John Hancock Advisers Inc.
6501 Americas Parkway N.E., Suite 950, Albuquerque, NM 87110-8120; phone: (505) 888-9500; fax: (505) 888-0874
($ millions)
Total assets managed worldwide 131
Total worldwide institutional assets 91
Total U.S. tax-exempt assets 99
Total U.S. institutional tax-exempt 85
Internal U.S. institutional tax-exempt 85
Asset mix:
Equity 40%
Fixed income 51%
Cash 9%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 34
U.S. bond, active 43
Cash 8
Active domestic equity strategies:
Value
Broad market 34
Active domestic fixed-income strategies:
Market timing/active duration 43
Defined contribution assets:
Total 6
Internally managed 6
No. of portfolio managers 2
Size of research staff 3
Robert Freedman is chief investment officer; Vern H. Curtis is client contact.
Hancock Agricultural Investment Group
99 High St., Boston, MA 02110-2320; phone: (617) 747-1610
See entry for JOHN HANCOCK FINANCIAL SERVICES.
Hancock Bond and Corporate Finance Group
P.O. Box 111, Boston, MA 02117-0111; phone: (617) 572-4558
See entry for JOHN HANCOCK FINANCIAL SERVICES.
John Hancock Financial Services
200 Clarendon St., P.O. Box 111, Boston, MA 02117; phone: (617) 572-6000; www.jhancock.com
($ millions)
Total assets managed worldwide 69,079
Total worldwide institutional assets 37,678
Total U.S. tax-exempt assets 36,978
Total U.S. institutional tax-exempt 36,978
Internal U.S. institutional tax-exempt 35,941
Defined contribution assets:
Tota 13,434
Internally managed 13,434
In addition to the assets listed above, John Hancock Financial Services oversees $1.037 billion in U.S. institutional assets managed by external firms.
John DeCiccio is chief investment officer.
The assets of the following subsidiaries are included in the totals above:
* Energy Investors Funds Group manages $519.2 million in independent power projects. Herbert Magid is client contact.
* Hancock Agricultural Investment Group manages $378.1 million in equity farmland investments. Jeffrey A. Conrad is client contact.
* Hancock Bond and Corporate Finance Group manages $35 billion in private placements and other fixed-income investments. John W. Pluta is client contact.
* Hancock Real Estate Investment Group manages commercial mortgage and equity real estate investments. Deborah McAneny is client contact.
* Hancock Timber Resource Group manages $3.1 billion in timberland investments. Philip Boole is client contact.
* John Hancock Guaranteed & Structured Financial Products manages traditional and alternative GICs. Joseph Fournier is client contact.
John Hancock Funds
101 Huntington Ave., Boston, MA 02199; phone: (617) 375-1500; fax: (617) 375-4710;
www.jhancock.com/funds
($ millions)
Total assets managed worldwide 30,496
Total worldwide institutional assets 4,827
Total U.S. tax-exempt assets 9,675
Total U.S. institutional tax-exempt 2,428
Internal U.S. institutional tax-exempt 2,428
Asset mix:
Equity 10%
Fixed income 90%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 173
Foreign equity, active 79
U.S. bond, active 1,963
Foreign bond, active 213
Active domestic equity strategies:
Growth
Large cap 43
Midcap 27
Small cap 86
Value
Small cap 17
Active international equity strategies:
Global mandate 3
Developed markets mandate 76
Active domestic fixed-income strategies:
Sector rotation 1,963
Mutual fund assets:
Worldwide mutual fund assets 25,759
Defined contribution assets:
Total 1,999
Internally managed 1,999
No. of portfolio managers 35
Size of research staff 26
Robert Freedman is chief investment officer; Diane Hallett is client contact.
The assets of Sovereign Asset Management are included in the figures above.
John Hancock Guaranteed & Structured Financial Products
P.O. Box 111, Boston, MA 02117-0111; phone: (617) 572-4598
See entry for JOHN HANCOCK FINANCIAL SERVICES.
