Total institutional tax-exempt$1,397
Internally managed$1,397
Asset mix:
U.S. equity35%
Other equity65%
Internal institutional tax-exempt assets in:
Domestic/U.S. equity, active$464
Foreign equity, active$933
Active domestic/U.S. equity strategies:
Core:
Broad market$464
Pure quantitative$464
Defined contribution assets:
Total$8
Internally managed$8
No. of portfolio managers15
Size of research staff10
The parent companies are Connor, Clark & Lunn Investment Management Ltd. and Arrowstreet Capital LP.
Peter Rathjens is chief investment officer; Bruce Shewfelt is client contact.
Connor, Clark & Lunn Investment Management Ltd.
2200-1111 W. Georgia St., Vancouver, British Columbia V6E 4M3 Canada; phone: 604-685-2020; fax: 604-643-2000; www.cclinvest.com
Dollars are in U.S. millions.
Total assets managed worldwide$12,329
Total worldwide institutional assets$11,785
Total tax-exempt assets$8,330
Total institutional tax-exempt$1,397
Internally managed$8,330
Asset mix:
Canadian equity44%
U.S. equity4%
Other equity11%
Fixed income33%
Cash3%
Market neutral5%
Internal institutional tax-exempt assets in:
Domestic/U.S. equity, active$4,033
Foreign equity, active$929
Domestic/U.S. bond, active$2,712
Cash$230
Domestic/U.S. equity strategies:
Growth:
Broad market$154
Core:
Small cap$65
Broad market$3,813
Pure quantitative$1,735
Active domestic/U.S. fixed-income strategies:
Core$2,645
Defined contribution assets:
Total$664
Internally managed$664
No. of portfolio managers38
Size of research staff29
Connor, Clark & Lunn Investment Management Ltd. runs a market neutral strategy with $426 million invested for institutional, tax-exempt assets under internal management.
The parent company is Connor, Clark & Lunn Financial Group.
Larry Lunn is chief investment officer; Bruce Shewfelt is client contact.
Consistent Asset Management Co.
116 Commons Court, Chadds Ford, PA 19317; phone: 610-558-3000; fax: 610-558-3002; www.consistentasset.com
Dollars are in U.S. millions.
Total assets managed worldwide$247
Total worldwide institutional assets$238
Total U.S. assets$247
Total U.S. tax-exempt assets$159
Total U.S. institutional tax-exempt$156
Internally managed$156
Asset mix:
Equity15%
Fixed income85%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$24
U.S. bond, active$132
Active domestic equity strategies:
Value:
Large cap$23
Small cap$1
Domestic fixed-income strategies:
Market timing/active duration$132
No. of portfolio managers3
Daryl Hudson is chief investment officer; Mark Davies is client contact.
Constitution Research & Management Inc.
c/o Greg Reid Associates Inc., 841 Main St., Suite 5, Walpole, MA 02081; phone: 508-660-0044; fax: 508-660-0016; www.gregreid.com
Dollars are in U.S. millions.
Total assets managed worldwide$541
Total worldwide institutional assets$471
Total U.S. assets$541
Total U.S. tax-exempt$475
Total U.S. institutional tax-exempt$465
Internally managed$465
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$465
Active domestic equity strategies:
Growth
Small cap$465
No. of portfolio managers2
Size of research staff2
Richard Drury is chief investment officer; Greg Reid is client contact.
Cook Mayer Taylor
5170 Sanderlin Ave., Suite 200, Memphis, TN 38117; phone: 901-684-4112; fax: 901-684-4116; www.cookmayertaylor.com
Dollars are in U.S. millions.
Total assets managed worldwide$425
Total worldwide institutional assets$390
Total U.S. assets$425
Total U.S. tax-exempt assets$400
Total U.S. institutional tax-exempt$390
Internally managed$390
Asset mix:
Equity97%
Cash3%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$379
Cash$11
Active domestic equity strategies:
Core:
Small cap$390
No. of portfolio managers2
The parent is Third Security LLC.
Cooke & Bieler LP
1700 Market St., Suite 3222, Philadelphia, PA 19103; phone: 215-567-1101; fax: 215-567-1681; www.cooke-bieler.com
Dollars are in U.S. millions.
Total assets managed worldwide$5,425
Total worldwide institutional assets$3,635
Total U.S. assets$5,238
Total U.S. tax-exempt assets$3,635
Total U.S. institutional tax-exempt$3,602
Internally managed$3,602
Asset mix:
Equity89%
Fixed income3%
Other8%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$3,226
U.S. bond, active$122
Active domestic equity strategies:
Value:
Large cap$2,292
Midcap$846
Broad market$88
No. of portfolio managers1
Size of research staff6
Samuel Ballam III is client contact.
Cornerstone Partners LLC
1900 Arlington Blvd., Charlottesville, VA 22903; phone: 434-296-2300; fax: 434-296-0922
Dollars are in U.S. millions.
Total assets managed worldwide$1,350
Total worldwide institutional assets$1,300
Total U.S. assets$1,350
Total U.S. tax-exempt assets$1,300
Total U.S. institutional tax-exempt$1,300
Assigned to external managers$1,300
Worldwide mutual fund assets$100
Defined contribution assets:
Total$50
No. of portfolio managers3
Size of research staff1
Peter Brooks is client contact.
Cornerstone Real Estate Advisers LLC
1 Financial Plaza, Suite 1700, Hartford, CT 06103-2604; phone: 860-509-2200; fax: 860-509-2222; www.cornerstoneadvisers.com
Dollars are in U.S. millions.
Total assets managed worldwide$5,854
Total worldwide institutional assets$5,753
Total U.S. assets$5,854
Total U.S. tax-exempt assets$1,626
Total U.S. institutional tax-exempt$1,626
Internally managed$1,626
Asset mix:
Equity real estate100%
Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic$1,626
Worldwide mutual fund assets$101
No. of portfolio managers6
Size of research staff6
The parent is Massachusetts Mutual Life Insurance Co.
Alan Connor is chief investment officer; Bob Staley is client contact.
Coventry Realty Advisors Inc.
4900 Woodway Drive, Suite 1250, Houston, TX 77056; phone: 713-896-9999; fax: 713-621-2853
Dollars are in U.S. millions.
Total assets managed worldwide$50
Total worldwide institutional assets$10
Total U.S. assets$50
Total U.S. tax-exempt assets$10
Total U.S. institutional tax-exempt$10
Internally managed$10
Asset mix:
Equity real estate100%
Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic$10
No. of portfolio managers1
Size of research staff1
Coventry Realty Advisors Inc. acquires high-quality office properties that can be purchased at less than replacement cost with the potential for value-added returns.
Howard Heald is chief investment officer and client contact.
Cozad/Westchester Agricultural Asset Management
2501 Galen Drive, P.O. Box 3669, Champaign, IL 61826-3669; phone: 217-356-8363; fax: 217-355-1359; www.cozad-westchester.com
Dollars are in U.S. millions.
Total assets managed worldwide$381
Total worldwide institutional assets$381
Total U.S. tax-exempt assets$381
Total U.S. institutional tax-exempt$381
Internally managed$381
Asset mix:
Equity real estate100%
Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic$381
Greg Cozad is client contact.
Cramer Rosenthal McGlynn LLC
520 Madison Ave., 32nd Floor, New York, NY 10022; phone: 212-838-3830; fax: 212-371-3562; www.crmllc.com
Dollars are in U.S. millions.
Total assets managed worldwide$6,966
Total worldwide institutional assets$4,934
Total U.S. assets$6,663
Total U.S. tax-exempt assets$3,350
Total U.S. institutional tax-exempt$3,324
Internally managed$3,324
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$3,324
Active domestic equity strategies:
Value:
Large cap$16
Midcap$1,210
Small cap$643
Broad market$1,455
Worldwide mutual fund assets$1,856
Defined contribution assets:
Total$50
Internally managed$50
Plan type:
Corporate 401(k)$50
Investment vehicle:
Mutual funds$50
No. of portfolio managers9
Size of research staff6
Ronald McGlynn is chief investment officer; Christopher Barnett is client contact.
Crawford Investment Counsel Inc.
100 Galleria Parkway N.W., Suite 980, Atlanta, GA 30339; phone: 770-859-0045; fax: 770-859-0049; www.crawfordinvestment.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,258
Total worldwide institutional assets$1,218
Total U.S. assets$2,256
Total U.S. tax-exempt assets$1,335
Total U.S. institutional tax-exempt$1,175
Internally managed$1,175
Asset mix:
Equity64%
Fixed income34%
Cash2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$749
U.S. bond, active$403
Cash$23
Active domestic equity strategies:
Value:
Large cap$733
Core:
Large cap$16
Domestic fixed-income strategies:
Core$403
Worldwide mutual fund assets$23
Defined contribution assets:
Total$39
Internally managed$39
Plan type:
Other$39
Investment vehicle:
Separate accounts$39
No. of portfolio managers5
Size of research staff2
John H. Crawford III is chief investment officer; Troy DeCastro is client contact.
Credit Suisse Asset Management LLC
466 Lexington Ave., New York, NY 10017; phone: 212-875-3500; fax: 212-983-4169; www.csam.com
Dollars are in U.S. millions.
Total assets managed worldwide$341,719
Total worldwide institutional assets$247,008
Total U.S. assets$24,069
Total U.S. tax-exempt assets$8,570
Total U.S. institutional tax-exempt$8,459
Internally managed$8,459
Asset mix:
Equity45%
Fixed income54%
Cash1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$3,047
Foreign equity, active$786
U.S. bond, active$1,468
Foreign bond, active$35
High-yield bonds$1,293
Cash$38
Active domestic equity strategies:
Growth:
Large cap$355
Midcap$274
Small cap$1,752
Value:
Large cap$160
Small cap$162
Core:
Large cap$344
Active international strategies:
Emerging markets equity$467
Domestic fixed-income strategies:
Core$2,761
Worldwide mutual fund assets$6,000
Overlay strategies:
Currency$344
Internally managed underlying assets$344
Defined contribution assets:
Total$2,652
Internally managed$2,652
Plan type:
Corporate 401(k)$2,652
Investment vehicle:
Mutual funds$899
Variable annuities$1,297
Separate accounts$456
No. of portfolio managers184
Size of research staff101
The parent is Credit Suisse Group.
Ian Chimes is client contact.
CS Capital Management Inc.
1 Overton Park, Suite 240, 3625 Cumberland Blvd., Atlanta, GA 30339; phone: 770-818-4040; fax: 770-818-4041; www.chadwicksaylor.com
Dollars are in U.S. millions.
Total assets managed worldwide$905
Total worldwide institutional assets$905
Total U.S. assets$905
Total U.S. tax-exempt assets$905
Total U.S. institutional tax-exempt$905
Internally managed$905
Asset mix:
Equity real estate100%
Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic$905
Defined contribution assets:
Total$260
Internally managed$260
Plan type:
Taft-Hartley$260
Investment vehicle:
Other commingled$260
CS Capital Management Inc. invests in developmental and redevelopmental real estate, including residential land, commingled funds and separate accounts deployed in ventures with operators and developers.
The parent is Chadwick, Saylor & Co. Inc.
Paul H. Saylor is chief investment officer; John McClelland is client contact.
Daiwa SB Investments (USA) Ltd.
32 Old Slip, 11th Floor, New York, NY 10005; phone: 212-612-8500; fax: 212-612-8518
Dollars are in U.S. millions.
Total assets managed worldwide$37,528
Total worldwide institutional assets$29,007
Total U.S. assets$175
Total U.S. tax-exempt assets$175
Total U.S. institutional tax-exempt$175
Internally managed$175
Asset mix:
Equity99%
Cash1%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$175
No. of portfolio managers66
Size of research staff35
The parent is Daiwa SB Investments Ltd.
Hiroaki Hanao is chief investment officer; Maria Gugliotta is client contact.
Dalton, Greiner, Hartman, Maher & Co.
565 Fifth Ave., Suite 2101, New York, NY 10017; phone: 212-557-2445; fax: 212-557-4898; www.dghm.net
Dollars are in U.S. millions.
Total assets managed worldwide$3,384
Total worldwide institutional assets$2,732
Total U.S. assets$3,259
Total U.S. tax-exempt assets$2,732
Total U.S. institutional tax-exempt$2,732
Internally managed$2,732
Asset mix:
Equity96%
Cash4%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$2,626
U.S. bond, active$1
Cash$105
Active domestic equity strategies:
Value:
Midcap$373
Small cap$2,014
Broad market$239
Domestic fixed-income strategies:
Stable value$1
Worldwide mutual fund assets$57
No. of portfolio managers8
Size of research staff2
The parent is Boston Private Financial Holdings Inc.
Timothy Dalton Jr. is chief investment officer; Bob Gorman is client contact.
Dana Investment Advisors Inc.
15800 W. Bluemound Road, P.O. Box 1067, Brookfield, WI 53008-1067; phone: 262-782-3631; fax: 262-782-0581; www.danainvestment.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,281
Total worldwide institutional assets$2,117
Total U.S. assets$2,281
Total U.S. tax-exempt assets$1,388
Total U.S. institutional tax-exempt$1,352
Internally managed$1,352
Asset mix:
Equity28%
Fixed income68%
Cash4%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$377
U.S. bond, active$102
Mortgage-backed securities$810
Other asset-backed securities$19
Cash$44
Active domestic equity strategies:
Growth:
Large cap$21
Value:
Large cap$46
Core:
Large cap$271
Small cap$39
Pure quantitative$377
Domestic fixed-income strategies:
Core$975
Defined contribution assets:
Total$74
Internally managed$74
Plan type:
Corporate 401(k)$52
Taft-Hartley$1
401(a)$21
Investment vehicle:
Separate accounts$74
No. of portfolio managers7
Size of research staff3
James Ivey is chief investment officer; Douglas Classen is client contact. Mark Mirsberger is defined contribution contact.
Daruma Asset Management Inc.
80 W. 40th St., 9th Floor, New York, NY 10018; phone: 212-869-4000; fax: 212-869-4882
Dollars are in U.S. millions.
Total assets managed worldwide$933
Total worldwide institutional assets$904
Total U.S. assets$933
Total U.S. tax-exempt assets$886
Total U.S. institutional tax-exempt$886
Internally managed$886
Asset mix:
Equity95%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$886
Active domestic equity strategies:
Core:
Small cap$886
No. of portfolio managers1
Size of research staff3
Mariko Gordon is chief investment officer; Noreen McKee is client contact.
Davis Selected Advisers LP, DBA Davis Advisors
2949 E. Elvira Road, Suite 101, Tucson, AZ 85706; phone: 800-279-2279; fax: 520-434-3719; www.davisfunds.com
Dollars are in U.S. millions.
Total assets managed worldwide$58,257
Total worldwide institutional assets$11,044
Total U.S. assets$57,345
Total U.S. tax-exempt assets$10,288
Total U.S. institutional tax-exempt$4,913
Internally managed$4,913
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$4,865
REITs$48
Active domestic equity strategies:
Value:
Large cap$4,864
Broad market$48
Core:
Midcap$1
Pure quantitative$4,913
Worldwide mutual fund assets$47,996
Defined contribution assets:
Total$4,556
Internally managed$4,556
Plan type:
Corporate 401(k)$503
Other 401(k)$3,821
Taft-Hartley$216
Other$16
Investment vehicle:
Mutual funds$3,773
Separate accounts$783
No. of portfolio managers12
Size of research staff5
Shelby M.C. Davis is chief investment officer; Peter Sackmann is client contact.
Davis Hamilton Jackson & Associates LP
1401 McKinney, Suite 1600, Houston, TX 77010; phone: 713-853-2322; fax: 713-853-2300; www.dhja.com
Dollars are in U.S. millions.
Total assets managed worldwide$4,710
Total worldwide institutional assets$4,308
Total U.S. assets$4,710
Total U.S. tax-exempt assets$4,428
Total U.S. institutional tax-exempt$4,222
Internally managed$4,222
Asset mix:
Equity84%
Fixed income16%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$3,559
U.S. bond, active$663
Active domestic equity strategies:
Growth:
Large cap$3,367
Core:
Midcap$192
Domestic fixed-income strategies:
Core$98
Other$565
Worldwide mutual fund assets$16
Defined contribution assets:
Total$483
Internally managed$483
Plan type:
Corporate 401(k)$3
Taft-Hartley$28
Other$452
Investment vehicle:
Separate accounts$483
No. of portfolio managers10
Size of research staff4
The parent is Affiliated Managers Group Inc.
Robert C. Davis is chief investment officer; Karen Sotallaro is client contact.
Dawson-Herman Capital Management Inc.
354 Pequot Ave., Southport, CT 06890; phone: 203-254-0091; fax: 203-255-2558
Dollars are in U.S. millions.
Total assets managed worldwide$1,456
Total worldwide institutional assets$384
Total U.S. assets$917
Total U.S. tax-exempt assets$384
Total U.S. institutional tax-exempt$384
Internally managed$384
Asset mix:
Equity70%
Cash30%
No. of portfolio managers3
Size of research staff6
Russell Herman is chief investment officer; Noreen Upton is client contact.
DDJ Capital Management LLC
141 Linden St., Suite S-4, Wellesley, MA 02482; phone: 781-283-8500; fax: 781-283-8555; www.ddjcap.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,891
Total worldwide institutional assets$2,840
Total U.S. assets$2,891
Total U.S. tax-exempt assets$2,599
Total U.S. institutional tax-exempt$2,599
Internally managed$2,599
Asset mix:
Equity5%
Fixed income67%
Other28%
Internal U.S. institutional tax-exempt assets in:
High-yield bonds$1,798
Hedge funds$112
Distressed debt$689
Domestic fixed-income strategies:
High yield$1,798
Worldwide mutual fund assets$184
No. of portfolio managers3
Size of research staff7
David Breazzano is chief investment officer; Michael Forrester is client contact.
