F&C MANAGEMENT LTD.
30 Rowes Wharf, Suite 540, Boston, MA 02110; phone: (617) 426-9050; fax: (617) 426-3433; www.fandc.co.uk
($ millions)
Total assets managed worldwide 35,034
Total worldwide institutional assets 15,013
Total U.S. tax-exempt assets 1,134
Total U.S. institutional tax-exempt 1,134
Internal U.S. institutional tax-exempt 1,134
* Asset mix:
Equity 100%
* Internal U.S. institutional tax-exempt assets in:
Foreign equity, active 1,134
* Active international strategies:
Emerging markets equity 1,134
No. of portfolio managers 25
The parent is Eureko BV.
Arnab Banerji is chief investment officer; William J. Ducas is client contact.
FEDERATED INVESTORS INC.
1001 Liberty Ave., Pittsburgh, PA 15222-3779; phone: (800) 245-5000; fax: (412) 288-2925; www.federatedinvestors.com
($ millions)
Total assets managed worldwide 179,701
Total worldwide institutional assets 167,701
Total U.S. tax-exempt assets 18,902
Total U.S. institutional tax-exempt 12,657
Assigned to external managers 633
Internal U.S. institutional tax-exempt 12,024
* Asset mix:
Equity 40%
Fixed income 32%
Cash 28%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 4,213
Foreign equity, active 345
U.S. bond, active 3,543
Foreign bond, active 40
High-yield bonds 555
Cash 3,328
Asset allocation/balanced 271
* Active domestic equity strategies:
Growth
Large cap 433
Midcap 911
Small cap 68
Value
Large cap 1,680
Midcap 98
Core
Large cap 954
Small cap 69
* Domestic fixed-income strategies:
Stable value 779
Core 2,353
Worldwide mutual fund assets 170,866
* Defined contribution assets:
Total 12,657
Internally managed 12,024
No. of portfolio managers 56
Size of research staff 49
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
($ millions)
Total assets managed worldwide 1,993
Total worldwide institutional assets 1,003
Total U.S. tax-exempt assets 1,147
Total U.S. institutional tax-exempt 988
Internal U.S. institutional tax-exempt 988
* Asset mix:
Equity 45%
Fixed income 55%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 466
U.S. bond, active 522
Asset allocation/balanced 490
* Active domestic equity strategies:
Core
Large cap 466
* Domestic fixed-income strategies:
Market timing/active duration 522
* Defined contribution assets:
Total 141
Internally managed 141
No. of portfolio managers 8
Size of research staff 2
George Hosfield is chief investment officer; Don Rainer is client contact.
FIDELITY INVESTMENTS
82 Devonshire St., Boston, MA 02109; phone: (800) 343-3548;
www.fidelity.com
($ millions)
Total assets managed worldwide 1,007,898
Total worldwide institutional assets 639,524
Total U.S. tax-exempt assets 481,166
Total U.S. institutional tax-exempt 367,519
Assigned to external managers 14,681
Internal U.S. institutional tax-exempt 352,838
* Asset mix:
Equity 73%
Fixed income 14%
Cash 13%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 222,109
U.S. equity, enhanced index 15,751
Foreign equity, active 11,317
Foreign equity, enhanced index 1,784
REITs 833
U.S. bond, active 35,278
U.S. bond, passive 2,335
U.S. bond, enhanced index 5,462
Foreign bond, active 876
Foreign bond, index 959
High-yield bonds 2,057
Mortgages 3,198
Mortgage-backed securities 769
Convertibles 233
Equity real estate, domestic 1,603
Cash 48,274
Market neutral (equity) 85
Asset allocation/balanced 7,257
* Active domestic equity strategies:
Growth
Large cap 65,778
Midcap 3,636
Small cap 3,780
Value
Large cap 34,857
Midcap 1,739
Small cap 5,759
Core
Large cap 81,499
Midcap 280
Small cap 1,422
* Active international strategies:
Emerging markets equity 72
Emerging markets debt 876
* Domestic fixed-income strategies:
Core 2,483
Other 31,132
Worldwide mutual fund assets 798,627
* Defined contribution assets:
Total 332,433
Internally managed 315,479
No. of portfolio managers 144
Size of research staff 290
The parent is FMR Corp.
Assets of the following are included above:
* Fidelity Institutional Retirement Services Co. manages $229.2 billion for corporate defined contribution plans and administers $412.9 billion in defined contribution assets. Joe Dattilo is client contact at (508) 787-6889.
* Fidelity Investments Tax-Exempt Services Co. manages $75.7 billion for not-for-profit organizations and the public sector. Steve Keating is the client contact at (508) 787-7297.