Hancock Real Estate Investment Group
P.O. Box 111, Boston MA 02117-0111; phone: (617) 572-4522
See entry for JOHN HANCOCK FINANCIAL SERVICES.
Hancock Timber Resource Group
99 High St., Boston, MA 02110-2320; phone: (617) 747-1527
See entry for JOHN HANCOCK FINANCIAL SERVICES.
Harbert Management Corp.
1 Riverchase Parkway S., Birmingham, AL 35244; phone: (205) 987-5500; fax: (205) 987-5568; www.harbert.net
($ millions)
Total assets managed worldwide 605
Total worldwide institutional assets 586
Total U.S. tax-exempt assets 41
Total U.S. institutional tax-exempt 41
Internal U.S. institutional tax-exempt 41
Asset mix:
Fixed income 32%
Equity real estate 61%
Other 7%
Internal U.S. institutional tax-exempt assets in:
Private equity, domestic 1
Venture capital 1
U.S. bond, active 13
Equity real estate, domestic 25
Active domestic fixed-income strategies:
Mezzanine debt 13
No. of portfolio managers 17
Size of research staff 9
Harbert Management Corp. offers real estate, private equity and venture capital asset management. In real estate, it assembles portfolios of economically diverse assets in the Southeastern United States, emphasizing current cash flow and performance enhancement opportunities. For private equity, it invests in middle-market companies located principally in the Southern United States. And for venture capital, it makes seed, startup and early stage investments principally in information technology and life science companies in the Southeast.
Michael Luce is chief investment officer; Charles D. Miller is client contact.
Harbor Capital Management Co. Inc.
125 High St., Suite 2600, Boston, MA 02110; phone: (617) 478-7200; fax: (617) 439-9789
($ millions)
Total assets managed worldwide 9,303
Total worldwide institutional assets 7,890
Total U.S. tax-exempt assets 7,107
Total U.S. institutional tax-exempt 7,019
Internal U.S. institutional tax-exempt 7,019
Asset mix:
Equity 79%
Fixed income 20%
Cash 1%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 1,682
U.S. equity, active 4,386
Foreign equity, active 868
U.S. bond, active 729
Active domestic equity strategies:
Growth
Large cap 367
Value
Large cap 19
Core
Large cap 3,099
Midcap 71
Small cap 119
No. of portfolio managers 13
Size of research staff 8
Frederick G.P. Thorne is chief investment officer; Karen Smith is client contact.
Harding, Loevner Management LP
50 Division St., Suite 401, Somerville, NJ 08876; phone: (908) 218-7900; fax: (908) 218-1915; www.hardingloevner.com
($ millions)
Total assets managed worldwide 1,423
Total worldwide institutional assets 953
Total U.S. tax-exempt assets 953
Total U.S. institutional tax-exempt 953
Internal U.S. institutional tax-exempt 953
Asset mix:
Equity 97%
Fixed income 1%
Cash 2%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 33
U.S. equity, active 51
Foreign equity, active 874
U.S. bond, active 4
U.S. bond, enhanced index 2
High-yield bonds 2
Mortgage-backed securities 2
Cash 18
Active domestic equity strategies:
Growth
Large cap 40
Midcap 5
Small cap 6
Active international equity strategies:
Global mandate 77
Emerging markets mandate 2
Developed markets mandate 795
Active domestic fixed-income strategies:
Stable value 4
Mutual fund assets:
Worldwide mutual fund assets 435
No. of portfolio managers 5
Size of research staff 2
Daniel Harding is chief investment officer; Robin Norton is client contact.