Dean Investment Associates
2480 Kettering Tower, Dayton, OH 45423; phone: 800-327-3656; fax: 937-227-9304; www.chdean.com
Dollars are in U.S. millions.
Total assets managed worldwide$554
Total worldwide institutional assets$274
Total U.S. assets$554
Total U.S. tax-exempt assets$274
Total U.S. institutional tax-exempt$118
Internally managed$118
Asset mix:
Equity62%
Fixed income33%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$73
U.S. bond, active$39
Cash$6
Active domestic equity strategies:
Value:
Large cap$51
Small cap$7
Broad market$5
Core:
Large cap$10
Domestic fixed-income strategies:
Market timing/active duration$39
Worldwide mutual fund assets$48
Defined contribution assets:
Total$104
Internally managed$104
Plan type:
Corporate 401(k)$1
Other$103
Investment vehicle:
Separate accounts$104
No. of portfolio managers3
Size of research staff3
The parent is C.H. Dean & Associates Inc.
Gregg Smolenski is client contact.
Dearborn Partners LLC
200 W. Madison St., Suite 1950, Chicago, IL 60606; phone: 312-795-1000; fax: 312-795-1111; www.dearbornpartners.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,760
Total worldwide institutional assets$1,404
Total U.S. assets$1,760
Total U.S. tax-exempt assets$1,441
Total U.S. institutional tax-exempt$1,371
Assigned to external managers$906
Internally managed$465
Asset mix:
Equity95%
Fixed income1%
Cash4%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$446
Cash$19
Worldwide mutual fund assets$9
No. of portfolio managers2
Size of research staff4
Wayne Stevens is chief investment officer; Scott Kemper is client contact.
Declaration Management & Research LLC
1650 Tysons Blvd., Suite 1100, McLean, VA 22102; phone: 703-749-8200; fax: 703-749-8225; www.declaration.com
Dollars are in U.S. millions.
Total assets managed worldwide$8,369
Total worldwide institutional assets$8,369
Total U.S. assets$8,369
Total U.S. tax-exempt assets$3,337
Total U.S. institutional tax-exempt$3,337
Internally managed$3,337
Asset mix:
Equity7%
Fixed income93%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, enhanced index$571
U.S. bond, active$2,766
Domestic fixed-income strategies:
Core$1,964
Other$802
Worldwide mutual fund assets$1,114
Overlay strategies:
Derivative strategies$772
Internally managed underlying assets$772
Defined contribution assets:
Total$601
Internally managed$601
Plan type:
Corporate 401(k)$601
Investment vehicle:
Separate accounts$601
No. of portfolio managers6
Size of research staff10
The parent is Manulife Financial Corp.
James Shallcross is chief investment officer; Amy McPike is client contact.
Delaware Investments
2005 Market St., 37th Floor, Philadelphia, PA 19103-7094; phone: 215-255-2300; fax: 215-255-1196; www.delawareinvestments.com
Dollars are in U.S. millions.
Total assets managed worldwide$99,912
Total worldwide institutional assets$24,281
Total U.S. assets$98,558
Total U.S. tax-exempt assets$35,286
Total U.S. institutional tax-exempt$16,881
Assigned to external managers$3,774
Internally managed$13,107
Asset mix:
Equity55%
Fixed income45%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$6,937
Foreign equity, active$73
REITs$209
U.S. bond, active$5,655
High-yield bonds$233
Active domestic equity strategies:
Growth:
Large cap$332
Midcap$66
Small cap$1,905
Broad market$134
Value:
Large cap$4,317
Small cap$57
Broad market$38
Core:
Large cap$74
Small cap$14
Domestic fixed-income strategies:
Core$5,655
Worldwide mutual fund assets$17,014
Defined contribution assets:
Total$4,112
Internally managed$3,764
Plan type:
Corporate 401(k)$3,463
457$17
401(a)$76
403(b)$208
Investment vehicle:
Mutual funds$845
Separate accounts$399
Other commingled$2,520
No. of portfolio managers41
Size of research staff94
The parent is Lincoln National Corp.
Jude Driscoll is chief investment officer; Kevin Lucey is client contact.
Denali Advisors LLC
9191 Towne Centre Drive, Suite 365, San Diego, CA 92122; phone: 858-558-3600; fax: 858-558-3657; www.denaliadvisors.com
Dollars are in U.S. millions.
Total assets managed worldwide$804
Total worldwide institutional assets$804
Total U.S. assets$804
Total U.S. tax-exempt assets$800
Total U.S. institutional tax-exempt$800
Internally managed$800
Asset mix:
Equity99%
Cash1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$800
Active domestic equity strategies:
Value:
Large cap$800
Pure quantitative$800
No. of portfolio managers2
Size of research staff1
Robert Snigaroff is chief investment officer and client contact.
Denver Investment Advisors LLC
1225 17th St., 26th Floor, Denver, CO 80202; phone: 303-312-5000; fax: 303-312-4900; www.denveria.com
Dollars are in U.S. millions.
Total assets managed worldwide$7,277
Total worldwide institutional assets$6,375
Total U.S. assets$7,277
Total U.S. tax-exempt assets$5,328
Total U.S. institutional tax-exempt$5,328
Internally managed$5,328
Asset mix:
Equity70%
Fixed income25%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$3,299
Foreign equity, active$320
U.S. bond, active$1,535
Active domestic equity strategies:
Growth:
Large cap$173
Midcap$1,864
Broad market$877
Value:
Large cap$231
Midcap$24
Small cap$130
Active international strategies:
Emerging markets equity$320
Domestic fixed-income strategies:
Core$995
Other$445
Worldwide mutual fund assets$984
Defined contribution assets:
Total$1
Internally managed$1
Plan type:
Corporate 401(k)$1
Investment vehicle:
Mutual funds$1
No. of portfolio managers18
Size of research staff21
Todger Anderson is chief investment officer; Terri Baldwin is client contact.
DePrince, Race & Zollo Inc.
201 S. Orange Ave., Suite 850, Orlando, FL 32801; phone: 407-420-9903; fax: 407-841-8778
Dollars are in U.S. millions.
Total assets managed worldwide$4,547
Total worldwide institutional assets$4,547
Total U.S. assets$4,547
Total U.S. tax-exempt assets$4,244
Total U.S. institutional tax-exempt$4,244
Internally managed$4,244
Asset mix:
Equity98%
Cash2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$4,161
Foreign equity, active$83
Active domestic equity strategies:
Value:
Large cap$2,729
Small cap$1,432
No. of portfolio managers9
Size of research staff10
Kelly Carbone is client contact.
Deutsche Asset Management
345 Park Ave., 26th Floor, NYC20-2652, New York, NY 10154-0010; phone: 212-250-2500; fax: 212-454-2888; www.deam-us.db.com
Dollars are in U.S. millions.
Total assets managed worldwide$730,534
Total worldwide institutional assets$454,757
Total U.S. assets$275,875
Total U.S. tax-exempt assets$64,901
Total U.S. institutional tax-exempt$64,901
Internally managed$64,901
Asset mix:
Equity19%
Fixed income59%
Equity real estate21%
Other1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$4,445
Foreign equity, active$3,079
REITs$4,643
U.S. bond, active$37,331
Foreign bond, active$999
High-yield bonds$262
Equity real estate, domestic$13,405
Hedge funds$455
Cash$282
Active domestic equity strategies:
Growth:
Large cap$1,011
Small cap$119
Value:
Large cap$2,346
Small cap$14
Core:
Large cap$819
Small cap$136
Pure quantitative$70
Active international strategies:
Emerging markets equity$585
Emerging markets debt$147
Domestic fixed-income strategies:
Stable value$19,010
Core$18,321
Worldwide mutual fund assets$123,919
Overlay strategies:
Derivative strategies$8,554
Currency$500
Internally managed underlying assets$9,054
Defined contribution assets:
Total$35,014
Internally managed$35,014
No. of portfolio managers571
Size of research staff187
The parent is Deutsche Bank AG.
Peter Harrison is chief investment officer; Stephen R. Burke is client contact; Steve Ulian is DC client contact.
The assets of the following subsidiary are included in the figures above:
RREEF manages $20.8 billion in total assets and $18.048 billion in U.S. institutional tax-exempt assets. Stephen M. Steppe is chief investment officer; Sol Raso is client contact at 312-266-9300.
Diamond Portfolio Advisors LLC
10940 Wilshire Blvd., Suite 600, Los Angeles, CA 90024; phone: 310-443-4236; fax: 310-443-4221; www.diamondportfolio.net
Dollars are in U.S. millions.
Total assets managed worldwide$31
Total worldwide institutional assets$5
Total U.S. assets$29
Total U.S. tax-exempt assets$18
Total U.S. institutional tax-exempt$5
Internally managed$5
No. of portfolio managers1
Size of research staff1
Thomas Weary is chief investment officer; Jay Rogers is client contact.
Dimensional Fund Advisors Inc.
1299 Ocean Ave., 11th Floor, Santa Monica, CA 90401; phone: 310-395-8005; fax: 310-576-1181; www.dfafunds.com
Dollars are in U.S. millions.
Total assets managed worldwide$65,210
Total worldwide institutional assets$65,210
Total U.S. assets$59,842
Total U.S. tax-exempt assets$42,174
Total U.S. institutional tax-exempt$42,174
Internally managed$42,174
Asset mix:
Equity90%
Fixed income10%
Worldwide mutual fund assets$47,337
Defined contribution assets:
Total$2,774
Internally managed$2,774
Plan type:
Corporate 401(k)$2,564
403(b)$3
Other$207
Investment vehicle:
Mutual funds$2,774
No. of portfolio managers20
David Booth is chief investment officer; David Schneider is client contact; Ted Simpson is DC client contact.
Divco West Properties LLC
400 Hamilton Ave., 4th Floor, Palo Alto, CA 94301-1833; phone: 650-688-4100; fax: 650-322-9999; www.divco.com
Dollars are in U.S. millions.
Total assets managed worldwide$842
Total worldwide institutional assets$503
Total U.S. assets$787
Total U.S. tax-exempt assets$437
Total U.S. institutional tax-exempt$437
Internally managed$437
Asset mix:
Equity real estate100%
Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic$437
Divco West Properties LLC, a real estate manager, uses value-added and opportunistic investments in commercial properties, predominantly in the San Francisco Bay area.
Stuart Shiff is chief investment officer; Stephen Pilch is client contact.
The assets of subsidiary Page Mill Advisors LLC are included in the figures above.
Diversified Investment Advisors Inc.
4 Manhattanville Road, Purchase, NY 10577; phone: 914-697-8000; fax: 914-697-3743; www.divinvest.com
Dollars are in U.S. millions.
Total assets managed worldwide$55,813
Total worldwide institutional assets$55,813
Total U.S. assets$55,813
Total U.S. tax-exempt assets$55,813
Total U.S. institutional tax-exempt$55,813
Assigned to external managers$48,907
Internally managed$6,906
Asset mix:
Equity65%
Fixed income30%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$4,000
Foreign equity, active$497
U.S. bond, active$1,923
High-yield bonds$134
Cash$352
Active domestic equity strategies:
Core:
Large cap$760
Midcap$240
Small cap$3,000
Domestic fixed-income strategies:
Stable value$1,923
Worldwide mutual fund assets$26,660
Defined contribution assets:
Total$51,701
Internally managed$6,306
Plan type:
Corporate 401(k)$2,414
Other 401(k)$126
Taft-Hartley$218
457$160
401(a)$1,008
403(b)$2,380
Investment vehicle:
Mutual funds$6,306
The parent is AEGON USA.
Len Antes is chief investment officer; Laura White is client contact.
The assets subsidiary AEGON Institutional Markets are included in the figures above.
DLIBJ Asset Management
1133 Avenue of the Americas, 28th Floor, New York, NY 10036; phone: 212-350-7650; fax: 212-354-1883; diam.co.jp" target="blank">www. diam.co.jp
Dollars are in U.S. millions.
Total assets managed worldwide$66,619
Total worldwide institutional assets$52,623
Total U.S. assets$333
Total U.S. tax-exempt assets$41
Total U.S. institutional tax-exempt$41
Internally managed$41
Asset mix:
Equity72%
Fixed income28%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$8
U.S. equity, enhanced index$22
U.S. bond, active$11
Active domestic equity strategies:
Core:
Small cap$8
Pure quantitative$8
No. of portfolio managers53
Size of research staff3
The parent is Mizuho Financial Group/Dai-ichi Mutual Life Insurance Co.
Masakuni Fujiwara is chief investment officer; Julia Peter is client contact.
Dodge & Cox
555 California St., 40th Floor, San Francisco, CA 94104; phone: 415-981-1710; fax: 415-986-1192; www.dodgeandcox.com
Dollars are in U.S. millions.
Total assets managed worldwide$142,904
Total worldwide institutional assets$116,055
Total U.S. assets$142,904
Total U.S. tax-exempt assets$111,641
Total U.S. institutional tax-exempt$111,641
Internally managed$111,641
Asset mix:
Equity60%
Fixed income35%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$62,251
Foreign equity, active$2,711
U.S. bond, active$41,132
Cash$5,547
Active domestic equity strategies:
Value:
Large cap$62,251
Active international strategies:
Emerging markets equity$469
Domestic fixed-income strategies:
Core$41,132
Worldwide mutual fund assets$76,080
No. of portfolio managers14
Size of research staff30
John A. Gunn is chief investment officer; David J. Edwards is client contact.
Domini Social Investments LLC
536 Broadway, 7th Floor, New York, NY 10012; phone: 212-217-1100; fax: 212-217-1101; www.domini.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,949
Total worldwide institutional assets$1,407
Total U.S. assets$1,949
Total U.S. tax-exempt assets$1,456
Total U.S. institutional tax-exempt$1,298
Assigned to external managers$1,298
Worldwide mutual fund assets$1,707
Defined contribution assets:
Total$505
Steven Lydenberg is chief investment officer; Kyle Johnson is client contact.
Dover Partners Inc.
3033 S. Kettering Blvd., Suite 320, Dayton, OH 45439; phone: 937-299-4105; fax: 937-299-7565; www.dover-partners.com
Dollars are in U.S. millions.
Total assets managed worldwide$70
Total worldwide institutional assets$28
Total U.S. assets$70
Total U.S. tax-exempt assets$42
Total U.S. institutional tax-exempt$27
Internally managed$27
Asset mix:
Equity21%
Fixed income67%
Cash5%
Other7%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$7
U.S. bond, active$17
Cash$1
Active domestic equity strategies:
Value:
Large cap$7
Domestic fixed-income strategies:
Sector rotation$17
Defined contribution assets:
Total$2
Internally managed$2
Plan type:
Corporate 401(k)$2
Investment vehicle:
Separate accounts$2
No. of portfolio managers5
Jack Newell is chief investment officer; Rich Campbell is client contact. Josh Smittkamp is defined contribution contact.
DRA Advisors LLC
220 E. 42nd St., 27th Floor, New York, NY 10017; phone: 212-697-4740; fax: 212-697-7404; www.draadvisors.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,661
Total worldwide institutional assets$3,484
Total U.S. assets$3,661
Total U.S. tax-exempt assets$3,259
Total U.S. institutional tax-exempt$3,259
Internally managed$3,259
Asset mix:
Equity real estate100%
Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic$3,259
No. of portfolio managers5
DRA Advisors LLC, a real estate manager, focuses on conservative, value-added investments. The firm has broad expertise in the office, retail, multifamily and industrial sectors across the United States.
David Luski is chief investment officer; Paul McEvoy Jr. is client contact.
Draper & Kramer Realty Advisors Inc.
33 W. Monroe St., Suite 1900, Chicago, IL 60603-5486; phone: 312-346-8600; fax: 312-346-6531; www.draperandkramer.com
Dollars are in U.S. millions.
Total assets managed worldwide$358
Total worldwide institutional assets$358
Total U.S. assets$358
Total U.S. tax-exempt assets$358
Total U.S. institutional tax-exempt$358
Internally managed$358
Asset mix:
Fixed income44%
Equity real estate56%
Internal U.S. institutional tax-exempt assets in:
Mortgages$158
Equity real estate, domestic$200
No. of portfolio managers3
Size of research staff1
Draper & Kramer Realty Advisors Inc. uses core, core-plus, value-added and high risk/return strategies in the four historical property types on a national basis.
The parent is Draper & Kramer Inc.
Michael Truesdale is client contact.
Dreman Value Management LLC
10 Exchange Place, Suite 2150, Jersey City, NJ 07302-3913; phone: 201-793-2000; fax: 201-793-2060; www.dreman.com
Dollars are in U.S. millions.
Total assets managed worldwide$12,429
Total worldwide institutional assets$11,611
Total U.S. assets$12,429
Total U.S. tax-exempt assets$10,671
Total U.S. institutional tax-exempt$10,671
Internally managed$10,671
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$10,671
Active domestic equity strategies:
Value:
Large cap$8,931
Midcap$1
Small cap$1,451
Worldwide mutual fund assets$9,045
Defined contribution assets:
Total$969
Internally managed$969
Plan type:
Corporate 401(k)$318
Other 401(k)$26
Taft-Hartley$625
Investment vehicle:
Separate accounts$969
No. of portfolio managers5
Size of research staff3
David Dreman is chief investment officer; Thomas Littauer is client contact.
Dreyfus Corp.
200 Park Ave., New York, NY 10166; phone: 212-922-6000; fax: 212-922-6585; www.dreyfus.com
See entry for MELLON FINANCIAL CORP.
Driehaus Capital Management Inc.