* Fidelity Management Trust Co. manages $68.3 billion in assets for corporate and public retirement funds, endowments, foundations and other major institutions worldwide. Richard M.A. Horlick is client contact at (617) 392-8688.
* Fidelity Investments Institutional Services Co. Inc. distributes Fidelity products, programs and services and is responsible for nearly $190 billion in assets under management. Donald C. Holborn is client contact at (617) 563-1764.
FIDUCIARY ASSET MANAGEMENT
8112 Maryland Ave., Suite 200, St. Louis, MO 63105; phone: (314) 863-4488; fax: (314) 726-4706; www.fiduciaryasset.com
($ millions)
Total assets managed worldwide 5,616
Total worldwide institutional assets 5,403
Total U.S. tax-exempt assets 5,406
Total U.S. institutional tax-exempt 5,375
Internal U.S. institutional tax-exempt 5,375
* Asset mix:
Equity 44%
Fixed income 56%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 430
U.S. equity, passive 59
U.S. equity, enhanced index 1,886
U.S. bond, active 3,000
Hedge funds 180
Market neutral (equity) 21
Asset allocation/balanced 181
* Active domestic equity strategies:
Core
Large cap 323
Midcap 53
Small cap 54
* Passive domestic equity strategies:
Core
Large cap 59
* Domestic fixed-income strategies:
Core 3,000
* Defined contribution assets:
Total 879
Internally managed 879
No. of portfolio managers 5
Size of research staff 6
Charles Walbrandt is chief investment officer; Becky Roesch is client contact.
FIDUCIARY CAPITAL MANAGEMENT INC.
51 Sherman Hill Road, P.O. Box 449, Woodbury, CT 06798; phone: (203) 266-0440; fax: (203) 266-4745; www.fcmstablevalue.com
($ millions)
Total assets managed worldwide 1,100
Total worldwide institutional assets 1,100
Total U.S. tax-exempt assets 1,100
Total U.S. institutional tax-exempt 1,100
Assigned to external managers 150
Internal U.S. institutional tax-exempt 950
* Asset mix:
Fixed income 24%
Cash 2%
GICs 74%
* Internal U.S. institutional tax-exempt assets in:
U.S. bond, passive 100
Mortgage-backed securities 40
Private placements, domestic 772
Cash 19
* Domestic fixed-income strategies:
Stable value 950
* Defined contribution assets:
Total 1,100
Internally managed 950
No. of portfolio managers 3
Size of research staff 2
The parent is Ohio National Financial Services Inc.
Peter E. Bowles is chief investment officer and client contact.
FIDUCIARY MANAGEMENT ASSOCIATES INC.
55 W. Monroe St., Suite 2550, Chicago, IL 60603; phone: (312) 930-6850; fax: (312) 641-2511
($ millions)
Total assets managed worldwide 1,280
Total worldwide institutional assets 1,168
Total U.S. tax-exempt assets 1,168
Total U.S. institutional tax-exempt 1,168
Internal U.S. institutional tax-exempt 1,168
* Asset mix:
Equity 69%
Fixed income 28%
Cash 3%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 806
U.S. bond, active 362
* Active domestic equity strategies:
Value
Large cap 497
Midcap 309
Worldwide mutual fund assets 158
* Defined contribution assets:
Total 170
Internally managed 170
The parent is Old Mutual PLC.
Kathryn Vorisek is chief investment officer; Robert Carr Jr. is client contact.
FIDUCIARY MANAGEMENT INC. OF MILWAUKEE
225 E. Mason St., Milwaukee, WI 53202; phone: (414) 226-4545; fax: (414) 226-4522; www.fiduciarymgt.com
($ millions)
Total assets managed worldwide 1,476
Total worldwide institutional assets 965
Total U.S. tax-exempt assets 1,002
Total U.S. institutional tax-exempt 965
Internal U.S. institutional tax-exempt 965
* Asset mix:
Equity 81%
Fixed income 17%
Cash 2%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 782
U.S. bond, active 164
Cash 19
* Domestic fixed-income strategies:
Core 164
Worldwide mutual fund assets 70
No. of portfolio managers 4
Size of research staff 3
Ted Kellner is chief investment officer; Gary Wagner is client contact.
Fiduciary Trust Co. International
600 Fifth Ave., New York, NY; phone: (800) 368-3677; fax: (954) 527-2137;
www.ftiinstitutional.com
See entry for FRANKLIN TEMPLETON INVESTMENTS.