Harleysville Asset Management
355 Maple Ave., Harleysville, PA 19438; phone: (215) 256-5025; fax: (215) 256-5601;
www.harleysvillegroup.com
($ millions)
Total assets managed worldwide 2,655
Total worldwide institutional assets 2,655
Total U.S. tax-exempt assets 129
Total U.S. institutional tax-exempt 129
Internal U.S. institutional tax-exempt 129
Asset mix:
Equity 70%
Fixed income 27%
Cash 3%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 90
U.S. bond, enhanced index 30
Mortgage-backed securities 5
Cash 4
Active domestic equity strategies:
Growth
Large cap 90
No. of portfolio managers 3
Size of research staff 3
Mark R. Cummins is chief investment officer and client contact.
Robert Harrell Inc.
8310 Capital of Texas Highway North Suite 320, Austin, TX 78732; fax: (512) 795-0633; www.harrel.com
($ millions)
Total assets managed worldwide 1,809
Total worldwide institutional assets 1,793
Total U.S. tax-exempt assets 1,793
U.S. tax-exempt institutional:
Internal 75
Assigned to other firms 1,718
Internal U.S. institutional tax-exempt asset mix:
Equity 60%
Cash 40%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 75
Overlay strategies:
Derivative strategies 75
Internally managed underlying assets 75
Size of research staff 2
Benjamin Napier is chief investment officer; Sandra K. Larsen is client contact.
Harris Associates LP
2 N. LaSalle St., Suite 500, Chicago, IL 60602-3790; phone: (312) 621-0600; fax: (312) 621-0233
($ millions)
Total assets managed worldwide 12,566
Total worldwide institutional assets 5,831
Total U.S. tax-exempt assets 4,248
Total U.S. institutional tax-exempt 1,978
Internal U.S. institutional tax-exempt 1,978
Asset mix:
Equity 81%
Fixed income 12%
Cash 7%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 691
U.S. equity, active 1,611
U.S. bond, active 238
Cash 129
Active domestic equity strategies:
Value
Large cap 644
Midcap 967
Active domestic fixed-income strategies:
Sector rotation 238
Mutual fund assets:
Worldwide mutual fund assets 6,735
Defined contribution assets:
Total 1,171
Internally managed 1,171
No. of portfolio managers 17
Size of research staff 12
Robert M. Levy is chief investment officer; Thomas J. Barron is client contact.
Harris Bretall Sullivan & Smith LLC
1 Sansome St., Suite 3300, San Francisco, CA 94104; phone: (415) 765-8300; fax: (415) 397-0429; www.hbss.com
($ millions)
Total assets managed worldwide 5,815
Total worldwide institutional assets 2,287
Total U.S. tax-exempt assets 2,930
Total U.S. institutional tax-exempt 1,346
Internal U.S. institutional tax-exempt 1,346
Asset mix:
Equity 74%
Fixed income 24%
Cash 2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 996
U.S. bond, active 323
Cash 27
Active domestic equity strategies:
Growth
Large cap 996
Mutual fund assets:
Worldwide mutual fund assets 26
Defined contribution assets:
Tota 163
Internally managed 163
No. of portfolio managers 12
Size of research staff 3
Henry B.D. Smith is chief investment officer; Gordon Ceresino is client contact.
Harris Investment Management Inc.
190 S. LaSalle St., Chicago, IL 60603; phone: (312) 765-8155; fax: (312) 765-8169
($ millions)
Total assets managed worldwide 14,130
Total worldwide institutional assets 14,113
Total U.S. tax-exempt assets 5,297
Total U.S. institutional tax-exempt 5,297
Internal U.S. institutional tax-exempt 5,297
Asset mix:
Equity 42%
Fixed income 55%
Cash 3%
Internal U.S. institutional tax-exempt assets in:
Long-short (market neutral) 31
Asset allocation/balanced 2,076
U.S. equity, active 1,951
U.S. equity, passive 179
U.S. equity, enhanced index 75
U.S. bond, active 2,646
High-yield bonds 14
Mortgage-backed securities 248
Cash 183
Active domestic equity strategies:
Value
Large cap 1,307
Passive domestic equity strategies:
Core
Large cap 179
Active domestic fixed-income strategies:
Sector rotation 1,323
Market timing/active duration 1,323
Mutual fund assets:
Worldwide mutual fund assets 6,709
Defined contribution assets:
Tota 321
Internally managed 321
No. of portfolio managers 18
Size of research staff 16
William Leszinske is chief investment officer; Joseph Caticchio is client contact.