25 E. Erie St., Chicago, IL 60611; phone: 312-587-3800; fax: 312-587-3840; www.driehaus.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,046
Total worldwide institutional assets$3,046
Total U.S. assets$2,581
Total U.S. tax-exempt assets$1,296
Total U.S. institutional tax-exempt$1,296
Internally managed$1,296
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,022
Foreign equity, active$274
Active domestic equity strategies:
Growth:
Large cap$2
Midcap$368
Small cap$626
Broad market$3
Active international strategies:
Emerging markets equity$63
Worldwide mutual fund assets$924
No. of portfolio managers9
Size of research staff18
Richard H. Driehaus is chief investment officer; Jason Pomatto is client contact.
DSI International Management Inc.
400 Atlantic St., 5th Floor, Stamford, CT 06901; phone: 203-719-6200; fax: 203-719-6075; www.ubs.com
Dollars are in U.S. millions.
Total assets managed worldwide$6,678
Total worldwide institutional assets$6,678
Total U.S. assets$4,303
Total U.S. tax-exempt assets$4,303
Total U.S. institutional tax-exempt$4,303
Internally managed$4,303
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, enhanced index$3,970
Foreign equity, enhanced index$333
No. of portfolio managers6
The parent is UBS AG.
John Holmgren Sr. is chief investment officer; Tiziana Holmgren is client contact.
Duff & Phelps Investment Management Co.
55 E. Monroe St., Suite 3600, Chicago, IL 60603; phone: 312-263-2610; fax: 312-630-2468; www.dpimc.com
Dollars are in U.S. millions.
Total assets managed worldwide$5,923
Total worldwide institutional assets$4,993
Total U.S. assets$5,923
Total U.S. tax-exempt assets$449
Total U.S. institutional tax-exempt$310
Internally managed$310
Asset mix:
Equity80%
Fixed income11%
Cash9%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$84
U.S. equity, passive$2
REITs$163
U.S. bond, active$34
Cash$27
Active domestic equity strategies:
Value:
Large cap$84
Passive domestic equity strategies:
Value:
Large cap$2
Domestic fixed-income strategies:
Core$34
No. of portfolio managers13
Size of research staff18
The parent is Phoenix Investment Partners Ltd.
Nathan Partain is chief investment officer; Barry Cope is client contact.
Duncan-Hurst Capital Management LP
4365 Executive Drive, Suite 1520, San Diego, CA 92121; phone: 858-597-4800; fax: 858-597-4802; www.duncan-hurst.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,330
Total worldwide institutional assets$1,320
Total U.S. assets$1,330
Total U.S. tax-exempt assets$1,282
Total U.S. institutional tax-exempt$1,282
Internally managed$1,282
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,176
Foreign equity, active$106
Active domestic equity strategies:
Growth:
Large cap$289
Midcap$33
Small cap$854
Active international strategies:
Emerging markets equity$21
Worldwide mutual fund assets$38
Defined contribution assets:
Total$126
Internally managed$126
Plan type:
Corporate 401(k)$126
Investment vehicle:
Separate accounts$126
No. of portfolio managers4
Size of research staff6
William Duncan Jr. is chief investment officer; Frank Hurst is client contact.
DuPont Capital Management Corp.
1 Righter Parkway, Suite 3200, Wilmington, DE 19803; phone: 302-477-6000; fax: 302-477-6301; www.dupontcapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$26,232
Total worldwide institutional assets$26,232
Total U.S. assets$23,446
Total U.S. tax-exempt assets$23,446
Total U.S. institutional tax-exempt$23,446
Internally managed$23,446
Asset mix:
Equity48%
Fixed income42%
Equity real estate1%
Other9%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$6,158
Foreign equity, active$5,037
U.S. bond, active$10,185
Venture capital$2,001
Other private equity, domestic$65
Active domestic equity strategies:
Core:
Large cap$5,099
Midcap$720
Small cap$339
Active international strategies:
Emerging markets equity$610
Emerging markets debt$310
Domestic fixed-income strategies:
Stable value$6,240
Core$3,899
Defined contribution assets:
Total$6,240
Internally managed$6,240
Plan type:
401(a)$6,240
Investment vehicle:
Separate accounts$6,240
No. of portfolio managers19
Size of research staff22
The parent is E. I. du Pont de Nemours & Co.
Valerie Sill is chief investment officer; Jack Kirkpatrick is client contact; Karen Chong-Wulff is DC client contact.
Dwight Asset Management Co.
100 Bank St., Suite 800, Burlington, VT 05401; phone: 802-862-4170; fax: 802-862-5097; www.dwight.com
Dollars are in U.S. millions.
Total assets managed worldwide$42,351
Total worldwide institutional assets$41,800
Total U.S. assets$42,220
Total U.S. tax-exempt assets$25,413
Total U.S. institutional tax-exempt$24,891
Assigned to external managers$2,336
Internally managed$22,555
Asset mix:
Fixed income100%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active$4,500
Foreign bond, active$160
High-yield bonds$75
Mortgage-backed securities$6,100
Other asset-backed securities$2,600
Cash$1,800
Worldwide mutual fund assets$529
Defined contribution assets:
Total$14,900
Internally managed$12,564
No. of portfolio managers18
Size of research staff12
The parent is Old Mutual (US) Holdings Inc.
David Thompson is chief investment officer; David Richardson is client contact.
Eads & Heald Investment Counsel
2100 RiverEdge Parkway N.W., Suite 760, Atlanta, GA 30328; phone: 770-988-9556; fax: 770-988-9378; www.eadsheald.com
Dollars are in U.S. millions.
Total assets managed worldwide$353
Total worldwide institutional assets$79
Total U.S. assets$353
Total U.S. tax-exempt assets$127
Total U.S. institutional tax-exempt$60
Internally managed$60
Asset mix:
Equity92%
Fixed income4%
Cash4%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$53
U.S. bond, passive$4
Cash$3
Active domestic equity strategies:
Core:
Large cap$53
Domestic fixed-income strategies:
Other$6
No. of portfolio managers5
Size of research staff1
R. Stewart Eads is chief investment officer; Thomas Heald is client contact.
Eagle Asset Management Inc.
880 Carillon Parkway, P.O. Box 10520, St. Petersburg, FL 33733-0520; phone: 727-573-2453; fax: 727-567-8020; www.eagleasset.com
Dollars are in U.S. millions.
Total assets managed worldwide$10,394
Total worldwide institutional assets$6,084
Total U.S. assets$10,394
Total U.S. tax-exempt assets$5,253
Total U.S. institutional tax-exempt$3,839
Internally managed$3,839
Asset mix:
Equity92%
Fixed income8%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$3,516
U.S. bond, active$323
Active domestic equity strategies:
Growth:
Large cap$1,121
Midcap$389
Small cap$409
Value:
Large cap$28
Core:
Large cap$492
Small cap$999
Domestic fixed-income strategies:
Sector rotation$323
Worldwide mutual fund assets$1,252
No. of portfolio managers15
Size of research staff14
The parent is Raymond James Financial Inc.
Richard Rossi is client contact.
Eagle Capital Management LLC
499 Park Ave., 21st Floor, New York, NY 10022; phone: 212-293-4040; fax: 212-293-4045
Dollars are in U.S. millions.
Total assets managed worldwide$3,020
Total worldwide institutional assets$2,010
Total U.S. assets$3,020
Total U.S. tax-exempt assets$2,010
Total U.S. institutional tax-exempt$2,010
Internally managed$2,010
Asset mix:
Equity95%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$2,010
Active domestic equity strategies:
Value:
Large cap$2,010
No. of portfolio managers1
Size of research staff5
Ravenel Curry III is chief investment officer; Champ Meyercord is client contact.
Earnest Partners
75 14th St., Suite 2300, Atlanta, GA 30309; phone: 404-815-8772; fax: 404-815-8948; www.earnestpartners.com
Dollars are in U.S. millions.
Total assets managed worldwide$13,934
Total worldwide institutional assets$13,934
Total U.S. assets$13,934
Total U.S. tax-exempt assets$10,101
Total U.S. institutional tax-exempt$10,101
Internally managed$10,101
Asset mix:
Equity77%
Fixed income23%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$7,835
U.S. bond, active$2,266
Active domestic equity strategies:
Value:
Midcap$1,214
Small cap$2,661
Core:
Large cap$1,825
Small cap$1,238
Domestic fixed-income strategies:
Core$2,266
Paul Viera Jr. is chief investment officer; Trey Greer is client contact.
Eaton Vance Management (EV)
255 State St., Boston, MA 02109; phone: 617-482-8260; fax: 617-542-7410; www.eatonvance.com
Dollars are in U.S. millions.
Total assets managed worldwide$76,805
Total worldwide institutional assets$2,789
Total U.S. assets$944
Total U.S. tax-exempt assets$944
Total U.S. institutional tax-exempt$944
Internally managed$944
Asset mix:
Equity5%
Fixed income95%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$21
U.S. bond, active$923
Active domestic equity strategies:
Value:
Large cap$21
Domestic fixed-income strategies:
Core$363
Other$560
Worldwide mutual fund assets$70,377
No. of portfolio managers40
Size of research staff47
The parent is Eaton Vance Corp.
Thomas Faust Jr. is chief investment officer; Walter W. Shulits is client contact.
EGM Capital LLC
2 Embarcadero Center, Suite 1300, San Francisco, CA 94111; phone: 415-782-9600; fax: 415-782-9601; www.egm.com
Dollars are in U.S. millions.
Total assets managed worldwide$338
Total worldwide institutional assets$138
Total U.S. assets$320
Total U.S. tax-exempt assets$70
Total U.S. institutional tax-exempt$37
Internally managed$37
William Grayson is chief investment officer; Michael Mahoney is client contact.
1838 Investment Advisors LP
2701 Renaissance Blvd., 4th Floor, King of Prussia, PA 19406; phone: 484-322-4300; fax: 484-322-7258; www.1838.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,300
Total worldwide institutional assets$1,557
Total U.S. assets$2,300
Total U.S. tax-exempt assets$673
Total U.S. institutional tax-exempt$673
Internally managed$673
Asset mix:
Equity70%
Fixed income29%
Cash1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$471
U.S. bond, active$195
Cash$7
Active domestic equity strategies:
Core:
Large cap$471
Defined contribution assets:
Total$255
Internally managed$255
Plan type:
Corporate 401(k)$60
Taft-Hartley$195
Investment vehicle:
Separate accounts$255
No. of portfolio managers2
Size of research staff7
Ross Chapin is chief investment officer; Tim Carver is client contact; John Springrose is DC client contact.
Emerald Advisers Inc.
1703 Oregon Pike, Lancaster, PA 17601; phone: 717-396-1116; fax: 717-735-0088; www.teamemerald.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,012
Total worldwide institutional assets$1,562
Total U.S. assets$2,012
Total U.S. tax-exempt assets$1,559
Total U.S. institutional tax-exempt$1,509
Internally managed$1,509
Asset mix:
Equity98%
Cash2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,509
Active domestic equity strategies:
Growth:
Small cap$1,316
Core:
Small cap$174
Worldwide mutual fund assets$425
No. of portfolio managers2
Size of research staff10
The parent is Emerald Asset Management Inc.
Kenneth G. Mertz II is chief investment officer; John V. Thompson is client contact.
Emerging Markets Investors Corp. - Emerging Markets Management LLC
1001 19th St. N., 17th Floor, Arlington, VA 22209-1722; phone: 703-243-8800; fax: 703-243-2266; www.emi-emm.com
Dollars are in U.S. millions.
Total assets managed worldwide$12,071
Total worldwide institutional assets$10,755
Total U.S. assets$4,159
Total U.S. tax-exempt assets$4,159
Total U.S. institutional tax-exempt$4,159
Internally managed$4,159
Asset mix:
Equity98%
Cash2%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$4,159
Active international strategies:
Emerging markets equity$4,159
No. of portfolio managers8
Size of research staff10
Antoine van Agtmael is chief investment officer; Joana Arthur is client contact.
Engemann Asset Management
600 N. Rosemead Blvd., Pasadena, CA 91107; phone: 626-351-9686; fax: 626-351-1211; www.eam.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,816
Total worldwide institutional assets$1,371
Total U.S. assets$3,816
Total U.S. tax-exempt assets$633
Total U.S. institutional tax-exempt$8
Internally managed$8
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$8
Active domestic equity strategies:
Growth:
Large cap$6
Small cap$2
Worldwide mutual fund assets$2,355
No. of portfolio managers7
Size of research staff9
The parent is Phoenix Investment Partners Ltd.
Gretchen Lash is chief investment officer; Stephen Haas is client contact.
Enterprise Capital Management
3343 Peachtree Road N.E., Suite 450, Atlanta, GA 30326; phone: 800-432-4320; fax: 404-261-5646; www.enterprisefunds.com
Dollars are in U.S. millions.
Total assets managed worldwide$4,874
Total worldwide institutional assets$196
Total U.S. assets$4,874
Total U.S. tax-exempt assets$735
Total U.S. institutional tax-exempt$57
Assigned to external managers$57
Worldwide mutual fund assets$4,874
The parent is AXA Financial Inc.
Equinox Capital Management LLC
590 Madison Ave., 41st Floor, New York, NY 10022; phone: 212-207-1100; fax: 212-754-4935
Dollars are in U.S. millions.
Total assets managed worldwide$6,191
Total worldwide institutional assets$6,074
Total U.S. assets$5,654
Total U.S. tax-exempt assets$5,595
Total U.S. institutional tax-exempt$5,595
Internally managed$5,595
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$5,595
Active domestic equity strategies:
Value:
Large cap$5,595
Pure quantitative$5,595
No. of portfolio managers2
Size of research staff5
Ronald J. Ulrich is chief investment officer; Peter Jones is client contact.
Essex Investment Management Co. LLC
125 High St., 29th Floor, Boston, MA 02110-2702; phone: 617-342-3200; fax: 617-342-3311; www.essexinvest.com
Dollars are in U.S. millions.
Total assets managed worldwide$5,673
Total worldwide institutional assets$3,818
Total U.S. assets$5,673
Total U.S. tax-exempt assets$3,818
Total U.S. institutional tax-exempt$3,818
Internally managed$3,818
Asset mix:
Equity90%
Other10%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$3,537
U.S. bond, active$15
Hedge funds$266
Active domestic equity strategies:
Growth:
Large cap$1,038
Midcap$30
Small cap$149
Broad market$2,044
Worldwide mutual fund assets$876
No. of portfolio managers6
Size of research staff13
The parent is Affiliated Managers Group Inc.
Joseph McNay is chief investment officer; Stephen Dunn is client contact.
Estabrook Capital Management LLC
1633 Broadway, 30th Floor, New York, NY 10019; phone: 646-710-8500; fax: 646-710-8562
Dollars are in U.S. millions.
Total assets managed worldwide$2,360
Total worldwide institutional assets$1,486
Total U.S. assets$2,360
Total U.S. tax-exempt assets$1,370
Total U.S. institutional tax-exempt$1,082
Internally managed$1,082
Asset mix:
Equity70%
Fixed income30%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$757
U.S. bond, passive$325
Active domestic equity strategies:
Growth:
Large cap$100
Midcap$20
Value:
Large cap$562
Midcap$75
No. of portfolio managers7
Size of research staff1
The parent is Bank of New York.
William C. McClean is chief investment officer; Scott R. Snyder is client contact.
Eubel Brady & Suttman Asset Management Inc.
7777 Washington Village Drive, Suite 210, Dayton, OH 45459; phone: 937-291-1223; fax: 937-291-9360; www.ebs-asset.com
Dollars are in U.S. millions.
Total assets managed worldwide$5,344
Total worldwide institutional assets$3,227
Total U.S. assets$5,344
Total U.S. tax-exempt assets$3,111
Total U.S. institutional tax-exempt$2,538
Internally managed$2,538
Asset mix:
Equity99%
Fixed income1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$2,521
U.S. bond, active$17
Active domestic equity strategies:
Value:
Midcap$1,824
Small cap$352
Broad market$345
Domestic fixed-income strategies:
Stable value$17
Defined contribution assets:
Total$225
Internally managed$225
Plan type:
Corporate 401(k)$51
Taft-Hartley$173
Other$1
Investment vehicle:
Separate accounts$225
No. of portfolio managers7
Size of research staff4
Ronald Eubel is chief investment officer; William Hazel is client contact.
Evergreen Investments
200 Berkeley St., Boston, MA 02116; phone: 617-210-3200; fax: 617-210-3328; www.evergreeninvestments.com
Dollars are in U.S. millions.
Total assets managed worldwide$247,658
Total worldwide institutional assets$142,186
Total U.S. assets$235,570
Total U.S. tax-exempt assets$71,917
Total U.S. institutional tax-exempt$71,917
Assigned to external managers$48
Internally managed$71,869
Asset mix:
Equity33%
Fixed income61%
Cash6%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$13,354
U.S. equity, passive$6,865
U.S. equity, enhanced index$1,529
Foreign equity, active$2,073
Foreign equity, enhanced index$90
U.S. bond, active$42,619
Foreign bond, active$455
High-yield bonds$436
Cash$4,448
Active domestic equity strategies:
Growth:
Large cap$1,228
Midcap$83
Small cap$1,001
Value:
Large cap$552
Midcap$227
Small cap$4,605
Core:
Large cap$5,658
Passive domestic equity strategies:
Growth:
Large cap$711
Value:
Large cap$812
Core:
Large cap$4,235
Midcap$1,107
Active international strategies:
Emerging markets equity$148
Emerging markets debt$5
Domestic fixed-income strategies:
Stable value$1,559
Core$15,425
Other$25,635
Worldwide mutual fund assets$104,251
Defined contribution assets:
Total$6,500
Internally managed$6,500
Plan type:
Corporate 401(k)$5,308
457$52
401(a)$876
Other$264
Investment vehicle:
Mutual funds$5,717
Separate accounts$783
No. of portfolio managers265
Size of research staff92
The parent is Wachovia Corp.