FIFTH THIRD BANCORP
38 Fountain Square Plaza, Cincinnati, OH 45263; phone: (513) 534-5926; fax: (513) 579-4312; www.53.com
($ millions)
Total assets managed worldwide 34,131
Total worldwide institutional assets 13,943
Total U.S. tax-exempt assets 13,943
Total U.S. institutional tax-exempt 13,943
Internal U.S. institutional tax-exempt 13,943
* Asset mix:
Equity 64%
Fixed income 25%
Equity real estate 1%
Cash 10%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 8,917
Foreign equity, active 7
U.S. bond, active 3,486
Equity real estate, domestic 139
Cash 1,394
No. of portfolio managers 91
Size of research staff 11
James Berghausen is chief investment officer; Dennis Mullins is client contact.
The assets of Heartland Capital Management Inc. are included in the data above.
FINANCIAL MANAGEMENT ADVISORS INC.
1900 Avenue of the Stars, Suite 900, Los Angeles, CA 90067; phone: (310) 229-2940; fax: (310) 229-2954; www.fma-inc.com
($ millions)
Total assets managed worldwide 1,931
Total worldwide institutional assets 1,754
Total U.S. tax-exempt assets 1,715
Total U.S. institutional tax-exempt 1,712
Internal U.S. institutional tax-exempt 1,712
* Asset mix:
Equity 6%
Fixed income 93%
Cash 1%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 41
U.S. bond, active 379
High-yield bonds 1,250
Mortgage-backed securities 13
Cash 9
Hedge funds 8
Asset allocation/balanced 13
* Active domestic equity strategies:
Growth
Large cap 41
* Domestic fixed-income strategies:
Sector rotation 1,274
Core 379
Other 5
Worldwide mutual fund assets 40
* Defined contribution assets:
Total 12
Internally managed 12
No. of portfolio managers 6
Size of research staff 9
Kenneth Malamed is chief investment officer; David Hennessy is client contact.
FIRST ALBANY ASSET MANAGEMENT
30 S. Pearl St., 12th Floor, Albany, NY 12207; phone: (518) 447-8500; fax: (518) 447-8058; www.fac.com
($ millions)
Total assets managed worldwide 626
Total worldwide institutional assets 506
Total U.S. tax-exempt assets 132
Total U.S. institutional tax-exempt 118
Internal U.S. institutional tax-exempt 118
* Asset mix:
Equity 84%
Cash 16%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 99
Cash 19
* Active domestic equity strategies:
Core
Large cap 89
Midcap 10
* Defined contribution assets:
Total 24
Internally managed 24
No. of portfolio managers 4
Size of research staff 2
The parent is First Albany Corp. Inc.
Hugh Johnson is chief investment officer; Alana Jennings is client contact.
FIRST AMERICAN CAPITAL MANAGEMENT INC.
567 San Nicholas Drive, Suite 101, Newport Beach, CA 92660; phone: (949) 719-4546; fax: (949) 719-4544; www.facm.com
($ millions)
Total assets managed worldwide 1,788
Total worldwide institutional assets 1,018
Total U.S. tax-exempt assets 407
Total U.S. institutional tax-exempt 216
Assigned to external managers 15
Internal U.S. institutional tax-exempt 201
* Asset mix:
Equity 51%
Fixed income 49%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 104
U.S. bond, active 98
Asset allocation/balanced 201
* Active domestic equity strategies:
Core
Large cap 104
* Domestic fixed-income strategies:
Core 98
* Defined contribution assets:
Total 183
Internally managed 168
No. of portfolio managers 7
Size of research staff 3
The parent is First American Corp.
Robert Venable is chief investment officer; John Hauswirth is client contact.
FIRST INVESTMENT GROUP
1 First National Center, Omaha, NE 68102; phone: (402) 341-0500; fax: (402) 633-3340
($ millions)
Total assets managed worldwide 2,446
Total worldwide institutional assets 1,405
Total U.S. tax-exempt assets 1,405
Total U.S. institutional tax-exempt 1,405
Internal U.S. institutional tax-exempt 1,405
* Asset mix:
Equity 21%
Fixed income 72%
Cash 7%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 293
U.S. bond, active 1,013
Cash 99
Asset allocation/balanced 65
* Active domestic equity strategies:
Value
Large cap 207
Small cap 40
* Domestic fixed-income strategies:
Core 1,013
Worldwide mutual fund assets 438
* Defined contribution assets:
Total 10
Internally managed 10
No. of portfolio managers 7
Size of research staff 3
The parent is First National Bank of Omaha.
Steve Frantz is chief investment officer and client contact.
