John Hancock Advisers Inc.
101 Huntington Ave., Boston, MA 02199; phone: (617) 375-4868; fax: (617) 375-4710; www.jhfunds.com
($ millions)
Total assets managed worldwide 30,189
Total worldwide institutional assets 5,133
Total U.S. tax-exempt assets 6,308
Total U.S. institutional tax-exempt 2,768
Internal U.S. institutional tax-exempt 2,768
Asset mix:
Equity 17%
Fixed income 83%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 412
Foreign equity, active 61
U.S. bond, active 2,096
Foreign bond, active 199
Active domestic equity strategies:
Growth
Large cap 35
Midcap 21
Small cap 182
Value
Large cap 18
Small cap 66
Active international equity strategies:
Global mandate (international assets) 5
Developed markets mandate 56
Active domestic fixed-income strategies:
Sector rotation 2,095
Mutual fund assets:
Worldwide mutual fund assets 25,056
Defined contribution assets:
Total 2,768
Internally managed 2,768
No. of portfolio managers 36
Size of research staff 30
The parent is John Hancock Financial Services.
The assets of Sovereign Asset Management Corp. are included in the figures above.
William Braman is chief investment officer; James Bowhers is client contact.
John Hancock Financial Services
200 Clarendon St., P.O. Box 111, Boston, MA 02117; phone: (617) 572-6000; fax: (617) 572-5029; www.jhancock.com
($ millions)
Total assets managed worldwide 70,220
Total worldwide institutional assets 24,849
Total U.S. tax-exempt assets 20,070
Total U.S. institutional tax-exempt 20,070
Internal U.S. institutional tax-exempt 19,022
In addition to the assets listed above, the firm oversees $1.048 billion in U.S. institutional tax-exempt assets managed by external firms.
John DeCiccio is chief investment officer.
The assets of the following subsidiaries are included in the totals above:
* Hancock Agricultural Investment Group manages $450 million in equity farmland investments. Jeffrey A. Conrad is client contact.
* Hancock Bond and Corporate Finance Group manages $36 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 $3 billion in timberland investments. Philip Boole is client contact.
* John Hancock Guaranteed and Stable Value Products manages traditional and alternative GICs for defined contribution managers. Joseph Fournier is client contact.
* John Hancock Traditional Participating Products manages annuities and participating investment products.
Hancock Agricultural Investment Group
99 High St., Boston, MA 02110-2320; phone: (617) 747-1601
See entry for JOHN HANCOCK FINANCIAL SERVICES.
Hancock Bond and Corporate Finance Group
P.O. Box 111, Boston, MA 02117-0111; phone: (617) 572-4558
See entry for JOHN HANCOCK FINANCIAL SERVICES.
John Hancock Guaranteed and Structured Financial Products
P.O. Box 111, Boston, MA 02117-0111; phone: (617) 572-4598
See entry for JOHN HANCOCK FINANCIAL SERVICES.
Hancock Real Estate Investment Group
P.O. Box 111, Boston, MA 02117-0111; phone: (617) 572-4522
See entry for JOHN HANCOCK FINANCIAL SERVICES.
Hancock Timber Resource Group
99 High St., Boston, MA 02110-2320; phone: (617) 747-1527
See entry for JOHN HANCOCK FINANCIAL SERVICES.
Hansberger Global Investors
515 E. Las Olas Blvd., Fort Lauderdale, FL 33301; phone: (954) 522-5150; fax: (954) 713-2525
($ millions)
Total assets managed worldwide 3,151
Total worldwide institutional assets 1,960
Total U.S. tax-exempt assets 1,960
Total U.S. institutional tax-exempt 1,960
Internal U.S. institutional tax-exempt 1,960
Asset mix:
Equity 100%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active 1,960
Active international equity strategies:
Emerging markets mandate 283
Other 1,677
Mutual fund assets:
Worldwide mutual fund assets 1,960
No. of portfolio managers 10
Size of research staff 13
Thomas Hansberger is chief investment officer; Wesley Freeman is client contact.
Hanseatic Group Inc.