Dennis Ferro is chief investment officer; Patrick O'Brien is client contact; Phillip Pounds is DC client contact.
The assets of the following subsidiaries are included in the figures above: Evergreen International Advisors; Evergreen Investment Management Co. LLC; J.L. Kaplan Associates LLC; Tattersall Advisory Group.
F&C Asset Management Plc
30 Rowes Wharf, Suite 540, Boston, MA 02110; phone: 617-426-9050; fax: 617-426-3433; www.fandc.com
Dollars are in U.S. millions.
Total assets managed worldwide$239,484
Total worldwide institutional assets$213,684
Total U.S. assets$458
Total U.S. tax-exempt assets$458
Total U.S. institutional tax-exempt$458
Internally managed$458
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$458
Active international strategies:
Emerging markets equity$458
No. of portfolio managers20
The parent is Friends Provident PLC.
Anthony Broccardo is chief investment officer; William Boardman III is client contact.
Federated Investors (FII) Inc. (FII)
1001 Liberty Ave., Pittsburgh, PA 15222-3779; phone: 800-245-5000; fax: 412-288-1093; www.federatedinvestors.com
Dollars are in U.S. millions.
Total assets managed worldwide$178,862
Total worldwide institutional assets$160,976
Total U.S. assets$175,250
Total U.S. tax-exempt assets$34,940
Total U.S. institutional tax-exempt$31,126
Assigned to external managers$594
Internally managed$30,532
Asset mix:
Equity23%
Fixed income68%
Cash9%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$5,337
U.S. equity, passive$594
Foreign equity, active$256
U.S. bond, active$21,128
Foreign bond, active$213
High-yield bonds$621
Cash$2,383
Active domestic equity strategies:
Growth:
Large cap$148
Midcap$1,105
Small cap$1,190
Value:
Large cap$1,115
Midcap$640
Core:
Large cap$1,139
Passive domestic equity strategies:
Core:
Large cap$368
Midcap$198
Small cap$28
Active international strategies:
Emerging markets debt$151
Domestic fixed-income strategies:
Stable value$1,822
Core$18,704
Other$1,223
Worldwide mutual fund assets$155,380
Defined contribution assets:
Total$19,294
Internally managed$18,700
Plan type:
Corporate 401(k)$7,036
Other 401(k)$5,876
Taft-Hartley$88
457$1,900
401(a)$1,900
403(b)$1,900
Investment vehicle:
Mutual funds$17,183
Variable annuities$503
Separate accounts$449
Other commingled$565
No. of portfolio managers43
Size of research staff72
Keith Schappert is chief investment officer; James Heaton is client contact.
Ferguson Wellman Capital Management Inc.
888 S.W. Fifth Ave., Suite 1200, Portland, OR 97204; phone: 503-226-1444; fax: 503-226-3647; www.fergusonwellman.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,018
Total worldwide institutional assets$915
Total U.S. assets$2,018
Total U.S. tax-exempt assets$1,059
Total U.S. institutional tax-exempt$835
Internally managed$835
Asset mix:
Equity50%
Fixed income50%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$418
U.S. bond, active$417
Active domestic equity strategies:
Core:
Large cap$418
Domestic fixed-income strategies:
Market timing/active duration$417
Defined contribution assets:
Total$105
Internally managed$105
Plan type:
Taft-Hartley$18
Other$87
Investment vehicle:
Separate accounts$105
No. of portfolio managers8
Size of research staff2
George Hosfield is chief investment officer; Donald Rainer is client contact.
Fidelity Investments
82 Devonshire St., Boston, MA 02109; phone: 800-343-3548; www.fidelity.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,286,107
Total worldwide institutional assets$809,656
Total U.S. assets$1,105,700
Total U.S. tax-exempt assets$714,771
Total U.S. institutional tax-exempt$504,594
Assigned to external managers$24,553
Internally managed$480,041
Asset mix:
Equity69%
Fixed income19%
Equity real estate1%
Cash11%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$276,230
U.S. equity, enhanced index$16,882
Foreign equity, active$37,572
Foreign equity, enhanced index$4,551
REITs$473
U.S. bond, active$54,191
U.S. bond, enhanced index$10,270
High-yield bonds$7,542
Mortgage-backed securities$5,670
Convertibles$326
Equity real estate, domestic$3,325
Cash$53,623
Active international strategies:
Emerging markets equity$525
Emerging markets debt$2,151
Domestic fixed-income strategies:
Stable value$41,760
Core$9,191
Other$11,108
Worldwide mutual fund assets$922,959
Defined contribution assets:
Total$419,589
Internally managed$399,170
Plan type:
Corporate 401(k)$336,558
Taft-Hartley$1,263
457$2,705
401(a)$8,546
403(b)$38,576
Other$11,522
Investment vehicle:
Mutual funds$333,654
Variable annuities$41,697
Separate accounts$3,503
Other commingled$20,316
No. of portfolio managers174
Size of research staff306
The parent is FMR Corp.
Joe Dattilo is client contact.
The assets of subsidiaries Fidelity Institutional Retirement Services Co., Fidelity Investments Tax-Exempt Services Co. and Fidelity Management Trust Co. are included in the figures above.
Fiduciary Asset Management LLC
8112 Maryland Ave., Suite 400, St. Louis, MO 63105; phone: 314-446-6700; fax: 314-446-6701; www.famco.com
Dollars are in U.S. millions.
Total assets managed worldwide$15,181
Total worldwide institutional assets$14,924
Total U.S. assets$14,381
Total U.S. tax-exempt assets$13,967
Total U.S. institutional tax-exempt$13,140
Assigned to external managers$6,453
Internally managed$6,687
Asset mix:
Equity81%
Fixed income19%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,288
U.S. equity, enhanced index$981
U.S. bond, active$1,298
Hedge funds$3,120
Active domestic equity strategies:
Core:
Large cap$1,276
Small cap$12
Domestic fixed-income strategies:
Core$1,298
Overlay strategies:
Derivative strategies$3,120
Internally managed underlying assets$3,120
Defined contribution assets:
Total$1,058
Internally managed$1,058
Plan type:
Corporate 401(k)$1,058
Investment vehicle:
Separate accounts$1,058
No. of portfolio managers8
Size of research staff5
Charles Walbrandt is chief investment officer; Jeffrey Swope is client contact.
Fiduciary Capital Management Inc.
1062 Barnes Road, Suite 202, P.O. Box 80, Wallingford, CT 06492-0080; phone: 203-269-0440; fax: 203-269-6440; www.fcmstablevalue.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,693
Total worldwide institutional assets$1,693
Total U.S. assets$1,693
Total U.S. tax-exempt assets$1,693
Total U.S. institutional tax-exempt$1,693
Assigned to external managers$200
Internally managed$1,493
Asset mix:
Fixed income20%
Cash2%
GICs78%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, passive$119
Mortgage-backed securities$45
Private placements, domestic$1,293
Cash$36
Domestic fixed-income strategies:
Stable value$1,493
Defined contribution assets:
Total$1,493
Internally managed$1,493
Plan type:
Corporate 401(k)$800
Taft-Hartley$40
Other$653
Investment vehicle:
Separate accounts$1,476
Other commingled$17
The parent is Ohio National Financial Services Inc.
Peter E. Bowles is chief investment officer and client contact.
Fiduciary Management Associates LLC
55 W. Monroe St., Suite 2550, Chicago, IL 60603; phone: 312-930-6850; fax: 312-641-2511; www.fmausa.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,256
Total worldwide institutional assets$1,227
Total U.S. assets$1,256
Total U.S. tax-exempt assets$1,256
Total U.S. institutional tax-exempt$1,191
Internally managed$1,191
Asset mix:
Equity79%
Fixed income21%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$949
U.S. bond, active$242
Active domestic equity strategies:
Value:
Large cap$278
Small cap$408
Core:
Large cap$263
Pure quantitative$725
Domestic fixed-income strategies:
Core$242
Worldwide mutual fund assets$223
Defined contribution assets:
Total$34
Internally managed$34
Plan type:
Other 401(k)$4
Taft-Hartley$30
Investment vehicle:
Separate accounts$34
No. of portfolio managers4
Size of research staff4
Kathryn Vorisek is chief investment officer; Robert Carr Jr. is client contact.
Fiduciary Management Inc. of Milwaukee
100 E. Wisconsin Ave., Suite 2200, Milwaukee, WI 53202; phone: 414-226-4545; fax: 414-226-4522; www.fiduciarymgt.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,086
Total worldwide institutional assets$1,102
Total U.S. assets$2,956
Total U.S. tax-exempt assets$936
Total U.S. institutional tax-exempt$854
Internally managed$854
Asset mix:
Equity94%
Fixed income6%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$704
U.S. bond, active$150
Active domestic equity strategies:
Core:
Large cap$18
Small cap$686
Domestic fixed-income strategies:
Core$150
Worldwide mutual fund assets$1,663
No. of portfolio managers5
Size of research staff3
Ted Kellner is chief investment officer; Bladen Burns is client contact.
Fiduciary Trust
600 Fifth Ave., Rockefeller Center, New York, NY 10020; phone: 212-632-3000; www.ftinstitutional.com
See entry for FRANKLIN TEMPLETON (BEN) INVESTMENTS (BEN).
Asset mix:
Equity100%
Fifth Third Asset Management
38 Fountain Square Plaza, MD 1090D8, Cincinnati, OH 45263; phone: 800-786-8651; fax: 513-534-4312; www.53.com
See entry for FIFTH THIRD BANCORP.
Asset mix:
Equity100%
Fifth Third Bancorp
38 Fountain Square Plaza, MD 1090C7, Cincinnati, OH 45263; phone: 513-534-5300; fax: 513-579-4312; www.53.com
Dollars are in U.S. millions.
Total assets managed worldwide$33,665
Total worldwide institutional assets$17,657
Total U.S. assets$33,665
Total U.S. tax-exempt assets$11,813
Total U.S. institutional tax-exempt$11,813
Internally managed$11,813
Worldwide mutual fund assets$13
Defined contribution assets:
Total$6,158
Internally managed$6,158
Plan type:
Corporate 401(k)$6,157
403(b)$1
Investment vehicle:
Mutual funds$6,158
No. of portfolio managers36
Size of research staff11
Keith Wirtz is chief investment officer; Joe Kerrigan is client contact.
The assets of the following subsidiary is included in the figures above:
Fifth Third Asset Management manages $21.847 billion in total assets and $8.694 billion in U.S. institutional tax-exempt assets. Keith Wirtz is chief investment officer; Christine Duval is client contact at 612-376-2849.
Financial Management Advisors LLC
1900 Avenue of the Stars, Suite 900, Los Angeles, CA 90067; phone: 310-229-2940; fax: 310-229-2954; www.fmaadvisors.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,611
Total worldwide institutional assets$1,275
Total U.S. assets$1,606
Total U.S. tax-exempt assets$1,206
Total U.S. institutional tax-exempt$1,194
Internally managed$1,194
Asset mix:
Equity2%
Fixed income98%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$25
U.S. bond, active$358
High-yield bonds$781
Mortgage-backed securities$15
Hedge funds$7
Cash$8
Active domestic equity strategies:
Growth:
Large cap$18
Midcap$4
Small cap$3
Domestic fixed-income strategies:
Sector rotation$793
Core$376
Worldwide mutual fund assets$54
Defined contribution assets:
Total$10
Internally managed$10
Plan type:
Other$10
Investment vehicle:
Separate accounts$10
No. of portfolio managers4
Size of research staff4
Kenneth Malamed is chief investment officer; Douglas Gratz is client contact.
First American Trust FSB
421 N. Main St., Santa Ana, CA 92701; phone: 714-647-2777; fax: 714-973-8829; www.firstamtrust.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,638
Total worldwide institutional assets$830
Total U.S. assets$1,638
Total U.S. tax-exempt assets$353
Total U.S. institutional tax-exempt$294
Internally managed$294
Defined contribution assets:
Total$29
Internally managed$29
Plan type:
Corporate 401(k)$17
Other 401(k)$12
Investment vehicle:
Separate accounts$29
No. of portfolio managers8
Size of research staff1
The parent is First American Corp.
David (D.K.) Willardson is chief investment officer; Brad Hixson is client contact.
First Citizens Capital Management Group
3128 Smoketree Court, Raleigh, NC 27604; phone: 919-716-2650; fax: 919-716-7545; www.firstcitizens.com
Dollars are in U.S. millions.
Total assets managed worldwide$7,598
Total worldwide institutional assets$4,440
Total U.S. assets$7,598
Total U.S. tax-exempt assets$4,062
Total U.S. institutional tax-exempt$3,984
Assigned to external managers$79
Internally managed$3,905
Asset mix:
Equity96%
Fixed income4%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,125
U.S. equity, passive$2,652
U.S. bond, active$117
Cash$11
Active domestic equity strategies:
Core:
Large cap$117
Midcap$19
Pure quantitative$136
Passive domestic equity strategies:
Core:
Large cap$2,652
Defined contribution assets:
Total$401
Internally managed$390
Plan type:
Corporate 401(k)$390
Investment vehicle:
Mutual funds$46
Separate accounts$344
No. of portfolio managers4
Size of research staff4
The parent is First Citizens Bank.
Eric Teal is chief investment officer; Rick Roeder is client contact; Lewis Gene is DC client contact.
First Fiduciary Investment Counsel Inc.
1375 E. Ninth St., Suite 2450, Cleveland, OH 44114; phone: 216-623-7700; fax: 216-623-6351; www.firstfiduciary.com
Dollars are in U.S. millions.
Total assets managed worldwide$251
Total worldwide institutional assets$113
Total U.S. assets$251
Total U.S. tax-exempt assets$175
Total U.S. institutional tax-exempt$110
Internally managed$110
Asset mix:
Equity85%
Fixed income3%
Cash12%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$94
U.S. bond, active$3
Cash$13
Active domestic equity strategies:
Value:
Large cap$94
Domestic fixed-income strategies:
Market timing/active duration$3
No. of portfolio managers4
Mary Anderson is chief investment officer; Robert Chiles is client contact.
First Investment Group
1620 Dodge St., Mail Stop 1075, Omaha, NE 68197; phone: 402-341-0500; fax: 402-633-3340; www.firstfocusfunds.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,951
Total worldwide institutional assets$703
Total U.S. assets$1,951
Total U.S. tax-exempt assets$668
Total U.S. institutional tax-exempt$630
Internally managed$630
Asset mix:
Equity38%
Fixed income39%
Cash23%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$240
U.S. bond, active$246
Cash$144
Active domestic equity strategies:
Value:
Large cap$184
Small cap$83
Domestic fixed-income strategies:
Core$342
Worldwide mutual fund assets$455
Defined contribution assets:
Total$2
Internally managed$2
Plan type:
Other 401(k)$2
Investment vehicle:
Mutual funds$2
No. of portfolio managers6
Size of research staff3
The parent is First National Bank of Omaha.
Steve Frantz is chief investment officer and client contact.
First Midwest Trust Co.
2801 W. Jefferson St., Joliet, IL 60435-5352; phone: 815-773-2604; fax: 815-773-2690; www.firstmidwest.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,349
Total worldwide institutional assets$449
Total U.S. assets$1,349
Total U.S. tax-exempt assets$604
Total U.S. institutional tax-exempt$440
Internally managed$440
Asset mix:
Equity40%
Fixed income55%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$176
U.S. bond, active$242
Cash$22
Active domestic equity strategies:
Core:
Large cap$152
Midcap$9
Small cap$1
Pure quantitative$176
Domestic fixed-income strategies:
Market timing/active duration$242
Defined contribution assets:
Total$52
Internally managed$52
Plan type:
Corporate 401(k)$52
Investment vehicle:
Mutual funds$5
Separate accounts$21
Other commingled$26
No. of portfolio managers4
The parent is First Midwest Bancorp.
Joy Gruber is chief investment officer; Robert Dciedrich is client contact.
First Pacific Advisors Inc.
c/o Greg Reid Associates Inc., 841 Main St., Suite 5, Walpole, MA 02081; phone: 508-660-0044; fax: 508-660-0016; www.gregreid.com
Dollars are in U.S. millions.
Total assets managed worldwide$8,417
Total worldwide institutional assets$2,167
Total U.S. assets$8,417
Total U.S. tax-exempt assets$1,760
Total U.S. institutional tax-exempt$1,756
Internally managed$1,756
Asset mix:
Equity75%
Fixed income25%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,318
U.S. bond, active$438
Active domestic equity strategies:
Value:
Small cap$1,318
Domestic fixed-income strategies:
Core$438
Worldwide mutual fund assets$5,762
No. of portfolio managers6
Size of research staff1
The parent is Old Mutual (US) Holdings Inc.
Robert Rodriguez is chief investment officer; Sharon Midura is client contact.
First Quadrant LP
800 E. Colorado Blvd., Suite 900, Pasadena, CA 91101; phone: 626-795-8220; fax: 626-795-8306; www.firstquadrant.com
Dollars are in U.S. millions.
Total assets managed worldwide$21,041
Total worldwide institutional assets$20,881
Total U.S. assets$11,823
Total U.S. tax-exempt assets$9,308
Total U.S. institutional tax-exempt$9,308
Internally managed$9,308
Asset mix:
Equity45%
Other55%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$4,072
Foreign equity, active$130
Active domestic equity strategies:
Value:
Small cap$193
Core:
Large cap$2,471
Midcap$628
Broad market$780
Pure quantitative$4,072
Worldwide mutual fund assets$248
Overlay strategies:
Derivative strategies$5,104
Internally managed underlying assets$5,104
Defined contribution assets:
Total$157
Internally managed$157
Plan type:
Other$157
Investment vehicle:
Separate accounts$157
No. of portfolio managers3
Size of research staff14
First Quadrant LP also manages tactical asset allocation, tactical options programs and tactical currency allocations.