FIRST MADISON ADVISORS
1 S. Pinckney, Suite 300, Madison, WI 53703; phone: (608) 283-2302; fax: (608) 283-2348
($ millions)
Total assets managed worldwide 132
Total worldwide institutional assets 132
Total U.S. tax-exempt assets 132
Total U.S. institutional tax-exempt 132
Internal U.S. institutional tax-exempt 132
* Asset mix:
Equity 100%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, enhanced index 132
No. of portfolio managers 2
The parent is Salomon Smith Barney Inc.
Bruce Westervelt is chief investment officer.
FIRST MERCHANTS BANK NA
200 E. Jackson St., P.O. Box 792, Muncie, IN 47308-0792; phone: (765) 747-1362; fax: (765) 747-1533
($ millions)
Total assets managed worldwide 1,221
Total worldwide institutional assets 691
Total U.S. tax-exempt assets 779
Total U.S. institutional tax-exempt 691
Assigned to external managers 79
Internal U.S. institutional tax-exempt 612
* Asset mix:
Equity 59%
Fixed income 39%
Cash 2%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 341
U.S. equity, passive 19
U.S. bond, active 221
Mortgage-backed securities 11
Cash 12
* Active domestic equity strategies:
Growth
Large cap 202
Midcap 20
Small cap 3
Value
Large cap 19
Core
Large cap 97
* Passive domestic equity strategies:
Core
Large cap 19
* Domestic fixed-income strategies:
Stable value 4
Core 201
Other 16
* Defined contribution assets:
Total 405
Internally managed 326
No. of portfolio managers 3
The parent is First Merchants Corp.
Mark Collison is chief investment officer; Karen Akin is client contact.
FIRST MIDWEST BANK - TRUST DIVISION
2801 W. Jefferson St., Joliet, IL 60435; phone: (815) 773-2604; fax: (815) 773-2696; www.firstmidwest.com
($ millions)
Total assets managed worldwide 1,097
Total worldwide institutional assets 460
Total U.S. tax-exempt assets 523
Total U.S. institutional tax-exempt 445
Internal U.S. institutional tax-exempt 445
* Asset mix:
Equity 32%
Fixed income 62%
Cash 6%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 142
U.S. bond, active 276
Cash 27
* Active domestic equity strategies:
Core
Large cap 142
* Active domestic fixed-income strategies:
Market timing/active duration 276
* Defined contribution assets:
Total 264
Internally managed 264
No. of portfolio managers 4
The parent is First Midwest Bancorp.
Joy Gruber is chief investment officer; Dan L. Stevenson 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
($ millions)
Total assets managed worldwide 3,519
Total worldwide institutional assets 1,119
Total U.S. tax-exempt assets 1,119
Total U.S. institutional tax-exempt 1,119
Internal U.S. institutional tax-exempt 1,119
* Asset mix:
Equity 96%
Fixed income 4%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 1,072
U.S. bond, active 47
* Active domestic equity strategies:
Value
Small cap 1,072
Worldwide mutual fund assets 2,101
No. of portfolio managers 7
The parent is Old Mutual PLC.
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
($ millions)
Total assets managed worldwide 14,736
Total worldwide institutional assets 14,652
Total U.S. tax-exempt assets 4,935
Total U.S. institutional tax-exempt 4,935
Internal U.S. institutional tax-exempt 4,935
* Asset mix:
Equity 100%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 2,393
U.S. equity, passive 776
Foreign equity, active 1,585
Foreign equity, index 181
Long-short 1,799
Market neutral (equity) 473
Asset allocation/balanced 2,661
* Active domestic equity strategies:
Value
Small cap 108
Core
Large cap 851
Midcap 101
Small cap 409
* Overlay strategies:
Derivative strategies 2,930
Currency 2,015
Options 1,165
Internally managed underlying assets 2,023
* Defined contribution assets:
Total 120
Internally managed 120
No. of portfolio managers 3
Size of research staff 15
The parent is Affiliated Managers Group Inc.
Robert Arnott is chief investment officer; Rick Roberts is client contact.
First Reserve Corp.