5600 Wyoming N.E., Suite 220, Albuquerque, NM 87109; phone: (505) 828-2824; fax: (505) 828-2825;
www.hanseaticgroup.com
($ millions)
Total assets managed worldwide 250
Total worldwide institutional assets 247
Total U.S. tax-exempt assets 103
Total U.S. institutional tax-exempt 100
Internal U.S. institutional tax-exempt 100
Asset mix:
Equity 100%
Internal U.S. institutional tax-exempt assets in:
Hedge funds 10
U.S. equity, active 100
Active domestic equity strategies:
Growth
Broad market 100
No. of portfolio managers 3
Size of research staff 3
Katherine Burr is client contact.
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 645
Total worldwide institutional assets 633
Total U.S. tax-exempt assets 43
Total U.S. institutional tax-exempt 43
Internal U.S. institutional tax-exempt 43
Asset mix:
Fixed income 24%
Equity real estate 62%
Alternatives 14%
Internal U.S. institutional tax-exempt assets in:
High-yield bonds 10
Equity real estate, domestic 27
Venture capital 2
Private equity, domestic 4
No. of portfolio managers 22
Size of research staff 6
In its real estate strategy, Harbert Management Corp. assembles portfolios of economically diverse assets in the Southeastern United States, emphasizing current cash flow. Its private equity strategy involves investments in middle-market companies located principally in the Southern United States. Its venture capital investments are primarily in information technology and life science companies located in the Southeastern United States. The firm also offers an independent power fund that makes equity investments in independent power plants.
Michael Luce is chief investment officer; Charlie Miller is client contact.
Harbor Capital Advisors Inc.
1 Seagate, 13th Floor, Toledo, OH 43623; phone: (419) 247-1215; fax: (419) 247-3076; www.harborfund.com
($ millions)
Total assets managed worldwide 15,211
Total worldwide institutional assets 11,560
Total U.S. tax-exempt assets 5,000
Total U.S. institutional tax-exempt 5,000
Mutual fund assets:
Worldwide mutual fund assets 15,211
Defined contribution assets:
Total 2,516
Harbor Capital Advisors Inc. is a manager of managers that oversees $5 billion in U.S. institutional tax-exempt assets managed by external firms.
The parent is Owens-Illinois Inc. In March, Robeco Groep NV announced it would purchase Harbor; the deal is expected to close in June.
Linda Molenda is chief investment officer; James Haggerty is client contact.
Harbor Capital Management Co. Inc.
125 High St., Suite 2600, Boston, MA 02110; phone: (617) 478-7200; fax: (617) 439-9789
($ millions)
Total assets managed worldwide 10,843
Total worldwide institutional assets 9,416
Total U.S. tax-exempt assets 9,415
Total U.S. institutional tax-exempt 9,323
Internal U.S. institutional tax-exempt 9,323
Asset mix:
Equity 72%
Fixed income 23%
Cash 5%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 2,937
U.S. equity, active 4,936
Foreign equity, active 702
U.S. bond, active 748
Cash 466
Active domestic equity strategies:
Growth
Large cap 296
Value
Large cap 20
Core
Large cap 4,144
Midcap 69
Small cap 407
Active international equity strategies:
Developed markets mandate 702
Active domestic fixed-income strategies:
Core 748
No. of portfolio managers 14
Size of research staff 8
The parent is Fortis Investment Management.
Frederick G.P. Thorne is chief investment officer; Karen Smith 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
($ millions)
Total assets managed worldwide 10,870
Total worldwide institutional assets 10,870
Total U.S. tax-exempt assets 8,006
Total U.S. institutional tax-exempt 8,006
Internal U.S. institutional tax-exempt 1,380
Asset mix:
Alternatives 100%
Internal U.S. institutional tax-exempt assets in:
Venture capital 1,104
Private equity, domestic 138
Private equity, international 138
No. of portfolio managers 17
Size of research staff 18
HarbourVest Partners LLC invests in later-stage operating companies in growth industries, targeting companies with equity appreciation potential resulting from proprietary technologies, experienced management teams and unique market position.
In addition to the assets listed above, the firm oversees $6.626 billion in U.S. institutional tax-exempt assets managed by external firms.