The parent is Affiliated Managers Group Inc.
Max Darnell is chief investment officer; Rick Roberts is client contact.
FIS Group Inc.
1608 Walnut St., Suite 600, Philadelphia, PA 19103; phone: 215-567-1100; fax: 215-567-1810; www.fisgrp.com
Dollars are in U.S. millions.
Total assets managed worldwide$666
Total worldwide institutional assets$666
Total U.S. assets$666
Total U.S. tax-exempt assets$666
Total U.S. institutional tax-exempt$666
Assigned to external managers$666
Size of research staff3
Tina Byles Poitevien is chief investment officer; Edward M. Swan Jr. is client contact.
Fischer Francis Trees & Watts Inc.
200 Park Ave., 46th Floor, New York, NY 10166; phone: 212-681-3000; fax: 212-681-3250; www.fftw.com
Dollars are in U.S. millions.
Total assets managed worldwide$38,554
Total worldwide institutional assets$38,554
Total U.S. assets$12,664
Total U.S. tax-exempt assets$9,665
Total U.S. institutional tax-exempt$9,665
Internally managed$9,665
Asset mix:
Fixed income100%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active$6,198
Foreign bond, active$3,354
Mortgage-backed securities$113
Domestic fixed-income strategies:
Core$6,199
Worldwide mutual fund assets$1,952
Overlay strategies:
Currency$3,420
Internally managed underlying assets$3,420
Defined contribution assets:
Total$110
Internally managed$110
Plan type:
Corporate 401(k)$110
Investment vehicle:
Separate accounts$110
No. of portfolio managers17
Size of research staff21
The parent is Charter Atlantic Corp.
Stewart Russell is chief investment officer; David Muller is client contact.
Fisher Investments Inc.
13100 Skyline Blvd., Woodside, CA 94062; phone: 800-851-8845; fax: 650-745-1005; www.fi.com
Dollars are in U.S. millions.
Total assets managed worldwide$25,444
Total worldwide institutional assets$8,694
Total U.S. assets$23,431
Total U.S. tax-exempt assets$13,308
Total U.S. institutional tax-exempt$6,413
Internally managed$6,413
Asset mix:
Equity99%
Cash1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,668
Foreign equity, active$4,745
Active domestic equity strategies:
Value:
Midcap$39
Small cap$1,455
Core:
Large cap$174
Active international strategies:
Emerging markets equity$118
Worldwide mutual fund assets$472
No. of portfolio managers3
Size of research staff11
Kenneth Fisher is chief investment officer; Justin Arbuckle is client contact.
Flippin, Bruce & Porter Inc.
800 Main St., 2nd Floor, P.O. Box 6138, Lynchburg, VA 24505-6138; phone: 434-845-4900; fax: 434-846-3846; www.fbpinc.com
Dollars are in U.S. millions.
Total assets managed worldwide$4,152
Total worldwide institutional assets$2,473
Total U.S. assets$4,152
Total U.S. tax-exempt assets$2,459
Total U.S. institutional tax-exempt$2,420
Internally managed$2,420
Asset mix:
Equity87%
Fixed income6%
Cash7%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$2,110
U.S. bond, active$136
Cash$174
Active domestic equity strategies:
Value:
Large cap$2,110
Domestic fixed-income strategies:
Other$136
Worldwide mutual fund assets$125
Defined contribution assets:
Total$416
Internally managed$416
Plan type:
Corporate 401(k)$36
Other$380
Investment vehicle:
Separate accounts$416
No. of portfolio managers8
Size of research staff4
John M. Flippin is chief investment officer; John H. Hanna IV is client contact.
Forest Investment Associates
15 Piedmont Center, Suite 1250, Atlanta, GA 30305; phone: 404-261-9575; fax: 404-261-9574; www.forestinvest.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,018
Total worldwide institutional assets$1,841
Total U.S. assets$2,018
Total U.S. tax-exempt assets$1,841
Total U.S. institutional tax-exempt$1,841
Internally managed$1,841
Asset mix:
Equity real estate100%
Internal U.S. institutional tax-exempt assets in:
Timber$1,841
No. of portfolio managers9
Size of research staff4
Michael Kelly is chief investment officer; Scott Bond is client contact.
Forstmann-Leff Associates LLC
590 Madison Ave., 39th Floor, New York, NY 10022; phone: 212-407-9405; fax: 212-407-9427; www.forstmannleff.com
Dollars are in U.S. millions.
Total assets managed worldwide$4,436
Total worldwide institutional assets$4,269
Total U.S. assets$4,274
Total U.S. tax-exempt assets$3,082
Total U.S. institutional tax-exempt$3,079
Internally managed$3,079
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$3,079
Active domestic equity strategies:
Growth:
Large cap$616
Midcap$792
Small cap$663
Broad market$315
Core:
Midcap$113
Small cap$462
No. of portfolio managers10
Size of research staff12
The parent is Refco Group Holdings Inc.
Thomas Galvin is chief investment officer; Richard Goldman is client contact.
Fort Washington Investment Advisors Inc.
420 E. Fourth St., Cincinnati, OH 45202; phone: 513-361-7600; fax: 513-361-7605; www.fortwashington.com
Dollars are in U.S. millions.
Total assets managed worldwide$27,791
Total worldwide institutional assets$27,208
Total U.S. assets$27,791
Total U.S. tax-exempt assets$4,595
Total U.S. institutional tax-exempt$4,560
Internally managed$4,560
Asset mix:
Equity65%
Fixed income31%
Cash4%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$2,984
U.S. bond, active$960
High-yield bonds$446
Cash$170
Active domestic equity strategies:
Growth:
Large cap$3
Value:
Large cap$2,806
Core:
Large cap$175
Domestic fixed-income strategies:
Core$960
High yield$446
Worldwide mutual fund assets$1,200
Defined contribution assets:
Total$18
Internally managed$18
Plan type:
Other$18
Investment vehicle:
Separate accounts$18
No. of portfolio managers26
Size of research staff13
The parent is Western & Southern Financial Group.
Nicholas Sargen is chief investment officer; Margaret Bell is client contact.
The assets of the following subsidiaries are included in the figures above:
Todd Investment Advisors Inc. manages $3.5 billion in total assets and $2.942 billion in U.S. institutional tax-exempt assets. Robert Bordogna is chief investment officer; Matthew Saltzman is client contact at 502-585-3121.
Fortaleza Asset Management Inc.
200 W. Adams St., Suite 2000, Chicago, IL 60606; phone: 312-621-6111; fax: 312-621-6112
Dollars are in U.S. millions.
Total assets managed worldwide$205
Total worldwide institutional assets$204
Total U.S. assets$205
Total U.S. tax-exempt assets$204
Total U.S. institutional tax-exempt$204
Internally managed$204
Asset mix:
Equity98%
Cash2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$200
Cash$4
Active domestic equity strategies:
Growth:
Small cap$204
Pure quantitative$200
No. of portfolio managers1
Size of research staff2
Margarita Perez is chief investment officer; Carmen A. Heredia is client contact.
Fortis Investments
75 State St., Boston, MA 02109; phone: 617-478-7200; fax: 617-439-9789; www.fortisinvestments.com
Dollars are in U.S. millions.
Total assets managed worldwide$118,781
Total worldwide institutional assets$50,925
Total U.S. assets$6,350
Total U.S. tax-exempt assets$6,004
Total U.S. institutional tax-exempt$6,004
Internally managed$6,004
Asset mix:
Equity86%
Fixed income11%
Other3%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$3,444
Foreign equity, active$1,889
U.S. bond, active$671
Active domestic equity strategies:
Growth:
Large cap$858
Midcap$54
Small cap$36
Value:
Large cap$47
Core:
Large cap$2,155
Domestic fixed-income strategies:
Core$671
No. of portfolio managers88
Size of research staff55
The parent is Fortis Group.
Will Braman is chief investment officer; John Brown is client contact.
40/86 Advisors Inc.
535 N. College Drive, Carmel, IN 46032; phone: 866-299-4086; fax: 317-817-2384; www.4086.com
Dollars are in U.S. millions.
Total assets managed worldwide$26,610
Total worldwide institutional assets$26,175
Total U.S. assets$26,610
Total U.S. tax-exempt assets$2,831
Total U.S. institutional tax-exempt$2,396
Internally managed$2,396
Asset mix:
Fixed income100%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active$743
High-yield bonds$1,605
Mortgages$10
Mortgage-backed securities$27
Other asset-backed securities$11
Domestic fixed-income strategies:
Core$2,396
Worldwide mutual fund assets$435
Defined contribution assets:
Total$43
Internally managed$43
Plan type:
Taft-Hartley$43
Investment vehicle:
Separate accounts$43
No. of portfolio managers9
Size of research staff25
The parent is Conseco Inc.
Greg Hahn is chief investment officer; Brian Hamel is client contact.
Foundation Resource Management Inc.
401 W. Capitol Ave., Suite 503, Little Rock, AR 72201; phone: 501-604-3190; fax: 501-604-3195; www.foundationresourcemanagement.com
Dollars are in U.S. millions.
Total assets managed worldwide$879
Total worldwide institutional assets$797
Total U.S. assets$879
Total U.S. tax-exempt assets$155
Total U.S. institutional tax-exempt$138
Internally managed$138
Asset mix:
Equity72%
Fixed income16%
Cash12%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$100
U.S. bond, active$22
Cash$16
Active domestic equity strategies:
Value:
Broad market$100
Domestic fixed-income strategies:
Core$22
Defined contribution assets:
Total$47
Internally managed$47
Plan type:
Other$47
Investment vehicle:
Separate accounts$47
No. of portfolio managers2
Greg Hartz is chief investment officer; Mark Millsap is client contact.
Fox Asset Management LLC
44 Sycamore Ave., Little Silver, NJ 07739; phone: 732-747-6345; fax: 732-747-1523; www.foxasset.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,862
Total worldwide institutional assets$2,097
Total U.S. assets$2,862
Total U.S. tax-exempt assets$2,470
Total U.S. institutional tax-exempt$1,876
Internally managed$1,876
Asset mix:
Equity73%
Fixed income27%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,363
U.S. bond, active$513
Active domestic equity strategies:
Value:
Large cap$676
Midcap$87
Small cap$306
Broad market$39
Domestic fixed-income strategies:
Other$347
Worldwide mutual fund assets$171
Defined contribution assets:
Total$45
Internally managed$45
Plan type:
Other$45
Investment vehicle:
Separate accounts$45
No. of portfolio managers10
Size of research staff1
The parent is Eaton Vance Corp.
William E. Dodge is chief investment officer; Philip R. Sloan is client contact.
Foxhall Capital Management Inc.
1613 Duke St., Alexandria, VA 22314; phone: 703-683-8575; fax: 703-683-9083; www.foxhallcapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$281
Total worldwide institutional assets$87
Total U.S. assets$281
Total U.S. tax-exempt assets$152
Total U.S. institutional tax-exempt$87
Internally managed$87
Asset mix:
Equity60%
Fixed income35%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$52
U.S. bond, active$31
Cash$4
Active domestic equity strategies:
Core:
Large cap$52
Domestic fixed-income strategies:
Stable value$31
Worldwide mutual fund assets$7
Defined contribution assets:
Total$60
Internally managed$60
Plan type:
Taft-Hartley$60
Investment vehicle:
Separate accounts$60
No. of portfolio managers4
The parent is Eton Court Asset Management.
Paul Dietrich is chief investment officer and client contact.
Foyston, Gordon & Payne Inc.
151 Yonge St., Suite 1208, Toronto, Ontario M5C 2W7 Canada; phone: 416-362-4725; fax: 416-367-1183; www.foyston.com
Dollars are in U.S. millions.
Total assets managed worldwide$5,982
Total worldwide institutional assets$3,595
Total tax-exempt assets$3,773
Total institutional tax-exempt$2,986
Passed to external managers$232
Internally managed$2,754
For subsidiaries of U.S. firms$28
Asset mix:
Canadian equity70%
U.S. equity6%
Fixed income21%
Cash3%
Internal institutional tax-exempt assets in:
Domestic/U.S. equity, active$2,093
Domestic/U.S. bond, active$578
Cash$83
Active domestic/U.S. equity strategies:
Value:
Large cap$1,253
Midcap$712
Small cap$128
Defined contribution assets:
Total$209
Internally managed$193
No. of portfolio managers6
Size of research staff7
The parent company is First Asset Management Inc.
Jim Houston is client contact.
Franklin Advisers Inc.
1 Franklin Parkway, San Mateo, CA 94403; phone: 800-632-2350; fax: 954-527-2137; www.ftinstitutional.com
See entry for FRANKLIN TEMPLETON INVESTMENTS.
Franklin Mutual Advisers
51 John F. Kennedy Parkway, Short Hills, NJ 07028-2789; phone: 800-760-1955; fax: 954-527-2137; www.franklintempleton.com
See entry for FRANKLIN TEMPLETON INVESTMENTS.
Franklin Portfolio Associates
1 Boston Place, 29th Floor, Boston, MA 02108; phone: 617-248-4500; fax: 617-248-4540; www.franklinportfolio.com
See entry for MELLON FINANCIAL CORP.
Franklin Templeton Investments
1 Franklin Parkway, San Mateo, CA 94403; phone: 800-632-2350; fax: 954-527-2137; www.ftinstitutional.com
Dollars are in U.S. millions.
Total assets managed worldwide$402,206
Total worldwide institutional assets$119,520
Total U.S. assets$299,142
Total U.S. tax-exempt assets$104,660
Total U.S. institutional tax-exempt$65,984
Internally managed$65,984
Asset mix:
Equity90%
Fixed income8%
Equity real estate1%
Cash1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$15,898
Foreign equity, active$44,082
U.S. bond, active$2,805
Foreign bond, active$444
High-yield bonds$392
Mortgages$22
Mortgage-backed securities$314
Convertibles$16
Equity real estate, domestic$817
Cash$1,194
Active domestic equity strategies:
Growth:
Large cap$1,777
Midcap$258
Small cap$7,636
Broad market$356
Value:
Large cap$151
Midcap$8
Small cap$3,422
Core:
Large cap$37
Midcap$234
Broad market$1,980
Active international strategies:
Emerging markets equity$4,310
Domestic fixed-income strategies:
Core$2,805
Worldwide mutual fund assets$226,158
Defined contribution assets:
Total$23,374
Internally managed$23,374
Plan type:
Corporate 401(k)$19,967
457$6
403(b)$639
Other$2,762
Investment vehicle:
Mutual funds$22,032
Separate accounts$407
Other commingled$935
No. of portfolio managers205
Size of research staff141
The parent is Franklin Resources Inc.
Greg Johnson is chief investment officer; Reed Hutchens is client contact; Rick Frisbie is DC client contact.
The assets of the following subsidiaries are included in the figures above:
Fiduciary Trust manages $41.05 billion in total assets and $5.13 billion in U.S. institutional tax-exempt assets. William Yun is chief investment officer; Mr. Hutchens is client contact at 800-368-3677.
Franklin Advisers Inc. manages $165.7 billion in total assets and $15.84 billion in U.S. institutional tax-exempt assets. Ed Jamieson is chief investment officer; Mr. Hutchens is client contact.
Franklin Mutual Advisers manages $37.76 billion in total assets and $2.63 billion in U.S. institutional tax-exempt assets. David Winters is chief investment officer; Mr. Hutchens is client contact.
Templeton manages $146.82 billion in total assets and $42.39 billion in U.S. institutional tax-exempt assets. Gary Motyl is chief investment officer; Mr. Hutchens is client contact.
Freedom Capital Management LLC
1 Beacon St., 5th Floor, Boston, MA 02108; phone: 617-722-4700; fax: 617-722-4714
Dollars are in U.S. millions.
Total assets managed worldwide$2,972
Total worldwide institutional assets$2,972
Total U.S. assets$2,972
Total U.S. tax-exempt assets$2,870
Total U.S. institutional tax-exempt$2,870
Assigned to external managers$90
Internally managed$2,780
Asset mix:
Equity75%
Fixed income25%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$2,098
U.S. bond, active$682
Active domestic equity strategies:
Growth:
Large cap$548
Value:
Large cap$894
Pure quantitative$616
Domestic fixed-income strategies:
Core$635
Other$47
No. of portfolio managers7
Size of research staff3
Michael Spencer is chief investment officer; Maura Smith is client contact.
Freeman Associates Investment Management LLC
16236 San Dieguito Road, Suite 2-20, P.O. Box 9210, Rancho Santa Fe, CA 92067; phone: 858-759-2949; fax: 858-759-2944; www.faimllc.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,375
Total worldwide institutional assets$3,375
Total U.S. assets$3,375
Total U.S. tax-exempt assets$3,293
Total U.S. institutional tax-exempt$3,293
Internally managed$3,293
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$2,916
U.S. equity, enhanced index$377
Active domestic equity strategies:
Value:
Large cap$35
Core:
Large cap$2,455
Midcap$361
Broad market$65
Pure quantitative$2,916
Defined contribution assets:
Total$8
Internally managed$8
Plan type:
Taft-Hartley$8
Investment vehicle:
Separate accounts$8
No. of portfolio managers2
Size of research staff2
John Freeman is chief investment officer and client contact.
Friess Associates LLC
115 E. Snow King Ave., P.O. Box 576, Jackson, WY 83001; phone: 307-739-9699; fax: 307-739-2474; www.brandywinefunds.com
Dollars are in U.S. millions.