Hart Advisers Inc. 1 Mill Pond Lane, Simsbury, CT 06070; phone: (860) 651-4000; fax: (860) 651-4016;
hartadvisers.com
($ millions)
Total assets managed worldwide 406
Total worldwide institutional assets 406
Total U.S. tax-exempt assets 406
Total U.S. institutional tax-exempt 406
Internal U.S. institutional tax-exempt 406
Asset mix:
Equity real estate 100%
Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic 406
No. of portfolio managers 1
Size of research staff 2
Hart Advisers Inc. invests in commercial real estate, using a conservative contrarian approach.
William H. Holmes is chief investment officer; Sharon Ann Miller is client contact.
Hartford Investment Management Co.
55 Farmington Ave., Hartford, CT 06105; phone: (860) 297-6704; fax: (860) 297-8881
($ millions)
Total assets managed worldwide 59,162
Total worldwide institutional assets 59,162
Total U.S. tax-exempt assets 26,127
Total U.S. institutional tax-exempt 26,127
Internal U.S. institutional tax-exempt 26,127
Asset mix:
Equity 18%
Fixed income 70%
Cash 12%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 777
U.S. equity, passive 3,956
U.S. bond, active 8,453
U.S. bond, passive 4,759
High-yield bonds 53
Mortgage-backed securities 4,903
Cash 3,206
Passive domestic equity strategies:
Core
Large cap 3,726
Midcap 230
Active domestic fixed-income strategies:
Sector rotation 2,433
Customized 6,020
Overlay strategies:
Other 20
Internally managed underlying assets 20
Mutual fund assets:
Worldwide mutual fund assets 5,485
No. of portfolio managers 15
Size of research staff 16
Andrew Kohnke is chief investment officer; Richard Allison is client contact.
Havell Capital Management
1285 Avenue of the Americas 18th Floor, New York, NY 10019; phone: (212) 484-3075; fax: (212) 484-3089
($ millions)
Total assets managed worldwide 120
Total worldwide institutional assets 30
Total U.S. tax-exempt assets 20
Total U.S. institutional tax-exempt 20
Internal U.S. institutional tax-exempt 20
Asset mix:
Fixed income 100%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active 5
Foreign bond, active 5
High-yield bonds 5
Mortgages 5
No. of portfolio managers 2
Size of research staff 2
Theresa Havell is chief investment officer; Julia Wyatt is client contact.
Haven Capital Management Inc.
655 Third Ave., 19th Floor, New York, NY 10017; phone: (212) 953-2322; fax: (212) 818-9044;
havencapital.com%A0;p%A0;($ millions)
Total assets managed worldwide 703
Total worldwide institutional assets 314
Total U.S. tax-exempt assets 314
Total U.S. institutional tax-exempt 314
Internal U.S. institutional tax-exempt 314
Asset mix:
Equity 47%
Fixed income 49%
Cash 4%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 93
U.S. equity, active 140
REITs 8
U.S. bond, active 119
Mortgage-backed securities 34
Cash 13
Active domestic equity strategies:
Value
Large cap 70
Midcap 70
Mutual fund assets:
Worldwide mutual fund assets 72
No. of portfolio managers 4
Denis M. Turko is chief investment officer and client contact.
Hearthstone Advisors Inc.