D. Brooks Zug is chief investment officer and client contact.
Harding, Loevner Management LP
50 Division St., Suite 401, Somerville, NJ 08876; phone: (908) 218-7900; fax: (908) 218-1915; www.hardingloevner.com
($ millions)
Total assets managed worldwide 1,393
Total worldwide institutional assets 961
Total U.S. tax-exempt assets 961
Total U.S. institutional tax-exempt 961
Internal U.S. institutional tax-exempt 961
Asset mix:
Equity 95%
Fixed income 1%
Cash 4%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 31
U.S. equity, active 72
Foreign equity, active 841
U.S. bond, active 4
U.S. bond, enhanced index 2
High-yield bonds 2
Mortgage-backed securities 2
Cash 38
Active domestic equity strategies:
Growth
Large cap 56
Midcap 10
Small cap 6
Active international equity strategies:
Global mandate (international assets) 94
Emerging markets mandate 9
Developed markets mandate 738
Active domestic fixed-income strategies:
Stable value 4
Mutual fund assets:
Worldwide mutual fund assets 460
No. of portfolio managers 5
Size of research staff 3
Daniel Harding is chief investment officer; Robin Norton is client contact.
Harleysville Asset Management LP
355 Maple Ave., Harleysville, PA 19438; phone: (215) 256-5025; fax: (215) 256-5601; www.hamlp.com
($ millions)
Total assets managed worldwide 2,683
Total worldwide institutional assets 2,680
Total U.S. tax-exempt assets 124
Total U.S. institutional tax-exempt 124
Internal U.S. institutional tax-exempt 124
Asset mix:
Equity 70%
Fixed income 28%
Cash 2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 87
U.S. bond, active 35
Cash 2
Active domestic equity strategies:
Core
Large cap 87
Active domestic fixed-income strategies:
Core 35
No. of portfolio managers 3
Size of research staff 2
The parent is Harleysville Group Inc.
Mark Cummins is chief investment officer; John Slater Jr. is client contact.
Robert Harrell Inc.
8310 Capital of Texas Highway N., Suite 320, Austin, TX 78732; phone: (512) 795-9100; fax: (512) 795-0633;
www.harrell.com
($ millions)
Total assets managed worldwide 1,973
Total worldwide institutional assets 1,961
Total U.S. tax-exempt assets 1,961
Total U.S. institutional tax-exempt 1,961
Internal U.S. institutional tax-exempt 106
Asset mix:
Equity 30%
Cash 70%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 106
Overlay strategies:
Derivative strategies 106
Internally managed underlying assets 106
Size of research staff 2
In addition to the assets listed above, the firm oversees $1.85 billion in U.S. institutional tax-exempt assets managed by external firms.
Benjamin Napier is chief investment officer; Sandra K. Larsen is client contact.
Harris Associates LP
2 N. LaSalle St., Suite 500, Chicago, IL 60602-3790; phone: (312) 621-0600; fax: (312) 621-0233; www.harrisassoc.com
($ millions)
Total assets managed worldwide 12,061
Total worldwide institutional assets 2,571
Total U.S. tax-exempt assets 2,310
Total U.S. institutional tax-exempt 2,089
Internal U.S. institutional tax-exempt 2,089
Asset mix:
Equity 84%
Fixed income 9%
Cash 7%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 550
U.S. equity, active 1,755
U.S. bond, active 188
Cash 146
Active domestic equity strategies:
Value
Large cap 597
Midcap 1,053
Small cap 105
Mutual fund assets:
Worldwide mutual fund assets 6,144
Defined contribution assets:
Total 1,008
Internally managed 1,008
No. of portfolio managers 15
Size of research staff 13
The parent is CDC IXIS Asset Management North America LP.
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 6,130
Total worldwide institutional assets 2,095
Total U.S. tax-exempt assets 2,944
Total U.S. institutional tax-exempt 1,246
Internal U.S. institutional tax-exempt 1,246
Asset mix:
Equity 85%
Fixed income 10%
Cash 5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 1,059
U.S. bond, active 125
Cash 62
Active domestic equity strategies:
Growth
Large cap 1,059
Active domestic fixed-income strategies:
Other 125
Mutual fund assets:
Worldwide mutual fund assets 26
Defined contribution assets:
Total 139
Internally managed 139
No. of portfolio managers 10
Size of research staff 8
The parent is Value Asset Management Inc.