Total assets managed worldwide$8,791
Total worldwide institutional assets$4,121
Total U.S. assets$8,327
Total U.S. tax-exempt assets$3,281
Total U.S. institutional tax-exempt$3,281
Internally managed$3,281
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$3,281
Active domestic equity strategies:
Growth:
Large cap$54
Midcap$75
Small cap$1,849
Broad market$1,303
Worldwide mutual fund assets$4,545
The parent is Affiliated Managers Group Inc.
Bill D'Alonzo is chief investment officer; Joe Fields is client contact.
Froley, Revy Investment Co. Inc.
10900 Wilshire Blvd., Suite 900, Los Angeles, CA 90024; phone: 310-208-4938; fax: 310-824-4235; www.froleyrevy.com
Dollars are in U.S. millions.
Total assets managed worldwide$4,394
Total worldwide institutional assets$3,881
Total U.S. assets$4,394
Total U.S. tax-exempt assets$2,009
Total U.S. institutional tax-exempt$2,004
Internally managed$2,004
Asset mix:
Convertibles100%
Internal U.S. institutional tax-exempt assets in:
Convertibles$2,004
Worldwide mutual fund assets$12
No. of portfolio managers5
Size of research staff5
The parent is First Republic Bank.
Andrea O'Connell is chief investment officer; Melinda J. Gordon is client contact.
Frontier Capital Management Co. LLC
99 Summer St., 19th Floor, Boston, MA 02110; phone: 617-261-0777; fax: 617-261-0684; www.frontiercapitalmanagement.com
Dollars are in U.S. millions.
Total assets managed worldwide$5,631
Total worldwide institutional assets$5,270
Total U.S. assets$5,631
Total U.S. tax-exempt assets$4,804
Total U.S. institutional tax-exempt$4,602
Internally managed$4,602
Asset mix:
Equity99%
Fixed income1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$4,576
U.S. bond, active$26
Active domestic equity strategies:
Growth:
Large cap$383
Midcap$719
Small cap$2,268
Broad market$1,132
Value:
Small cap$74
Defined contribution assets:
Total$86
Internally managed$86
Plan type:
Other 401(k)$86
Investment vehicle:
Separate accounts$86
No. of portfolio managers6
Size of research staff8
The parent is Affiliated Managers Group Inc.
Thomas W. Duncan is chief investment officer; Kirk Smith is client contact.
Frost National Bank
P.O. Box 1600, San Antonio, TX 78296; phone: 210-220-4906; fax: 210-220-4152; www.frostbank.com
Dollars are in U.S. millions.
Total assets managed worldwide$7,762
Total worldwide institutional assets$3,027
Total U.S. assets$7,762
Total U.S. tax-exempt assets$2,501
Total U.S. institutional tax-exempt$1,850
Assigned to external managers$117
Internally managed$1,733
Asset mix:
Equity45%
Fixed income41%
Equity real estate2%
Cash12%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$700
Foreign equity, active$81
U.S. bond, active$689
Mortgage-backed securities$21
Equity real estate, domestic$33
Cash$209
Active domestic equity strategies:
Value:
Large cap$76
Broad market$76
Core:
Small cap$48
Broad market$358
Domestic fixed-income strategies:
Core$689
Frost National Bank, a real estate manager, uses exchange-traded funds or actively managed domestic real estate mutual funds.
The parent is Cullen/Frost Bankers Inc.
Tom Stringfellow is chief investment officer; Greg Dreier is client contact.
Fuller & Thaler Asset Management Inc.
411 Borel Ave., Suite 402, San Mateo, CA 94402; phone: 650-572-8334; fax: 650-572-8769; www.fullerthaler.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,244
Total worldwide institutional assets$2,651
Total U.S. assets$3,017
Total U.S. tax-exempt assets$2,822
Total U.S. institutional tax-exempt$2,510
Internally managed$2,510
Asset mix:
Equity98%
Cash2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,829
Foreign equity, active$231
Hedge funds$450
Active domestic equity strategies:
Growth:
Small cap$744
Value:
Small cap$694
Core:
Large cap$79
Small cap$312
Worldwide mutual fund assets$249
Defined contribution assets:
Total$50
Internally managed$50
Plan type:
Corporate 401(k)$50
Investment vehicle:
Mutual funds$50
No. of portfolio managers4
Size of research staff1
Russell Fuller is chief investment officer; Tom Fuller is client contact.
FX Concepts Inc.
225 W. 34th St., Suite 710, New York, NY 10122; phone: 212-554-6800; fax: 212-554-6905; www.fx-concepts.com
Dollars are in U.S. millions.
Total assets managed worldwide$12,186
Total worldwide institutional assets$12,186
Total U.S. assets$4,016
Total U.S. tax-exempt assets$3,095
Total U.S. institutional tax-exempt$3,095
Internally managed$3,095
Asset mix:
Other100%
Internal U.S. institutional tax-exempt assets in:
Hedge funds$2,000
Overlay strategies:
Currency$4,016
Internally managed underlying assets$3,095
No. of portfolio managers7
Size of research staff7
FX Concepts Inc. manages a currency alpha strategy exploiting the three drivers of currency return: price direction, interest rate differentials and volatility.
The parent is International Foreign Exchange Concepts Inc.
John R. Taylor Jr. is chief investment officer; Raymond J. Sweeney is client contact.
Gabelli Asset Management
1 Corporate Center, Rye, NY 10580; phone: 914-921-5000; fax: 914-921-5060; www.gabelli.com
Dollars are in U.S. millions.
Total assets managed worldwide$28,659
Total worldwide institutional assets$9,001
Total U.S. assets$28,499
Total U.S. tax-exempt assets$9,175
Total U.S. institutional tax-exempt$6,595
Internally managed$6,595
Asset mix:
Equity99%
Fixed income1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$6,567
U.S. bond, active$16
Hedge funds$12
Active domestic equity strategies:
Growth:
Large cap$53
Value:
Large cap$35
Midcap$3,996
Small cap$402
Broad market$2,081
Domestic fixed-income strategies:
Market timing/active duration$16
Worldwide mutual fund assets$13,587
Defined contribution assets:
Total$809
Internally managed$809
Plan type:
Corporate 401(k)$529
Other 401(k)$280
Investment vehicle:
Mutual funds$280
Separate accounts$529
No. of portfolio managers7
Size of research staff25
Mario Gabelli is chief investment officer; Douglas Jamieson is client contact; Christopher Desmarais is DC client contact.
The assets of subsidiaries Gabelli Fixed Income LLC, Gabelli Funds LLC and Gabelli Partners are included in the figures above.
Galliard Capital Management Inc.
800 LaSalle Ave., Suite 2060, Minneapolis, MN 55402-2033; phone: 612-667-3219; fax: 612-667-3223; www.galliard.com
Dollars are in U.S. millions.
Total assets managed worldwide$18,395
Total worldwide institutional assets$18,395
Total U.S. assets$18,308
Total U.S. tax-exempt assets$18,308
Total U.S. institutional tax-exempt$18,308
Assigned to external managers$1,308
Internally managed$17,000
Asset mix:
Fixed income100%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active$16,860
High-yield bonds$140
Domestic fixed-income strategies:
Stable value$12,864
Core$3,996
Other$140
Worldwide mutual fund assets$2,020
Defined contribution assets:
Total$13,771
Internally managed$12,463
Plan type:
Corporate 401(k)$8,388
Taft-Hartley$45
457$2,152
401(a)$1,219
403(b)$659
Investment vehicle:
Separate accounts$3,822
Other commingled$8,641
No. of portfolio managers5
Size of research staff7
The parent is Wells Fargo & Co.
Richard Merriam is chief investment officer; Mike Norman is client contact.
GAM USA Inc.
135 E. 57th St., New York, NY 10022; phone: 212-407-4600; fax: 212-407-4684; www.gam.com
Dollars are in U.S. millions.
Total assets managed worldwide$37,956
Total worldwide institutional assets$6,893
Total U.S. assets$1,109
Total U.S. tax-exempt assets$1,109
Total U.S. institutional tax-exempt$1,109
Internally managed$1,109
Asset mix:
Equity98%
Other2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$398
Foreign equity, active$687
Hedge funds$24
Active domestic equity strategies:
Core:
Large cap$398
Worldwide mutual fund assets$592
No. of portfolio managers51
Size of research staff28
The parent is UBS AG.
Craig Brownell is client contact.
Gannett Welsh & Kotler LLC
222 Berkeley St., Boston, MA 02116; phone: 617-236-8900; fax: 617-236-1815; www.gwkinc.com
Dollars are in U.S. millions.
Total assets managed worldwide$6,366
Total worldwide institutional assets$671
Total U.S. client assets$6,366
Total U.S. tax-exempt assets$487
Total U.S. institutional tax-exempt$222
Internally managed$222
Asset mix:
Equity45%
Fixed income55%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$101
U.S. bond, active$121
Active domestic equity strategies:
Core:
Small cap$4
Broad market$97
Domestic fixed-income strategies:
Core$110
Other$11
Worldwide mutual fund assets$60
Defined contribution assets:
Total$3
Internally managed$3
Plan type:
Corporate 401(k)$3
Investment vehicle:
Separate accounts$3
No. of portfolio managers8
Size of research staff18
The parent is Bank of New York.
Harold G. Kotler is chief investment officer; Thomas F.X. Powers is client contact.
Gardner Lewis Asset Management LP
285 Wilmington-West Chester Pike, Chadds Ford, PA 19317; phone: 610-558-2800; fax: 610-558-4839; www.gardnerlewis.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,549
Total worldwide institutional assets$2,603
Total U.S. assets$3,485
Total U.S. tax-exempt assets$2,453
Total U.S. institutional tax-exempt$2,452
Internally managed$2,452
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$2,452
Active domestic equity strategies:
Growth:
Large cap$1,884
Midcap$85
Small cap$467
Broad market$16
Worldwide mutual fund assets$478
No. of portfolio managers2
Size of research staff9
Whitfield Gardner is chief investment officer; John Larson is client contact.
Gartmore Group
1200 River Road, Suite 1000, Conshohocken, PA 19428; phone: 484-530-1300; fax: 484-530-1335; www.gartmore.com
Dollars are in U.S. millions.
Total assets managed worldwide$80,244
Total worldwide institutional assets$41,727
Total U.S. assets$40,956
Total U.S. tax-exempt assets$17,249
Total U.S. institutional tax-exempt$16,624
Internally managed$16,624
Asset mix:
Equity18%
Fixed income80%
Other2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$2,990
U.S. bond, active$13,180
Hedge funds$332
Domestic fixed-income strategies:
Stable value$13,180
Worldwide mutual fund assets$20,139
Overlay strategies:
Currency$614
Internally managed underlying assets$614
Defined contribution assets$4,759
Internally managed$4,759
Plan type:
Corporate 401(k)$216
Other 401(k)$91
Other$4,452
Investment vehicle:
Mutual funds$1,133
Variable annuities$705
Separate accounts$2,927
No. of portfolio managers70
Size of research staff68
The parent is Nationwide Mutual Insurance Co.
Young Chin is chief investment officer; Donald Pepin Jr. is client contact.
The assets of the following subsidiaries are included in the figures above: Gartmore Capital Management Ltd.; Gartmore Fund Managers Ltd.; Gartmore Global Partners; Gartmore Investment Ltd.; Gartmore Japan Ltd.; Gartmore Morley Capital Management Inc.; Gartmore Mutual Fund Capital Trust; Gartmore SA Capital Trust; Gartmore Separate Accounts LLC; NorthPointe Capital LLC.
Gateway Investment Advisers LP
3805 Edwards Road, Suite 600, Cincinnati, OH 45209; phone: 513-719-1100; fax: 513-719-1199; www.gatewayfund.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,636
Total worldwide institutional assets$3,371
Total U.S. assets$3,636
Total U.S. tax-exempt assets$147
Total U.S. institutional tax-exempt$147
Internally managed$147
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, enhanced index$147
Worldwide mutual fund assets$2,881
No. of portfolio managers2
Size of research staff3
The parent is Gateway Investment Advisers Inc.
J. Patrick Rogers is chief investment officer; Harry Merriken is client contact.
GE Asset Management Inc.
3001 Summer St., Stamford, CT 06905; phone: 203-326-2300; fax: 203-708-3109; www.geam.com
Dollars are in U.S. millions.
Total assets managed worldwide$178,475
Total worldwide institutional assets$170,304
Total U.S. assets$167,101
Total U.S. tax-exempt assets$73,127
Total U.S. institutional tax-exempt$73,127
Assigned to external managers$11,729
Internally managed$61,398
Asset mix:
Equity67%
Fixed income22%
Equity real estate5%
Cash4%
Other2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$25,991
U.S. equity, enhanced index$2,044
Foreign equity, active$13,385
U.S. bond, active$6,638
Foreign bond, active$17
High-yield bonds$631
Mortgages$135
Mortgage-backed securities$5,910
Other asset-backed securities$193
Equity real estate, domestic$3,024
Other private equity, domestic$1,182
Cash$2,248
Active domestic equity strategies:
Growth:
Large cap$5,314
Midcap$607
Value:
Large cap$5,583
Midcap$240
Core:
Large cap$14,247
Active international strategies:
Emerging markets equity$816
Domestic fixed-income strategies:
Core$12,876
Other$648
Worldwide mutual fund assets$19,731
Defined contribution assets:
Total$8,448
Internally managed$8,121
Plan type:
Corporate 401(k)$7,987
457$29
403(b)$105
Investment vehicle:
Mutual funds$8,121
No. of portfolio managers83
Size of research staff55
GE Asset Management Inc.'s real estate strategy uses a combination of current income and appreciation; where appropriate, leverage is placed on individual assets to enhance yield and provide greater portfolio security.
The parent is General Electric Co.
John Myers is chief investment officer; Jack Boyce is client contact.
The assets of subsidiaries GE Asset Management Ltd., GE Asset Management Canada Co. and GE Asset Management Japan are included in the figures above.
Geewax, Terker & Co.
414 Old Baltimore Pike, P.O. Box 2700, Chadds Ford, PA 19317; phone: 484-771-1000; fax: 484-771-1037; www.geewax.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,087
Total worldwide institutional assets$2,087
Total U.S. assets$1,872
Total U.S. tax-exempt assets$1,807
Total U.S. institutional tax-exempt$1,807
Internally managed$1,807
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,792
Hedge funds$15
Active domestic equity strategies:
Growth:
Large cap$1,526
Small cap$34
Core:
Small cap$18
Pure quantitative$1,792
Worldwide mutual fund assets$256
John Geewax is chief investment officer; Caryn Buck is client contact.
Gem Capital Management Inc.
950 Third Ave., 22nd Floor, New York, NY 10022; phone: 212-753-0700; fax: 212-753-0735
Dollars are in U.S. millions.
Total assets managed worldwide$121
Total worldwide institutional assets$112
Total U.S. assets$121
Total U.S. tax-exempt assets$57
Total U.S. institutional tax-exempt$57
Internally managed$57
Asset mix:
Fixed income46%
Convertibles54%
Internal U.S. institutional tax-exempt assets in:
High-yield bonds$26
Convertibles$31
Domestic fixed-income strategies:
High yield$26
No. of portfolio managers1
Size of research staff2
Gerald Unterman is chief investment officer; Sanford Rich is client contact.
General Motors Asset Management
767 Fifth Ave., New York, NY 10153; phone: 212-418-6150; fax: 212-418-3654; www.gmam.com
Dollars are in U.S. millions.
Total assets managed worldwide$160,000
Total worldwide institutional assets$160,000
Total U.S. assets$153,300
Total U.S. tax-exempt assets$146,100
Total U.S. institutional tax-exempt$146,100
Assigned to external managers$133,600
Internally managed$12,500
Asset mix:
Equity43%
Fixed income33%
Equity real estate24%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$2,223
Foreign equity, active$1,387
REITs$2,576
Active domestic equity strategies:
Growth:
Small cap$171
Value:
Large cap$731
Small cap$373
Core:
Large cap$683
Overlay strategies:
Currency$4,463
Defined contribution assets:
Total$21,900
Internally managed$1,156
Plan type:
Corporate 401(k)$1,156
Investment vehicle:
Other commingled$1,156
No. of portfolio managers33
Size of research staff20
The parent is General Motors Corp.
W. Allen Reed is chief investment officer; Carlos Rosa is client contact.
Genesis Asset Managers LLP
c/o Genesis Investment Management LLP, 21 Knightsbridge, London SW1X 7LY England; phone: (44) 207-201-7200; fax: (44) 207-201-7400; www.giml.co.uk
Dollars are in U.S. millions.
Total assets managed worldwide$10,820
Total worldwide institutional assets$10,820
Total U.S. assets$7,473
Total U.S. tax-exempt assets$6,669
Total U.S. institutional tax-exempt$6,669
Internally managed$6,669
Asset mix:
Equity97%
Cash3%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$6,669
Active international strategies:
Emerging markets equity$6,669
No. of portfolio managers9
Size of research staff5
The parent is Genesis Fund Managers LLP.
Karen L. Yerburgh is chief investment officer; Jane Orr is client contact.
Geneva Capital Management Ltd.
250 E. Wisconsin Ave., Suite 1050, Milwaukee, WI 53202; phone: 414-224-6002; fax: 414-224-9503
Dollars are in U.S. millions.
Total assets managed worldwide$815
Total worldwide institutional assets$501
Total U.S. assets$815
Total U.S. tax-exempt assets$603
Total U.S. institutional tax-exempt$469
Internally managed$469
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$469
Active domestic equity strategies:
Growth:
Midcap$360
Defined contribution assets:
Total$65
Internally managed$65
Plan type:
Corporate 401(k)$65
Investment vehicle:
Separate accounts$65
No. of portfolio managers3
Size of research staff1
William Priebe is chief investment officer; Amy Croen is client contact; Michelle Picard is DC client contact.
Glenmede Trust Co.