16133 Ventura Blvd., Suite 1400, Encino, CA 91436; phone: (818) 385-0005
($ millions)
Total assets managed worldwide 1,404
Total worldwide institutional assets 1,404
Total U.S. tax-exempt assets 1,404
Total U.S. institutional tax-exempt 1,404
Internal U.S. institutional tax-exempt 1,404
Asset mix:
Equity real estate 100%
Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic 1,404
James Z. Pugash is chief investment officer and client contact.
Heartland Capital Management
251 N. Illinois St., Suite 300,
Indianapolis, IN 46204; phone: (317) 383-2000; fax: (317) 383-2020
($ millions)
Total assets managed worldwide 1,936
Total worldwide institutional assets 728
Total U.S. tax-exempt assets 1,085
Total U.S. institutional tax-exempt 728
Internal U.S. institutional tax-exempt 728
Asset mix:
Equity 75%
Fixed income 20%
Cash 5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 546
U.S. bond, active 146
Cash 36
Active domestic equity strategies:
Growth
Large cap 546
Active domestic fixed-income strategies:
Market timing/active duration 146
No. of portfolio managers 7
Size of research staff 2
Robert Markley is chief investment officer and client contact.
Heitman
180 N. LaSalle St., Suite 3500, Chicago, IL 60601; phone: (312) 855-5700; fax: (312) 855-5803; www.heitman.com
($ millions)
Total worldwide institutional assets 8,970
Total U.S. tax-exempt assets 8,547
Total U.S. institutional tax-exempt 8,547
Internal U.S. institutional tax-exempt 8,547
Asset mix:
Equity 6%
Equity real estate 94%
Internal U.S. institutional tax-exempt assets in:
REITs 519
Equity real estate, domestic 8,028
Mutual fund assets:
Worldwide mutual fund assets 95
No. of portfolio managers 21
Size of research staff 3
Maury Tognarelli is chief investment officer; Mary Ludgin is client contact.
Hellman, Jordan Management Co. Inc.
75 State St., Boston, MA 02109; phone: (617) 261-9800; fax: (617) 261-9801
($ millions)
Total assets managed worldwide 1,059
Total U.S. tax-exempt assets 661
Total U.S. institutional tax-exempt 661
Internal U.S. institutional tax-exempt 661
Asset mix:
Equity 70%
Cash 30%
Internal U.S. institutional tax-exempt assets in:
Hedge funds 276
U.S. equity, active 463
Cash 198
Growth
Large cap 463
No. of portfolio managers 2
Size of research staff 2
Gerald R. Jordan Jr. is chief investment officer; David B. Crosby is client contact.
Henderson Investors
737 N. Michigan Ave., 19th Floor, Chicago, IL 60611; phone: (312) 397-1122; fax: (312) 397-1494; www.henderson.com
($ millions)
Total assets managed worldwide 136,545
Total worldwide institutional assets 82,170
Total U.S. tax-exempt assets 1,759
Total U.S. institutional tax-exempt 1,759
Internal U.S. institutional tax-exempt 1,759
Asset mix:
Equity 48%
Equity real estate 52%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active 840
Equity real estate 919
Active international equity strategies:
Developed markets mandate 840
Charles Wurtzebach is chief investment officer; David McWhorter is client contact.
Heritage Investors Management Corp.
7101 Wisconsin Ave., Suite 1112, Bethesda, MD 20814
($ millions)
Total assets managed worldwide 747
Total worldwide institutional assets 120
Total U.S. tax-exempt assets 265
Total U.S. institutional tax-exempt 120
Internal U.S. institutional tax-exempt 120
Asset mix:
Equity 48%
Fixed income 48%
Cash 4%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 120
U.S. equity, active 57
U.S. bond, active 57
Cash 5
Active domestic equity strategies:
Value
Large cap 46
Midcap 2
Active domestic fixed-income strategies:
Stable value 48
Michael S. Cornfeld is chief investment officer.
HGK Asset Management Inc.