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 15,918
Total worldwide institutional assets 15,895
Total U.S. tax-exempt assets 5,372
Total U.S. institutional tax-exempt 5,372
Internal U.S. institutional tax-exempt 5,372
Asset mix:
Equity 43%
Fixed income 54%
Cash 3%
Internal U.S. institutional tax-exempt assets in:
Long-short (market neutral) 4
Asset allocation/balanced 2,057
U.S. equity, active 2,165
U.S. equity, passive 147
U.S. equity, enhanced index 16
U.S. bond, active 2,561
High-yield bonds 19
Mortgage-backed securities 293
Cash 171
Active domestic equity strategies:
Growth
Large cap 3
Value
Large cap 93
Small cap 8
Core
Large cap 1,107
Small cap 219
Passive domestic equity strategies:
Core
Large cap 147
Active domestic fixed-income strategies:
Core 2,796
Other 77
Mutual fund assets:
Worldwide mutual fund assets 7,997
Defined contribution assets:
Total 460
Internally managed 460
No. of portfolio managers 17
Size of research staff 19
The parent is Harris Bankcorp.
William Leszinske is chief investment officer; Joseph Caticchio is client contact.
Hartford Investment Management Co.
55 Farmington Ave., Hartford, CT 06105; phone: (860) 297-6900; fax: (860) 297-8878
($ millions)
Total assets managed worldwide 65,302
Total worldwide institutional assets 65,302
Total U.S. tax-exempt assets 29,628
Total U.S. institutional tax-exempt 29,628
Internal U.S. institutional tax-exempt 29,628
Asset mix:
Equity 15%
Fixed income 76%
Cash 9%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 773
U.S. equity, passive 3,586
U.S. bond, active 8,376
U.S. bond, passive 6,922
High-yield bonds 69
Mortgage-backed securities 7,022
Cash 2,831
Active domestic equity strategies:
Core
Large cap 654
Small cap 119
Passive domestic equity strategies:
Core
Large cap 3,398
Midcap 188
Active domestic fixed-income strategies:
Core 1,876
Other 6,500
Overlay strategies:
Fixed-income futures 49
Internally managed underlying assets 49
Mutual fund assets:
Worldwide mutual fund assets 5,419
No. of portfolio managers 15
Size of research staff 15
The parent is The HartHartford Financial Services Group Inc.
Andrew Kohnke is client contact.
J.M. Hartwell LP
515 Madison Ave., 31st Floor, New York, NY 10022; phone: (212) 308-3355; fax: (212) 980-0376; www.jmhartwell.com
($ millions)
Total assets managed worldwide 454
Total worldwide institutional assets 99
Total U.S. tax-exempt assets 181
Total U.S. institutional tax-exempt 84
Internal U.S. institutional tax-exempt 84
Asset mix:
Equity 70%
Fixed income 14%
Cash 14%
Other 2%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 72
U.S. equity, active 59
Cash 7
Active domestic equity strategies:
Growth
Small cap 22
Broad market 37
Defined contribution assets:
Total 30
Internally managed 30
No. of portfolio managers 3
Size of research staff 1
The parent is Affiliated Managers Group Inc.
William C. Miller IV is chief investment officer; E. Alexander Lazor is client contact.
Havell Capital Management LLC
1285 Avenue of the Americas, 18th Floor, New York, NY 10019; phone: (212) 484-3075; fax: (212) 484-3089; havellcapital.com
($ millions)
Total assets managed worldwide 190
Total worldwide institutional assets 110
Total U.S. tax-exempt assets 70
Total U.S. institutional tax-exempt 70
Internal U.S. institutional tax-exempt 70
Asset mix:
Fixed income 100%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active 20
Foreign bond, active 20
High-yield bonds 15
Mortgages 15
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; www.havencapital.com
($ millions)
Total assets managed worldwide 717
Total worldwide institutional assets 294
Total U.S. tax-exempt assets 294
Total U.S. institutional tax-exempt 294
Internal U.S. institutional tax-exempt 294
Asset mix:
Equity 43%
Fixed income 54%
Cash 3%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 123
REITs 3
U.S. bond, active 144
Mortgage-backed securities 14
Cash 10
Active domestic equity strategies:
Value
Large cap 62
Midcap 62
Active domestic fixed-income strategies:
Core 144
Mutual fund assets:
Worldwide mutual fund assets 85
No. of portfolio managers 4
Denis M. Turko is chief investment officer and client contact.