1650 Market St., Suite 1200, Philadelphia, PA 19103-7391; phone: 215-419-6000; fax: 215-419-6955; www.glenmede.com
Dollars are in U.S. millions.
Total assets managed worldwide$15,548
Total worldwide institutional assets$5,657
Total U.S. assets$15,548
Total U.S. tax-exempt assets$3,611
Total U.S. institutional tax-exempt$3,611
Internally managed$3,611
Asset mix:
Equity37%
Fixed income31%
Cash32%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,322
U.S. bond, active$1,135
Cash$1,154
Active domestic equity strategies:
Value:
Large cap$476
Core:
Large cap$240
Midcap$1
Small cap$349
Domestic fixed-income strategies:
Core$1,135
Worldwide mutual fund assets$1,716
Defined contribution assets:
Total$524
Internally managed$524
Plan type:
Corporate 401(k)$41
Taft-Hartley$483
Investment vehicle:
Separate accounts$524
No. of portfolio managers15
Size of research staff9
The parent is Glenmede Corp.
Gordon Fowler Jr. is chief investment officer; Geoff Deasey is client contact.
Glickenhaus & Co.
6 E. 43rd St., Suite 10, New York, NY 10017; phone: 212-953-7800; fax: 212-867-9779; www. glickenhaus.com
Dollars are in U.S. millions.
Total assets managed worldwide$868
Total worldwide institutional assets$269
Total U.S. assets$861
Total U.S. tax-exempt assets$266
Total U.S. institutional tax-exempt$151
Internally managed$151
Asset mix:
Equity83%
Fixed income14%
Cash3%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$126
U.S. bond, active$20
Cash$5
Active domestic equity strategies:
Value:
Large cap$93
Worldwide mutual fund assets$266
Seth Glickenhaus is chief investment officer; Linda Anderson is client contact.
Global Emerging Growth Capital
141 E. 33rd St., Suite 16-D, New York, NY 10016; phone: 212-889-6238; fax: 212-889-6238; www.glgegc.com
Dollars are in U.S. millions.
Total assets managed worldwide$200
Total worldwide institutional assets$198
Total U.S. assets$200
Total U.S. tax-exempt assets$198
Total U.S. institutional tax-exempt$198
Internally managed$198
Asset mix:
Equity1%
Fixed income99%
V. John Palicka is chief investment officer.
Global Forest Partners LP
Trade Center, 4th Floor, 24 Airport Road, West Lebanon, NH 03784; phone: 603-298-7001; fax: 603-298-7620; www.gfplp.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,451
Total worldwide institutional assets$1,331
Total U.S. assets$1,156
Total U.S. tax-exempt assets$1,138
Total U.S. institutional tax-exempt$1,138
Internally managed$1,138
Asset mix:
Equity2%
Equity real estate98%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$29
Timber$1,109
No. of portfolio managers4
Size of research staff4
Peter Mertz is chief investment officer; Thomas Goodrich is client contact.
GLOBALT Inc.
3060 Peachtree Road N.W., Suite 225, Atlanta, GA 30305; phone: 404-364-2188; fax: 404-364-2189; www. globalt.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,109
Total worldwide institutional assets$822
Total U.S. assets$1,109
Total U.S. tax-exempt assets$813
Total U.S. institutional tax-exempt$773
Internally managed$773
Asset mix:
Equity94%
Fixed income3%
Cash3%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$743
U.S. bond, active$16
Cash$14
Active domestic equity strategies:
Growth:
Large cap$712
Midcap$31
Worldwide mutual fund assets$9
No. of portfolio managers4
Size of research staff3
The parent is Synovus Financial Corp.
Gary E. Fullam is chief investment officer; John J. Jenkins Jr. is client contact.
The assets GLOBALT Investments are included in the figures above.
Globalvest Management Co. LP
6000 Estate Charlotte Amalie, Suite 4, St. Thomas Virgin Islands 00802; phone: 340-775-7700; fax: 340-777-3880; www.globalvest.com
Dollars are in U.S. millions.
Total assets managed worldwide$501
Total worldwide institutional assets$71
Total U.S. assets$141
Total U.S. tax-exempt assets$11
Total U.S. institutional tax-exempt$11
Internally managed$11
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$11
Active international strategies:
Emerging markets equity$11
No. of portfolio managers2
Size of research staff5
Peter Gruber is chief investment officer; Una Dyer-Gonzalez is client contact.
The assets of Globalvest Asset Management do Brasil SA are included in the figures above.
GlobeFlex Capital LP
4365 Executive Drive, Suite 720, San Diego, CA 92121; phone: 858-658-9060; fax: 858-658-9061; www.globeflex.com
Dollars are in U.S. millions.
Total assets managed worldwide$846
Total worldwide institutional assets$846
Total U.S. assets$846
Total U.S. tax-exempt assets$846
Total U.S. institutional tax-exempt$846
Internally managed$846
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$321
Foreign equity, active$525
Active domestic equity strategies:
Growth:
Large cap$26
Core:
Midcap$270
Small cap$25
No. of portfolio managers4
Robert J. Anslow is chief investment officer; Marina L. Marrelli is client contact.
GMAC Institutional Advisors LLC
200 Witmer Road, Horsham, PA 19044; phone: 215-328-3200; fax: 215-328-0131; www.gmacadvisors.com
Dollars are in U.S. millions.
Total assets managed worldwide$9,075
Total worldwide institutional assets$9,015
Total U.S. assets$8,947
Total U.S. tax-exempt assets$984
Total U.S. institutional tax-exempt$964
Internally managed$964
Asset mix:
Fixed income94%
Equity real estate6%
Internal U.S. institutional tax-exempt assets in:
Mortgages$648
Mortgage-backed securities$147
Equity real estate, domestic$169
No. of portfolio managers11
Size of research staff27
The parent is GMAC Commercial Mortgage Corp.
Paul Dolinoy is client contact.
Gofen & Glossberg LLC
455 Cityfront Plaza, Suite 3000, Chicago, IL 60611; phone: 312-828-1100; fax: 312-828-9685; www.gofen.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,126
Total worldwide institutional assets$304
Total U.S. assets$3,126
Total U.S. tax-exempt assets$704
Total U.S. institutional tax-exempt$304
Internally managed$304
Asset mix:
Equity50%
Fixed income37%
Cash7%
Other6%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$148
REITs$3
U.S. bond, active$112
Convertibles$9
Cash$22
Active domestic equity strategies:
Core:
Large cap$148
Defined contribution assets:
Total$62
Internally managed$62
Investment vehicle:
Separate accounts$62
No. of portfolio managers10
Size of research staff2
The parent is Affiliated Managers Group Inc.
Mark A. Brown is client contact.
Golden Capital Management LLC
10715 David Taylor Drive, Suite 150, Charlotte, NC 28262; phone: 704-593-1144; fax: 704-593-0240; www.gcm1.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,505
Total worldwide institutional assets$725
Total U.S. assets$1,505
Total U.S. tax-exempt assets$655
Total U.S. institutional tax-exempt$655
Internally managed$655
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$381
U.S. equity, enhanced index$274
Active domestic equity strategies:
Value:
Large cap$373
Small cap$8
No. of portfolio managers3
Greg Golden is chief investment officer; Jonathan Cangalosi is client contact.
GoldenTree Asset Management LP
300 Park Ave., 20th Floor, New York, NY 10022; phone: 212-847-3500; fax: 212-847-3537; www.goldentree.com
Dollars are in U.S. millions.
Total assets managed worldwide$6,434
Total worldwide institutional assets$6,095
Total U.S. assets$2,900
Total U.S. tax-exempt assets$587
Total U.S. institutional tax-exempt$560
Internally managed$560
Asset mix:
Fixed income100%
Internal U.S. institutional tax-exempt assets in:
High-yield bonds$560
Steve Tananbaum is chief investment officer; Leon Wagner is client contact.
Goldman Sachs Asset Management
32 Old Slip, 32nd Floor, New York, NY 10005; phone: 212-902-1000; fax: 917-343-8248; www.gs.com
Dollars are in U.S. millions.
Total assets managed worldwide$421,656
Total worldwide institutional assets$293,475
Total U.S. assets$272,124
Total U.S. tax-exempt assets$84,973
Total U.S. institutional tax-exempt$81,458
Assigned to external managers$9,121
Internally managed$72,337
Asset mix:
Equity49%
Fixed income36%
Cash2%
Other13%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$12,290
U.S. equity, enhanced index$17,795
Foreign equity, active$1,578
Foreign equity, enhanced index$3,724
REITs$27
U.S. bond, active$19,148
Foreign bond, active$2,212
High-yield bonds$155
Mortgages$4,928
Hedge funds$979
Cash$1,335
Active domestic equity strategies:
Growth:
Large cap$10,831
Midcap$771
Value:
Large cap$296
Midcap$8
Small cap$385
Active international strategies:
Emerging markets equity$35
Emerging markets debt$62
Domestic fixed-income strategies:
Core$19,148
Worldwide mutual fund assets$102,440
Overlay strategies:
Derivative strategies$14,358
Internally managed underlying assets$4,835
Defined contribution assets:
Total$954
Internally managed$954
Plan type:
Other$954
Investment vehicle:
Separate accounts$954
No. of portfolio managers139
Size of research staff95
The parent is Goldman Sachs Group (GS) Inc.
Kaysie Uniacke is client contact.
Graham Capital Management LP
Rock Ledge Financial Center, 40 Highland Ave., Rowayton, CT 06853; phone: 203-899-3400; fax: 203-899-3500; www.grahamcapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$6,200
Total worldwide institutional assets$4,650
Total U.S. assets$130
Total U.S. tax-exempt assets$130
Total U.S. institutional tax-exempt$130
Internally managed$130
Asset mix:
Hedge funds100%
Internal U.S. institutional tax-exempt assets in:
Hedge funds$130
No. of portfolio managers13
Size of research staff17
Bill Deuchler is client contact.
Granahan Investment Management Inc.
275 Wyman St., Suite 270, Waltham, MA 02451; phone: 781-890-4412; fax: 781-890-6427; www.granahan.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,324
Total worldwide institutional assets$3,324
Total U.S. assets$3,324
Total U.S. tax-exempt assets$1,293
Total U.S. institutional tax-exempt$1,293
Internally managed$1,293
Asset mix:
Equity95%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,293
Active domestic equity strategies:
Growth:
Small cap$1,293
No. of portfolio managers4
Size of research staff4
Gary Hatton is chief investment officer; Karen Agnew is client contact.
Granite Investment Advisors LLC
4380 S.W. Macadam Ave., Suite 180, Portland, OR 97239; phone: 503-274-2850; fax: 503-274-8021; www.granitellc.com
Dollars are in U.S. millions.
Total assets managed worldwide$65
Total worldwide institutional assets$64
Total U.S. assets$65
Total U.S. tax-exempt assets$65
Total U.S. institutional tax-exempt$64
Internally managed$64
Asset mix:
Equity66%
Fixed income28%
Cash6%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$42
U.S. bond, active$18
Cash$4
Active domestic equity strategies:
Growth:
Small cap$42
Domestic fixed-income strategies:
Other$18
Worldwide mutual fund assets$1
Defined contribution assets:
Total$40
Internally managed$40
Plan type:
Taft-Hartley$40
Investment vehicle:
Separate accounts$40
No. of portfolio managers2
Size of research staff1
Roger Thomas is chief investment officer and client contact.
Grantham, Mayo, van Otterloo & Co. LLC
40 Rowes Wharf, Boston, MA 02110; phone: 617-330-7500; fax: 617-261-0134; www.gmo.com
Dollars are in U.S. millions.
Total assets managed worldwide$82,496
Total worldwide institutional assets$82,496
Total U.S. assets$73,983
Total U.S. tax-exempt assets$64,181
Total U.S. institutional tax-exempt$64,181
Internally managed$64,181
Asset mix:
Equity80%
Fixed income13%
Equity real estate1%
Other6%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$13,027
Foreign equity, active$37,832
REITs$275
U.S. bond, active$3,071
Foreign bond, active$5,143
Hedge funds$4,103
Timber$730
Active domestic equity strategies:
Growth:
Large cap$895
Small cap$37
Value:
Large cap$3,927
Small cap$109
Broad market$620
Core:
Large cap$5,939
Pure quantitative$11,342
Active international strategies:
Emerging markets equity$11,928
Emerging markets debt$2,794
Domestic fixed-income strategies:
Core$2,132
Other$939
Worldwide mutual fund assets$37,706
Defined contribution assets:
Total$1,096
Internally managed$1,096
Plan type:
Corporate 401(k)$678
401(a)$9
Other$409
Investment vehicle:
Mutual funds$1,096
No. of portfolio managers42
Size of research staff22
R. Jeremy Grantham is chief investment officer; F. Corning Kenly is client contact.
The assets of subsidiaries GMO Australia and GMO London are included in the figures above.
Great Cos. LLC
635 Court St., Suite 100, Clearwater, FL 33756; phone: 800-538-5111; fax: 800-572-0150; www.greatcompanies.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,362
Total worldwide institutional assets$1,349
Total U.S. assets$424
Total U.S. tax-exempt assets$363
Total U.S. institutional tax-exempt$363
Internally managed$363
James Huguet is chief investment officer; Steve Allbritton is client contact.
Great Lakes Advisors Inc.
123 N. Wacker Drive, Suite 2350, Chicago, IL 60606; phone: 312-553-3700; fax: 312-553-3737; www.greatlakesadvisors.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,175
Total worldwide institutional assets$1,840
Total U.S. assets$2,175
Total U.S. tax-exempt assets$1,840
Total U.S. institutional tax-exempt$1,840
Internally managed$1,840
Asset mix:
Equity68%
Fixed income28%
Cash4%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,247
U.S. bond, active$267
Mortgage-backed securities$226
Other asset-backed securities$21
Cash$79
Active domestic equity strategies:
Value:
Large cap$1,247
Domestic fixed-income strategies:
Other$514
Edward Calkins is chief investment officer; Catherine Kelly is client contact.
Great Point Investors LLC
98 N. Washington St., 5th Floor, Boston, MA 02114-1913; phone: 617-526-8800; fax: 617-526-8810; www.gpinvestors.com
Dollars are in U.S. millions.
Total assets managed worldwide$652
Total worldwide institutional assets$652
Total U.S. assets$652
Total U.S. tax-exempt assets$639
Total U.S. institutional tax-exempt$639
Internally managed$639
Asset mix:
Equity real estate100%
Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic$639
No. of portfolio managers2
Great Point Investors LLC, a real estate manager, focuses primarily on office and industrial properties, both core and value added, from $10 million to $75 million.
Joseph Versaggi is chief investment officer; Gary Schwandt is client contact.
David J. Greene & Co. LLC
599 Lexington Ave., New York, NY 10022; phone: 212-371-4200; fax: 212-750-4331; www.djgreene.com
Dollars are in U.S. millions.
Total assets managed worldwide$2,408
Total worldwide institutional assets$1,628
Total U.S. assets$2,408
Total U.S. tax-exempt assets$1,628
Total U.S. institutional tax-exempt$1,628
Internally managed$1,628
Asset mix:
Equity93%
Cash7%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$1,449
Cash$179
Active domestic equity strategies:
Value:
Midcap$405
Small cap$1,223
Pure quantitative$435
Defined contribution assets:
Total$356
Internally managed$356
Plan type:
Corporate 401(k)$356
Investment vehicle:
Separate accounts$356
No. of portfolio managers2
Size of research staff6
Michael Greene is chief investment officer; Clarissa Moore is client contact.
Greenville Capital Management Inc.
100 S. Rockland Falls Road, P.O. Box 220, Rockland, DE 19732; phone: 302-429-9799; fax: 302-429-9786; www.greenvillecap.com
Dollars are in U.S. millions.
Total assets managed worldwide$180
Total worldwide institutional assets$75
Total U.S. assets$180
Total U.S. tax-exempt assets$71
Total U.S. institutional tax-exempt$71
Internally managed$71
Asset mix:
Equity95%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$67
Cash$4
Active domestic equity strategies:
Growth:
Small cap$71
Worldwide mutual fund assets$11
Defined contribution assets:
Total$33
Internally managed$33
Plan type:
Corporate 401(k)$1
Other$32
Investment vehicle:
Separate accounts$33
No. of portfolio managers1
Size of research staff2
Charles S. Cruice is chief investment officer; Michael Berry is client contact.
Greenwood Capital Associates LLC
104 Maxwell Ave., P.O. Box 3181, Greenwood, SC 29648; phone: 864-941-4005; fax: 864-229-1950; www.greenwoodcapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,052
Total worldwide institutional assets$612
Total U.S. assets$1,052
Total U.S. tax-exempt assets$742
Total U.S. institutional tax-exempt$602
Internally managed$602
Asset mix:
Equity61%
Fixed income35%
Cash4%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$366
U.S. bond, active$214
Cash$22
Active domestic equity strategies:
Growth:
Large cap$366
Domestic fixed-income strategies:
Market timing/active duration$214
Defined contribution assets:
Total$260
Internally managed$260
Plan type:
Taft-Hartley$48
Other$212
Investment vehicle:
Separate accounts$260
No. of portfolio managers6
The parent is WealthTrust Inc.
J. William Harper is chief investment officer; James Logan is client contact.
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Guardian Capital LP
Commerce Court W., Suite 3100, P.O. Box 201, Toronto, Ontario M5L 1E8 Canada; phone: 416-947-3706; fax: 416-364-9634; www.guardiancapitallp.com
Dollars are in U.S. millions.