525 Washington Blvd., 26th Floor, Jersey City, NJ 07310; phone: (201) 659-3700; fax: (201) 659-4566; www.hgk.com
($ millions)
Total assets managed worldwide 2,629
Total worldwide institutional assets 2,629
Total U.S. tax-exempt assets 2,629
Total U.S. institutional tax-exempt 2,629
Internal U.S. institutional tax-exempt 2,629
Asset mix:
Equity 28%
Fixed income 71%
Cash 1%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 745
U.S. equity, active 723
Foreign equity, active 24
U.S. bond, active 1,849
Cash 33
Active domestic equity strategies:
Value
Large cap 653
Midcap 94
Active domestic fixed-income strategies:
Sector rotation 1,849
Mutual fund assets:
Worldwide mutual fund assets 23
No. of portfolio managers 10
Jeffrey T. Harris is chief investment officer; David C. Hauck is client contact.
Hibernia National Bank
P.O. Box 61540, 7th Floor, New Orleans, LA 70130; phone: (504) 533-5505; fax: (504) 533-5947; www.hibernia.com
($ millions)
Total assets managed worldwide 3,727
Total worldwide institutional assets 3,544
Total U.S. tax-exempt assets 1,120
Total U.S. institutional tax-exempt 1,120
Internal U.S. institutional tax-exempt 1,120
Asset mix:
Equity 45%
Fixed income 46%
Cash 9%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 498
U.S. bond, active 510
Cash 112
Active domestic equity strategies:
Core
Large cap 20
Midcap 478
Active domestic fixed-income strategies:
Sector rotation 510
Mutual fund assets:
Worldwide mutual fund assets 1,000
No. of portfolio managers 5
Size of research staff 1
James McElroy is chief investment officer; Pierre Lapeyre is client contact.
HighMark Capital Management Inc.
445 S. Figueroa St., 5th Floor, Los Angeles, CA 90071; phone: (213) 236-7167; fax: (213) 236-6865; www.highmarkcapmgmt.com
($ millions)
Total assets managed worldwide 19,847
Total worldwide institutional assets 14,191
Total U.S. tax-exempt assets 5,627
Total U.S. institutional tax-exempt 5,523
Internal U.S. institutional tax-exempt 5,523
Asset mix:
Equity 52%
Fixed income 20%
Cash 28%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 1,656
U.S. equity, active 1,138
U.S. bond, active 1,727
Cash 1,002
Active domestic equity strategies:
Growth
Large cap 3
Value
Large cap 572
Active domestic fixed-income strategies:
Stable value 334
Mutual fund assets:
Worldwide mutual fund assets 9,379
Defined contribution assets:
Total 880
Internally managed 880
No. of portfolio managers 38
Size of research staff 6
Luke Mazur is chief investment officer; Chip Howard is client contact.
HLM Management Co. Inc.
222 Berkeley St., Boston, MA 02116; phone: (617) 266-0030; fax: (617) 266-3619
($ millions)
Total assets managed worldwide 957
Total worldwide institutional assets 940
Total U.S. tax-exempt assets 730
Total U.S. institutional tax-exempt 730
Internal U.S. institutional tax-exempt 730
Asset mix:
Equity 100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 730
Active domestic equity strategies:
Growth
Large cap 730
No. of portfolio managers 5
Size of research staff 4
Ann Hutchins is chief investment officer; Vincent J. Fabiani is client contact.
HM Capital Management Inc.
218 E. 10th St., Indianapolis, IN 46202; phone: (317) 231-9752
($ millions)
Total assets managed worldwide 26
Total worldwide institutional assets 26
Total U.S. tax-exempt assets 26
Total U.S. institutional tax-exempt 26
Internal U.S. institutional tax-exempt 26
Asset mix:
Fixed income 97%
Cash 3%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active 25
Cash 1
No. of portfolio managers 3
Max E. Hudspeth is chief investment officer; Rhonda Miller is client contact.
Hoisington Investment Management Co.