Hearthstone
16133 Ventura Blvd., Suite 1400, Encino, CA 91436; phone: (818) 385-0005; fax: (818) 385-0310; hearthstone.com
($ millions)
Total assets managed worldwide 1,683
Total worldwide institutional assets 1,683
Total U.S. tax-exempt assets 1,255
Total U.S. institutional tax-exempt 1,255
Internal U.S. institutional tax-exempt 1,255
Asset mix:
Equity real estate 100%
Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic 1,255
No. of portfolio managers 9
Size of research staff 7
Hearthstone invests exclusively in single-family homebuilding.
James Z. Pugash is chief investment officer and client contact.
Heartland Advisors Inc.
789 N. Water St., Milwaukee, WI 53221; phone: (888) 505-5180;
www.heartlandadvisors.com
($ millions)
Total assets managed worldwide 1,702
Total worldwide institutional assets 496
Total U.S. tax-exempt assets 452
Total U.S. institutional tax-exempt 437
Internal U.S. institutional tax-exempt 437
Asset mix:
Equity 74%
Fixed income 2%
Cash 24%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 15
U.S. equity, active 323
U.S. bond, active 11
Cash 103
Active domestic equity strategies:
Value
Midcap 2
Small cap 312
Broad market 9
Mutual fund assets:
Worldwide mutual fund assets 1,102
No. of portfolio managers 6
Size of research staff 6
The parent is Heartland Holdings Inc.
Jason Martone is 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 1,662
Total worldwide institutional assets 551
Total U.S. tax-exempt assets 1,012
Total U.S. institutional tax-exempt 551
Internal U.S. institutional tax-exempt 551
Asset mix:
Equity 65%
Fixed income 30%
Cash 5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 358
U.S. bond, active 165
Cash 28
Active domestic equity strategies:
Growth
Large cap 358
No. of portfolio managers 5
Size of research staff 2
Robert Markley is chief investment officer and client contact.
Heitman LLC
180 N. LaSalle St., Suite 3500, Chicago, IL 60601; phone: (312) 855-5700; fax: (312) 855-5803; www.heitman.com
($ millions)
Total assets managed worldwide 10,405
Total worldwide institutional assets 10,405
Total U.S. tax-exempt assets 10,048
Total U.S. institutional tax-exempt 10,048
Internal U.S. institutional tax-exempt 10,048
Asset mix:
Equity 6%
Fixed income 3%
Equity real estate 91%
Internal U.S. institutional tax-exempt assets in:
REITs 586
Mortgages 325
Equity real estate, domestic 8,783
Equity real estate, international 354
Mutual fund assets:
Worldwide mutual fund assets 99
No. of portfolio managers 25
Size of research staff 3
The parent is Old Mutual PLC.
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 1,500
Total worldwide institutional assets 900
Total U.S. tax-exempt assets 900
Total U.S. institutional tax-exempt 900
Internal U.S. institutional tax-exempt 900
Asset mix:
Equity 70%
Cash 30%
Internal U.S. institutional tax-exempt assets in:
Hedge funds 345
U.S. equity, active 630
Cash 270
Active domestic equity strategies:
Growth
Large cap 630
No. of portfolio managers 4
Size of research staff 4
Gerald R. Jordan Jr. is chief investment officer; David B. Crosby is client contact.
Henderson Global 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 160,632
Total worldwide institutional assets 110,033
Total U.S. tax-exempt assets 2,172
Total U.S. institutional tax-exempt 2,172
Internal U.S. institutional tax-exempt 2,172
Asset mix:
Equity 49%
Equity real estate 51%
Internal U.S. institutional tax-exempt assets in:
Foreign equity, active 1,070
Equity real estate, domestic 1,102
Active international equity strategies:
Developed markets mandate 1,070
In its real estate strategy, Henderson Global Investors searches for global investment opportunities in undervalued markets and properties where conditions are improving.
The parent is AMP Ltd.
Charles Wurtzebach is chief investment officer; Bruce Bockelman is client contact.
Heritage Investors Management Corp.
7101 Wisconsin Ave., Suite 1112, Bethesda, MD 20814; phone: (301) 951-0440; fax: (301) 907-3943
($ millions)
Total assets managed worldwide 720
Total worldwide institutional assets 120
Total U.S. tax-exempt assets 255
Total U.S. institutional tax-exempt 120
Internal U.S. institutional tax-exempt 120
Asset mix:
Equity 41%
Fixed income 47%
Cash 12%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 120
U.S. equity, active 49
U.S. bond, active 56
Cash 15
Active domestic equity strategies:
Value
Large cap 39
Midcap 2
Active domestic fixed-income strategies:
Stable value 41
No. of portfolio managers 4
Michael S. Cornfeld is chief investment officer.