Total assets managed worldwide$12,780
Total worldwide institutional assets$9,676
Total tax-exempt assets$7,674
Total institutional tax-exempt$7,674
Passed to external managers$16
Internally managed$7,658
For subsidiaries of U.S. firms$655
Asset mix:
Canadian equity81%
Fixed income19%
Internal institutional tax-exempt assets in:
Domestic/U.S. equity, active$6,138
REITs$42
Domestic/U.S. bond, active$1,456
Domestic/U.S. bond, enhanced index$9
High-yield bonds$13
Active domestic/U.S. equity strategies:
Growth:
Broad market$1,675
Core:
Large cap$4,100
Small cap$352
Domestic/U.S. fixed-income strategies:
Core$1,456
Other$22
Defined contribution assets:
Total$32
Internally managed$32
No. of portfolio managers11
The parent company is Guardian Capital Group Ltd.
Nadi Naderi is client contact.
GW Capital Inc.
10900 N.E. Eighth St., Suite 235, Bellevue, WA 98004; phone: 425-455-4551; fax: 425-455-4662; www.gwcapitalinc.com
Dollars are in U.S. millions.
Total assets managed worldwide$269
Total worldwide institutional assets$269
Total U.S. assets$269
Total U.S. tax-exempt assets$269
Total U.S. institutional tax-exempt$269
Internally managed$269
Asset mix:
Equity17%
Fixed income83%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$46
U.S. bond, active$223
Active domestic equity strategies:
Core:
Small cap$46
Domestic fixed-income strategies:
Core$216
Other$7
No. of portfolio managers3
Guy Watanabe is chief investment officer; Scott Mullet is client contact.
Hallmark Capital Management Inc.
1195 Hamburg Turnpike, Wayne, NJ 07470; phone: 973-808-4144; fax: 973-808-3272
Dollars are in U.S. millions.
Total assets managed worldwide$385
Total worldwide institutional assets$160
Total U.S. assets$385
Total U.S. tax-exempt assets$218
Total U.S. institutional tax-exempt$141
Internally managed$141
Asset mix:
Equity48%
Fixed income45%
Cash7%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$67
U.S. bond, active$64
Cash$10
Active domestic equity strategies:
Core:
Large cap$50
Midcap$17
Domestic fixed-income strategies:
Short/intermediate$64
Defined contribution assets:
Total$23
Internally managed$23
Plan type:
Other$23
Investment vehicle:
Separate accounts$23
No. of portfolio managers3
Size of research staff2
The parent is Valley National Bank.
Thomas S. Moore is chief investment officer; Peter S. Hagerman is client contact.
Hamilton Lane Advisors LLC
1 Belmont Ave., 9th Floor, Bala Cynwyd, PA 19004; phone: 610-934-2222; fax: 610-617-9853; www.hamiltonlane.com
Dollars are in U.S. millions.
Total assets managed worldwide$4,935
Total worldwide institutional assets$4,935
Total U.S. assets$4,099
Total U.S. tax-exempt assets$3,443
Total U.S. institutional tax-exempt$3,443
Internally managed$3,443
Asset mix:
Private equity100%
No. of portfolio managers6
Size of research staff13
Erik Hirsch is chief investment officer; Frank Shepard is client contact.
John Hancock Advisers LLC
101 Huntington Ave., Boston, MA 02199; phone: 617-375-1500; fax: 617-375-4710; www.jhfunds.com
Dollars are in U.S. millions.
Total assets managed worldwide$29,956
Total worldwide institutional assets$6,481
Total U.S. assets$29,653
Total U.S. tax-exempt assets$6,343
Total U.S. institutional tax-exempt$4,209
Assigned to external managers$610
Internally managed$3,599
Asset mix:
Equity23%
Fixed income76%
Cash1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$812
U.S. bond, active$2,629
Foreign bond, active$114
Cash$43
Active domestic equity strategies:
Growth:
Large cap$62
Midcap$22
Small cap$279
Value:
Large cap$106
Midcap$63
Core:
Large cap$158
Midcap$1
Small cap$120
Domestic fixed-income strategies:
Sector rotation$2,334
Core$145
Other$150
Worldwide mutual fund assets$25,008
Defined contribution assets:
Total$1,447
Internally managed$1,068
Plan type:
Corporate 401(k)$212
403(b)$108
Other$748
Investment vehicle:
Mutual funds$889
Separate accounts$179
No. of portfolio managers31
Size of research staff25
The parent is Manulife Financial Corp.
Barry H. Evans is chief investment officer; Douglas Baran is client contact.
Hancock Agricultural Investment Group
99 High St, 26th Floor, Boston, MA 02110-2320; phone: 617-747-1601
See entry for MFC GLOBAL INVESTMENT MANAGEMENT.
John Hancock Guaranteed & Structured Financial Products
200 Clarendon St., T-25, P.O. Box 111, Boston, MA 02117; phone: 617-572-4598
See entry for MFC GLOBAL INVESTMENT MANAGEMENT.
Hancock Timber Resource Group
99 High St, 26th Floor, Boston, MA 02110-2320; phone: 617-747-1580
See entry for MFC GLOBAL INVESTMENT MANAGEMENT.
Hansberger Global Investors Inc.
401 E. Las Olas Blvd., Suite 1700, Fort Lauderdale, FL 33301; phone: 954-522-5150; fax: 954-713-2558
Dollars are in U.S. millions.
Total assets managed worldwide$5,932
Total worldwide institutional assets$2,958
Total U.S. assets$5,319
Total U.S. tax-exempt assets$2,343
Total U.S. institutional tax-exempt$2,343
Internally managed$2,343
Asset mix:
Equity100%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active$2,343
Active international strategies:
Emerging markets equity$813
Worldwide mutual fund assets$3,610
No. of portfolio managers8
Size of research staff11
Lauretta Reeves is chief investment officer; Wesley Freeman is client contact.
Hanseatic Management Services Inc.
5600 Wyoming N.E., Suite 220, Albuquerque, NM 87109; phone: 505-828-2824; fax: 505-828-2825; www.hanseaticgroup.com
Dollars are in U.S. millions.
Total assets managed worldwide$131
Total worldwide institutional assets$131
Total U.S. assets$131
Total U.S. tax-exempt assets$131
Total U.S. institutional tax-exempt$131
Internally managed$131
Asset mix:
Equity95%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$131
Active domestic equity strategies:
Growth:
Large cap$79
Midcap$52
Pure quantitative$131
Defined contribution assets:
Total$131
Internally managed$131
Plan type:
Corporate 401(k)$37
Other 401(k)$42
Taft-Hartley$52
Investment vehicle:
Separate accounts$131
No. of portfolio managers3
Ed Meihaus is chief investment officer; Brian Stangel is client contact.
Harbor Capital Advisors Inc.
1 Seagate, 14th Floor, Toledo, OH 43666; phone: 800-422-1050; fax: 419-254-4224; www.harborfund.com
Dollars are in U.S. millions.
Total assets managed worldwide$19,886
Total worldwide institutional assets$15,909
Total U.S. assets$19,886
Total U.S. tax-exempt assets$9,400
Total U.S. institutional tax-exempt$9,000
Assigned to external managers$9,000
Worldwide mutual fund assets$19,886
The parent is Robeco Group NV.
Brian Collins is chief investment officer; Ed Leedom is client contact.
HarbourVest Partners LLC
1 Financial Center, 44th Floor, Boston, MA 02111; phone: 617-348-3707; fax: 617-350-0305; www.harbourvest.com
Dollars are in U.S. millions.
Total assets managed worldwide$18,079
Total worldwide institutional assets$18,079
Total U.S. assets$11,929
Total U.S. tax-exempt assets$11,351
Total U.S. institutional tax-exempt$11,351
Assigned to external managers$9,872
Internally managed$1,479
Asset mix:
Private equity100%
Internal U.S. institutional tax-exempt assets in:
Venture capital$655
Buyout funds$784
Other private equity, domestic$20
Other private equity, international$20
No. of portfolio managers20
Size of research staff33
D. Brooks Zug is chief investment officer and client contact.
The assets of subsidiaries HarbourVest Partners (Asia) Ltd. and HarbourVest Partners (U.K.) Ltd. are included in the figures above.
Harding, Loevner Management LP
50 Division St., Suite 401, Somerville, NJ 08876; phone: 908-218-7900; fax: 908-218-1915; www.hardingloevner.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,524
Total worldwide institutional assets$1,033
Total U.S. assets$1,383
Total U.S. tax-exempt assets$892
Total U.S. institutional tax-exempt$892
Internally managed$892
Asset mix:
Equity98%
Fixed income1%
Cash1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$37
Foreign equity, active$849
U.S. bond, active$3
U.S. bond, enhanced index$1
Foreign bond, index$2
Active domestic equity strategies:
Growth:
Large cap$26
Midcap$5
Small cap$1
Active international strategies:
Emerging markets equity$279
Domestic fixed-income strategies:
Stable value$3
Worldwide mutual fund assets$504
Defined contribution assets:
Total$131
Internally managed$131
Plan type:
Corporate 401(k)$125
Other 401(k)$6
Investment vehicle:
Mutual funds$6
Separate accounts$125
No. of portfolio managers6
Size of research staff4
Simon Hallett is chief investment officer; Clarke Moody is client contact.
Harris Associates LP
2 N. LaSalle St., Suite 500, Chicago, IL 60602-3790; phone: 312-621-0600; fax: 312-621-0233; www.harrisassoc.com
Dollars are in U.S. millions.
Total assets managed worldwide$60,319
Total worldwide institutional assets$31,427
Total U.S. assets$54,197
Total U.S. tax-exempt assets$29,000
Total U.S. institutional tax-exempt$18,502
Internally managed$18,502
Asset mix:
Equity86%
Fixed income9%
Cash5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$12,519
Foreign equity, active$3,422
U.S. bond, active$1,636
Cash$925
Active domestic equity strategies:
Value:
Large cap$9,238
Midcap$3,281
Active international strategies:
Emerging markets equity$295
Domestic fixed-income strategies:
Other$1,636
Worldwide mutual fund assets$29,079
Defined contribution assets:
Total$9,146
Internally managed$9,146
Plan type:
Corporate 401(k)$8,458
Taft-Hartley$45
Other$643
Investment vehicle:
Mutual funds$8,219
Separate accounts$927
No. of portfolio managers12
Size of research staff15
The parent is IXIS Asset Management.
Robert M. Levy is chief investment officer; Michael J. Neary is client contact.
Harris Investment Management Inc.
190 S. LaSalle St., 4th Floor, P.O. Box 755, Chicago, IL 60690-0755; phone: 312-765-8155; fax: 312-765-8169
Dollars are in U.S. millions.
Total assets managed worldwide$21,005
Total worldwide institutional assets$20,885
Total U.S. assets$21,005
Total U.S. tax-exempt assets$6,199
Total U.S. institutional tax-exempt$6,199
Internally managed$6,199
Asset mix:
Equity59%
Fixed income38%
Cash3%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$3,627
U.S. bond, active$1,518
High-yield bonds$848
Cash$206
Active domestic equity strategies:
Growth:
Large cap$80
Small cap$40
Value:
Large cap$1,039
Small cap$137
Core:
Large cap$661
Small cap$894
Pure quantitative$3,627
Domestic fixed-income strategies:
Core$2,515
Other$57
Worldwide mutual fund assets$12,785
Defined contribution assets:
Total$3,600
Internally managed$3,600
Plan type:
Other$3,600
Investment vehicle:
Separate accounts$3,600
No. of portfolio managers17
Size of research staff15
The parent is Harris Bankcorp.
William Leszinske is chief investment officer; Richard Dabrowski is client contact.
Hart Advisers Inc.
1 Mill Pond Lane, Simsbury, CT 06070; phone: 860-651-4000; fax: 860-651-4016; www.hartadvisers.com
Dollars are in U.S. millions.
Total assets managed worldwide$275
Total worldwide institutional assets$275
Total U.S. assets$275
Total U.S. tax-exempt assets$275
Total U.S. institutional tax-exempt$275
Internally managed$275
Asset mix:
Equity real estate100%
Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic$275
Hart Advisers Inc. is a real estate manager, using customized investment strategies for each client.
William Holmes is chief investment officer and client contact.
Hart Capital Management
1000 Hart Road, Suite 210, Barrington, IL 60010; phone: 847-304-0450; fax: 847-713-2225
Dollars are in U.S. millions.
Total assets managed worldwide$400
Total worldwide institutional assets$400
Total U.S. assets$300
Total U.S. tax-exempt assets$100
Total U.S. institutional tax-exempt$100
Internally managed$100
Asset mix:
Fixed income100%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active$100
The parent is Arbor Trading Group Inc.
The Hartford
200 Hopmeadow St., Simsbury, CT 06089; phone: 860-547-5000; institutional.hartfordlife.com
Dollars are in U.S. millions.
Total assets managed worldwide$152,903
Total worldwide institutional assets$18,003
Total U.S. assets$152,903
Total U.S. tax-exempt assets$130,510
Total U.S. institutional tax-exempt$17,011
Assigned to external managers$6,520
Internally managed$10,491
Worldwide mutual fund assets$127,884
Defined contribution assets:
Total$16,970
Internally managed$5,334
Investment vehicle:
Variable annuities$5,334
Paul Meskiewicz is client contact.
Hartford Investment Management Co.
55 Farmington Ave., Hartford, CT 06105; phone: 860-297-6900; fax: 860-297-8878; www.himco.com
Dollars are in U.S. millions.
Total assets managed worldwide$101,919
Total worldwide institutional assets$101,919
Total U.S. assets$101,919
Total U.S. tax-exempt assets$21,868
Total U.S. institutional tax-exempt$21,868
Internally managed$21,868
Asset mix:
Equity23%
Fixed income66%
Cash11%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$45
U.S. equity, passive$5,027
U.S. bond, active$8,759
U.S. bond, passive$3,417
High-yield bonds$1,450
Mortgage-backed securities$701
Cash$2,469
Active domestic equity strategies:
Core:
Large cap$45
Passive domestic equity strategies:
Core:
Large cap$4,619
Midcap$253
Small cap$155
Domestic fixed-income strategies:
Core$5,403
Other$3,356
Worldwide mutual fund assets$12,380
Overlay strategies:
Derivative strategies$42
Internally managed underlying assets$42
No. of portfolio managers20
Size of research staff34
The parent is Hartford Financial Services Group Inc.
Andrew Kohnke is client contact.
Haven Capital Management LLC
655 Third Ave., 19th Floor, New York, NY 10017; phone: 212-953-2322; fax: 212-818-9044; www.havencapital.com
Dollars are in U.S. millions.
Total assets managed worldwide$760
Total worldwide institutional assets$652
Total U.S. assets$760
Total U.S. tax-exempt assets$652
Total U.S. institutional tax-exempt$652
Internally managed$652
Asset mix:
Equity17%
Fixed income81%
Cash2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$114
U.S. bond, active$527
Cash$11
Active domestic equity strategies:
Core:
Broad market$114
Domestic fixed-income strategies:
Core$527
No. of portfolio managers5
Size of research staff2
Denis M. Turko is chief investment officer and client contact.
Haverford Trust Co.
3 Radnor Corporate Center, Suite 450, Radnor, PA 19087; phone: 610-995-8700; fax: 610-995-8796; www.haverfordtrust.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,582
Total worldwide institutional assets$924
Total U.S. assets$3,582
Total U.S. tax-exempt assets$1,026
Total U.S. institutional tax-exempt$741
Internally managed$741
Asset mix:
Equity78%
Fixed income22%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$578
U.S. bond, active$163
Active domestic equity strategies:
Growth:
Large cap$578
Worldwide mutual fund assets$16
Defined contribution assets:
Total$171
Internally managed$171
Plan type:
Taft-Hartley$5
Other$166
Investment vehicle:
Separate accounts$171
No. of portfolio managers13
Size of research staff2
Henry Smith is chief investment officer; Thomas Hipp is client contact.
Hearthstone
781 Lincoln Ave., Suite 300, San Rafael, CA 94901; phone: 415-257-3600; fax: 415-257-3619; www.hearthstone.com
Dollars are in U.S. millions.
Total assets managed worldwide$1,227
Total worldwide institutional assets$1,227
Total U.S. assets$1,227
Total U.S. tax-exempt assets$1,073
Total U.S. institutional tax-exempt$1,073
Internally managed$1,073
Asset mix:
Equity real estate100%
Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic$1,073
James Z. Pugash is chief investment officer and client contact.
Heartland Advisors Inc.
789 N. Water St., Milwaukee, WI 53202; phone: 888-505-5180; fax: 414-347-0937; www.heartlandfunds.com
Dollars are in U.S. millions.
Total assets managed worldwide$3,026
Total worldwide institutional assets$458
Total U.S. assets$3,026
Total U.S. tax-exempt assets$383
Total U.S. institutional tax-exempt$360
Internally managed$360
Asset mix:
Equity90%
Fixed income3%
Cash7%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active$325
U.S. bond, active$9
Cash$26
Active domestic equity strategies:
Value:
Midcap$6
Small cap$294
Broad market$24
Domestic fixed-income strategies:
Stable value$9
Worldwide mutual fund assets$2,402
Defined contribution assets:
Total$15
Internally managed$15
Plan type:
Other$15
Investment vehicle:
Separate accounts$15
No. of portfolio managers8
Size of research staff2
The parent is Heartland Group.
Bill Nasgovitz is chief investment officer; Chris Ersbo is client contact.
Heitman
191 N. Wacker Drive, Suite 2500, Chicago, IL 60606; phone: 312-855-5700; fax: 312-855-0459; www. heitman.com
Dollars are in U.S. millions.
Total assets managed worldwide$12,702
Total worldwide institutional assets$11,409
Total U.S. assets$11,813
Total U.S. tax-exempt assets$9,332
Total U.S. institutional tax-exempt$9,332
Internally managed$9,332
Asset mix:
Equity13%
Fixed income22%
Equity real estate65%
Internal U.S. institutio