1250 S. Capital of Texas Highway, No. 3-600, Austin, TX 78746; phone: (512) 327-7200; fax: (512) 327-8646
($ millions)
Total assets managed worldwide 3,599
Total worldwide institutional assets 3,599
Total U.S. tax-exempt assets 3,397
Total U.S. institutional tax-exempt 3,397
Internal U.S. institutional tax-exempt 3,397
Asset mix:
Fixed income 100%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active 3,346
Foreign bond, active 51
Active domestic fixed-income strategies:
Market timing/active duration 3,346
Mutual fund assets:
Worldwide mutual fund assets 66
Defined contribution assets:
Total 44
Internally managed 44
No. of portfolio managers 3
Size of research staff 2
Van R. Hoisington is chief investment officer; Janice Teague Green is client contact.
Holland Capital Management
35 W. Wacker Drive, Suite 3260, Chicago, IL 60601; phone: (312) 553-1000; fax: (312) 553-1031
($ millions)
Total assets managed worldwide 708
Total worldwide institutional assets 679
Total U.S. tax-exempt assets 678
Total U.S. institutional tax-exempt 674
Internal U.S. institutional tax-exempt 674
Asset mix:
Equity 63%
Fixed income 37%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 62
U.S. equity, active 421
U.S. bond, active 253
Active domestic equity strategies:
Growth
Large cap 421
Active domestic fixed-income strategies:
Core active 253
Mutual fund assets:
Worldwide mutual fund assets 11
Defined contribution assets:
Total 64
Internally managed 64
No. of portfolio managers 3
Size of research staff 3
Louis A. Holland is chief investment officer; Monica Walker is client contact.
Holt-Smith & Yates Advisors
2810 Crossroads Drive, Suite 4900, Madison, WI 60523; phone: (608) 249-4488; fax: (608) 249-7988
($ millions)
Total assets managed worldwide 303
Total worldwide institutional assets 161
Total U.S. tax-exempt assets 194
Total U.S. institutional tax-exempt 161
Internal U.S. institutional tax-exempt 161
Asset mix:
Equity 71%
Fixed income 29%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 114
U.S. bond, active 47
Active domestic equity strategies:
Growth
Large cap 114
Active domestic fixed-income strategies:
Market timing/active duration 47
Defined contribution assets:
Total 145
Internally managed 145
No. of portfolio managers 3
Size of research staff 3
Kristin Yates is chief investment officer; Susan Carr-Templeton is client contact.
Horsley Bridge Partners Inc.
505 Montgomery St., San Francisco, CA 94549; phone: (415) 986-7733; fax: (415) 986-7744
($ millions)
Total assets managed worldwide 4,593
Total worldwide institutional assets 4,593
Total U.S. tax-exempt assets 4,504
Total U.S. institutional tax-exempt 3,784
Internal U.S. institutional tax-exempt 3,784
Asset mix:
Equity 88%
Cash 12%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 20
Venture capital 3,294
Cash 470
Phillip Horsley is chief investment officer; Gary Bridge is client contact.
Howson Tattersall Investment Counsel Ltd.
20 Queen St. W., Suite 1904, P.O. Box 95, Toronto, Ontario, M5H 3R3 Canada; phone: (416) 979-1818; fax: (416) 979-7424
($ millions)
Total assets managed worldwide 387
Total worldwide institutional assets 286
Total tax-exempt assets 132
Total institutional tax-exempt 132
Internal institutional tax-exempt 132
Asset mix:
Canadian equity 100%
Internal institutional tax-exempt assets in:
Active domestic or U.S. 132
Active domestic equity strategies:
Value
Small cap 132
Mutual fund assets:
Worldwide mutual fund assets 213
No. of portfolio managers 2
Size of research staff 1
John Hsu Capital Group Inc.