Hibernia National Bank
P.O. Box 61540, 7th Floor, New Orleans, LA 70161; phone: (800) 572-4372; fax: (504) 533-5947; www.hibernia.com
($ millions)
Total assets managed worldwide 3,611
Total worldwide institutional assets 3,434
Total U.S. tax-exempt assets 743
Total U.S. institutional tax-exempt 743
Internal U.S. institutional tax-exempt 743
Asset mix:
Equity 48%
Fixed income 46%
Cash 6%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 354
U.S. bond, active 343
Cash 46
Active domestic fixed-income strategies:
Sector rotation 343
Mutual fund assets:
Worldwide mutual fund assets 1,050
No. of portfolio managers 5
Size of research staff 1
The parent is Hibernia Corp.
James McElroy is chief investment officer; Pierre Lapeyre is client contact.
Hickory Group Ltd.
Ohio Savings Plaza, 1801 E. Ninth St., Suite 1500, Cleveland, OH 44114-3103; phone: (216) 781-5600; fax: (216) 781-5630; www.hickorygroup.com
($ millions)
Total assets managed worldwide 383
Total worldwide institutional assets 57
Total U.S. tax-exempt assets 115
Total U.S. institutional tax-exempt 48
Internal U.S. institutional tax-exempt 48
Asset mix:
Equity 71%
Fixed income 23%
Cash 6%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 48
U.S. equity, active 34
U.S. bond, active 11
Cash 3
Active domestic equity strategies:
Value
Large cap 41
Midcap 7
Active domestic fixed-income strategies:
Stable value 6
Core 5
Defined contribution assets:
Total 16
Internally managed 16
No. of portfolio managers 6
Size of research staff 1
Paul Abbey is chief investment officer and client contact.
HighMark Capital Management Inc.
445 S. Figueroa St., 3rd Floor, Los Angeles, CA 90071; phone: (213) 236-7167; fax: (213) 236-6865; www.highmarkcapmgmt.com
($ millions)
Total assets managed worldwide 20,658
Total worldwide institutional assets 15,499
Total U.S. tax-exempt assets 5,094
Total U.S. institutional tax-exempt 4,988
Internal U.S. institutional tax-exempt 4,988
Asset mix:
Equity 45%
Fixed income 27%
Cash 28%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 1,311
U.S. equity, active 1,662
U.S. bond, active 993
Cash 1,396
Active domestic equity strategies:
Value
Large cap 595
Active domestic fixed-income strategies:
Stable value 365
Other 628
Mutual fund assets:
Worldwide mutual fund assets 9,897
Defined contribution assets:
Total 4,988
Internally managed 4,988
No. of portfolio managers 36
Size of research staff 6
The parent is Union BanCal Corp.
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; www.hlmmanagement.com
($ millions)
Total assets managed worldwide 882
Total worldwide institutional assets 882
Total U.S. tax-exempt assets 672
Total U.S. institutional tax-exempt 672
Internal U.S. institutional tax-exempt 672
Asset mix:
Equity 100%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 672
Active domestic equity strategies:
Growth
Small cap 672
Mutual fund assets:
Worldwide mutual fund assets 56
No. of portfolio managers 6
Size of research staff 5
Ann Hutchins is chief investment officer; Vincent J. Fabiani is client contact.
Hoisington Investment Management Co.
1250 S. Capital of Texas Highway, Suite 3-600, Austin, TX 78746; phone: (512) 327-7200; fax: (512) 327-8646;
www.hoisingtonmgt.com
($ millions)
Total assets managed worldwide 4,221
Total worldwide institutional assets 4,221
Total U.S. tax-exempt assets 4,056
Total U.S. institutional tax-exempt 4,056
Internal U.S. institutional tax-exempt 4,056
Asset mix:
Fixed income 100%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active 4,056
Active domestic fixed-income strategies:
Market timing/active duration1 4,056
Mutual fund assets:
Worldwide mutual fund assets 63
Defined contribution assets:
Total 42
Internally managed 42
No. of portfolio managers 3
Size of research staff 2
Van R. Hoisington is chief investment officer; Janice K. Teague is client contact.
Holland Capital Management LP
35 W. Wacker Drive, Suite 3260, Chicago, IL 60601; phone: (312) 553-1000; fax: (312) 553-1031
($ millions)
Total assets managed worldwide 776
Total worldwide institutional assets 751
Total U.S. tax-exempt assets 724
Total U.S. institutional tax-exempt 719
Internal U.S. institutional tax-exempt 719
Asset mix:
Equity 56%
Fixed income 44%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 98
U.S. equity, active 403
U.S. bond, active 316
Active domestic equity strategies:
Growth
Large cap 403
Active domestic fixed-income strategies:
Other 316
Mutual fund assets:
Worldwide mutual fund assets 11
Defined contribution assets:
Total 81
Internally managed 81
No. of portfolio managers 4
Size of research staff 4
Louis A. Holland is chief investment officer; Valerie King 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 477
Total worldwide institutional assets 310
Total U.S. tax-exempt assets 349
Total U.S. institutional tax-exempt 310
Internal U.S. institutional tax-exempt 310
Asset mix:
Equity 95%
Fixed income 5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 295
U.S. bond, active 15
Active domestic equity strategies:
Growth
Large cap 287
Core
Large cap 8
Active domestic fixed-income strategies:
Market timing/active duration 15
Defined contribution assets:
Total 151
Internally managed 151
No. of portfolio managers 3
Size of research staff 4
Kristin Yates is chief investment officer; Susan Carr-Templeton at Templeton Associates, (630) 986-5130, is client contact.
Horsley Bridge Partners Inc.
505 Montgomery St., San Francisco, CA 94111; phone: (415) 986-7733; fax: (415) 986-7744
($ millions)
Total assets managed worldwide 6,694
Total worldwide institutional assets 6,621
Total U.S. tax-exempt assets 4,651
Total U.S. institutional tax-exempt 4,651
Internal U.S. institutional tax-exempt 4,651
Asset mix:
Equity 1%
Cash 1%
Venture capital 98%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 35
Venture capital 4,553
Cash 63
Phillip Horsley is chief investment officer; Gary Bridge is client contact.
Howland & Associates Inc.
16025 N. Florida Ave., Lutz, FL 33549; phone: (813) 908-3871; fax: (813) 908-3881; www.InvestHowland.com
($ millions)
Total assets managed worldwide 43
Total worldwide institutional assets 5
Total U.S. tax-exempt assets 20
Total U.S. institutional tax-exempt 5
Internal U.S. institutional tax-exempt 5
Asset mix:
Equity 87.8%
Fixed income 8.2%
Cash 4.0%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 4
U.S. bond, active 1
Active domestic equity strategies:
Growth
Large cap 1
Midcap 1
Value
Large cap 1
Midcap 1
Active domestic fixed-income strategies:
Stable value 1
No. of portfolio managers 2
Dee S. Howland is chief investment officer.
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; www.saxonfunds.com
(US$ millions)
Total assets managed worldwide 387
Total worldwide institutional assets 289
Total tax-exempt assets 122
Total institutional tax-exempt 122
Internal institutional tax-exempt 122
Asset mix:
Canadian equity 100%
Internal institutional tax-exempt assets in:
Domestic equity, active 122
Active domestic equity strategies:
Value
Small cap 122
Mutual fund assets:
Worldwide mutual fund assets 222
No. of portfolio managers 2
Size of research staff 1
Robert Tattersall is chief investment officer.
HSBC Asset Management (Americas) Inc.
452 Fifth Ave., 18th Floor, New York, NY 10018-2786; phone: (212) 525-2300; fax: (212) 525-2322; www.us.hsbc.com
($ millions)
Total assets managed worldwide 59,874
Total worldwide institutional assets 50,693
Total U.S. tax-exempt assets 38,805
Total U.S. institutional tax-exempt 1,489
Internal U.S. institutional tax-exempt 1,489
Asset mix:
Equity 59%
Fixed income 37%
Cash 4%
Internal U.S. institutional tax-exempt assets in:
Asset allocation/balanced 1,489
U.S. equity, active 74
Foreign equity, active 804
U.S. bond, active 339
Foreign bond, active 211
Cash 61
Active domestic equity strategies:
Growth
Large cap 1
Core
Large cap 73
Active international equity strategies:
Global mandate (international assets) 664
Developed markets mandate 13
Regional mandate 127
Active domestic fixed-income strategies:
Sector rotation 102
Stable value 17
Market timing/active duration 220
Mutual fund assets:
Worldwide mutual fund assets 535
Defined contribution assets:
Total 191
Internally managed 191
No. of portfolio managers 88
Size of research staff 24
The parent is HSBC Holdings PLC.