767 Third Ave., 18th Floor, New York, NY 10017; phone: (212) 223-7515; fax: (212) 980-8134
($ millions)
Total assets managed worldwide 457
Total worldwide institutional assets 443
Total U.S. tax-exempt assets 343
Total U.S. institutional tax-exempt 341
Internal U.S. institutional tax-exempt 341
Asset mix:
Equity 78%
Fixed income 21%
Cash 1%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 163
Foreign equity, active 104
U.S. bond, active 71
Cash 3
Active domestic equity strategies:
Growth
Large cap 40
Value
Large cap 60
Midcap 10
Active international equity strategies:
Global mandate 76
Developed markets mandate 26
Active domestic fixed-income strategies:
Market timing/active duration 71
No. of portfolio managers 1
Size of research staff 1
John Hsu is chief investment officer; Rebecca Bodell is client contact.
Hughes Capital Management Inc.
315 Cameron St., Alexandria, VA 22314; phone: (703) 684-7222; fax: (703) 884-7799
($ millions)
Total assets managed worldwide 768
Total worldwide institutional assets 768
Total U.S. tax-exempt assets 768
Total U.S. institutional tax-exempt 768
Internal U.S. institutional tax-exempt 768
Asset mix:
Fixed income 99%
Cash 1%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active 761
Cash 7
No. of portfolio managers 2
Size of research staff 10
Hughes Capital Management Inc. manages active domestic fixed income using duration-neutral, sector-emphasis and security-selection criteria.
Frankie D. Hughes is chief investment officer; Clarissa Parker-Boykin is client contact.
Wayne Hummer Management Co.
300 S. Wacker Drive, Chicago, IL 60606; phone: (312) 431-1700; fax: (312) 431-6741; www.whummer.com
($ millions)
Total assets managed worldwide 1,205
Total worldwide institutional assets 1,081
Total U.S. tax-exempt assets 333
Total U.S. institutional tax-exempt 304
Internal U.S. institutional tax-exempt 304
Asset mix:
Equity 89%
Fixed income 6%
Cash 5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 272
U.S. bond, active 17
Cash 15
Active domestic equity strategies:
Core
Midcap 249
Broad market 23
Active domestic fixed-income strategies:
Stable value 17
Mutual fund assets:
Worldwide mutual fund assets 567
No. of portfolio managers 5
Thomas Rowland is chief investment officer; Grove Mower is client contact.
Husic Capital Management
555 California St., Suite 2900, San Francisco, CA 94104; phone: (415) 398-0800; fax: (415) 445-5290
($ millions)
Total assets managed worldwide 4,207
Total worldwide institutional assets 3,557
Total U.S. tax-exempt assets 3,479
Total U.S. institutional tax-exempt 3,234
Internal U.S. institutional tax-exempt 3,234
Asset mix:
Equity 100%
Internal U.S. institutional tax-exempt assets in:
Long-short (market neutral) 196
U.S. equity, active 3,234
Active domestic equity strategies:
Growth
Large cap 26
Midcap 99
Small cap 655
Broad market 2,454
Mutual fund assets:
Worldwide mutual fund assets 381
No. of portfolio managers 3
Size of research staff 3
Frank J. Husic is chief investment officer; Neal J. Howe is client contact.
Hyperion Capital Management Inc.
165 Broadway, 36th Floor, 1 Liberty Plaza, New York, NY 10006; phone: (212) 549-8400; fax: (212) 549-8300
($ millions)
Total assets managed worldwide 3,540
Total worldwide institutional assets 2,908
Total U.S. tax-exempt assets 780
Total U.S. institutional tax-exempt 780
Internal U.S. institutional tax-exempt 780
Asset mix:
Fixed income 100%
Internal U.S. institutional tax-exempt assets in:
Mortgage-backed securities 780
Mutual fund assets:
Worldwide mutual fund assets 632
Defined contribution assets:
Total 43
Internally managed 43
No. of portfolio managers 5
Size of research staff 8
Clifford Lai is chief investment officer; John Feeney Jr. is client contact.