Bryce McDonnell is chief investment officer; David Twiss is client contact.
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 333
Total worldwide institutional assets 324
Total U.S. tax-exempt assets 325
Total U.S. institutional tax-exempt 324
Internal U.S. institutional tax-exempt 324
Asset mix:
Equity 67%
Fixed income 31%
Cash 2%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 163
Foreign equity, active 55
U.S. bond, active 101
Cash 5
Active domestic equity strategies:
Growth
Large cap 90
Value
Large cap 73
Active international equity strategies:
Global mandate (international assets) 41
Developed markets mandate 14
Active domestic fixed-income strategies:
Market timing/active duration 101
No. of portfolio managers 1
Size of research staff 1
John Hsu is chief investment officer; Priscilla Hogan is client contact.
Hughes Capital Management Inc.
315 Cameron St., Alexandria, VA 22314; phone: (703) 684-7222; fax: (703) 684-7799
($ millions)
Total assets managed worldwide 845
Total worldwide institutional assets 845
Total U.S. tax-exempt assets 845
Total U.S. institutional tax-exempt 845
Internal U.S. institutional tax-exempt 845
Asset mix:
Fixed income 99%
Cash 1%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active 753
U.S. bond, passive 85
Cash 7
Active domestic fixed-income strategies:
Core 568
No. of portfolio managers 2
Frankie Hughes is chief investment officer; Russell Brown 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 1,039
Total worldwide institutional assets 912
Total U.S. tax-exempt assets 352
Total U.S. institutional tax-exempt 320
Internal U.S. institutional tax-exempt 320
Asset mix:
Equity 77%
Fixed income 18%
Cash 5%
Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 246
U.S. bond, active 58
Cash 16
Active domestic equity strategies:
Core
Midcap 221
Broad market 25
Active domestic fixed-income strategies:
Core 58
Mutual fund assets:
Worldwide mutual fund assets 596
No. of portfolio managers 5
The parent is Wayne Hummer Investments LLC.
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) 398-8616; www.husic.com
($ millions)
Total assets managed worldwide 2,559
Total worldwide institutional assets 2,117
Total U.S. tax-exempt assets 2,042
Total U.S. institutional tax-exempt 1,857
Internal U.S. institutional tax-exempt 1,857
Asset mix:
Equity 100%
Internal U.S. institutional tax-exempt assets in:
Hedge funds 25
Long-short (market neutral) 2
U.S. equity, active 1,857
Active domestic equity strategies:
Growth
Large cap 20
Midcap 66
Small cap 437
Broad market 1,334
Mutual fund assets:
Worldwide mutual fund assets 326
Defined contribution assets:
Total 507
Internally managed 507
No. of portfolio managers 5
Size of research staff 2
Frank Husic is chief investment officer; Neal Howe is client contact.
Hutchens Investment Management Inc.
175 Main St., P.O. Box 1549, New London, NH 03257; phone: (603) 526-4104; fax: (603) 526-6497; www.hutchco.net
($ millions)
Total assets managed worldwide 449
Total worldwide institutional assets 341
Total U.S. tax-exempt assets 364
Total U.S. institutional tax-exempt 339
Internal U.S. institutional tax-exempt 339
Asset mix:
Equity 94%
Other 6%
Size of research staff 4
William Hutchens Jr. is chief investment officer; Michael O'Neil 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; www.hyperioncapital. com
($ millions)
Total assets managed worldwide 4,885
Total worldwide institutional assets 4,167
Total U.S. tax-exempt assets 761
Total U.S. institutional tax-exempt 761
Internal U.S. institutional tax-exempt 761
Asset mix:
Fixed income 100%
Internal U.S. institutional tax-exempt assets in:
U.S. bond, active 51
Mortgage-backed securities 710
Active domestic fixed-income strategies:
Core 51
Mutual fund assets:
Worldwide mutual fund assets 717
Defined contribution assets:
Total 46
Internally managed 46
No. of portfolio managers 7
Size of research staff 10
The parent is Hyperion Partners LP.
Clifford Lai is chief investment officer; John Feeney Jr. is client contact.