411 W. Putnam Ave., Suite 109, Greenwich, CT 06830; phone: (203) 661-6601; fax: (203) 661-6729; www.frcorp.com
($ millions)
Total assets managed worldwide 2,500
Total worldwide institutional assets 2,500
Total U.S. tax-exempt assets 2,250
Total U.S. institutional tax-exempt 2,250
Internal U.S. institutional tax-exempt 2,250
* Asset mix:
Private equity 100%
* Internal U.S. institutional tax-exempt assets in:
Private equity, domestic 2,125
Private equity, international 125
William E. Macaulay is chief investment officer; Jennifer C. Zarrilli 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
($ millions)
Total assets managed worldwide 32,729
Total worldwide institutional assets 32,729
Total U.S. tax-exempt assets 11,174
Total U.S. institutional tax-exempt 11,174
Internal U.S. institutional tax-exempt 11,174
* Asset mix:
Fixed income 100%
* Internal U.S. institutional tax-exempt assets in:
U.S. bond, active 6,797
Foreign bond, active 4,033
Mortgage-backed securities 344
* Domestic fixed-income strategies:
Core 6,797
Worldwide mutual fund assets 5,754
* Defined contribution assets:
Total 238
Internally managed 238
No. of portfolio managers 19
Size of research staff 13
The parent is Charter Atlantic Corp.
Liaquat Ahamed is chief investment officer; Stephen Constantine is client contact.
Fisher Investments Inc.
13100 Skyline Blvd., Woodside, CA 94062; phone: (800) 851-8845; fax: (650) 851-3514; www.fi.com
($ millions)
Total assets managed worldwide 10,457
Total worldwide institutional assets 1,984
Total U.S. tax-exempt assets 4,985
Total U.S. institutional tax-exempt 1,548
Internal U.S. institutional tax-exempt 1,548
* Asset mix:
Equity 94%
Cash 6%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 1,403
Foreign equity, active 145
* Active domestic equity strategies:
Value
Midcap 56
Small-cap 1,274
Core
Broad market 73
Worldwide mutual fund assets 165
* Defined contribution assets:
Total 27
Internally managed 27
No. of portfolio managers 3
Size of research staff 6
Kenneth Fisher is chief investment officer; Justin Arbuckle is client contact.
FLEET INVESTMENT ADVISORS INC.
100 Federal St., Boston, MA 02110; phone: (617) 341-2461; fax: (617) 341-2470; www.fleet.com
($ millions)
Total assets managed worldwide 98,290
Total worldwide institutional assets 28,509
Total U.S. tax-exempt assets 24,782
Total U.S. institutional tax-exempt 21,027
Internal U.S. institutional tax-exempt 21,027
* Asset mix:
Equity 45%
Fixed income 55%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 9,868
U.S. bond, active 11,159
* Active domestic equity strategies:
Growth
Large cap 396
Small cap 207
Value
Large cap 1,088
Midcap 58
Small cap 709
Core
Broad market 7,409
* Domestic fixed-income strategies:
Sector rotation 2,877
Stable value 1,714
Core 6,568
Worldwide mutual fund assets 25,621
No. of portfolio managers 207
Size of research staff 24
The parent is FleetBoston Financial Corp.
Keith Banks is chief investment officer; Paul Escobar is client contact.
FLIPPIN, BRUCE & PORTER INC.
800 Main St., 2nd Floor, Lynchburg, VA 24504; phone: (434) 845-4900; fax: (434) 846-3846
($ millions)
Total assets managed worldwide 2,750
Total worldwide institutional assets 1,805
Total U.S. tax-exempt assets 1,812
Total U.S. institutional tax-exempt 1,782
Internal U.S. institutional tax-exempt 1,782
* Asset mix:
Equity 88%
Fixed income 7%
Cash 5%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 1,586
U.S. bond, active 107
Cash 89
Asset allocation/balanced 350
* Active domestic equity strategies:
Value
Large cap 1,586
* Domestic fixed-income strategies:
Other 107
Worldwide mutual fund assets 114
* Defined contribution assets:
Total 153
Internally managed 153
No. of portfolio managers 8
Size of research staff 4
John M. Flippin is chief investment officer; John H. Hanna IV is client contact.
FOREST INVESTMENT ASSOCIATES INC.
15 Piedmont Center, Suite 1250, Atlanta, GA 30305; phone: (404) 261-9575; fax: (404) 261-9574; www.forestinvest.com
($ millions)
Total assets managed worldwide 1,222
Total worldwide institutional assets 1,222
Total U.S. tax-exempt assets 1,122
Total U.S. institutional tax-exempt 1,122
Internal U.S. institutional tax-exempt 1,122
* Asset mix:
Equity real estate 100%
* Internal U.S. institutional tax-exempt assets in:
Equity real estate, domestic 1,122
No. of portfolio managers 7
Size of research staff 2
Forest Investment Associates Inc., a real estate manager, invests in timberland.
Charles Tarver is chief investment officer; Richard Doelling is client contact.
FORSTMANN-LEFF ASSOCIATES LLC
590 Madison Ave., New York, NY 10022; phone: (212) 407-9405; fax: (212) 407-9427; www.forstmannleff.com
($ millions)
Total assets managed worldwide 4,127
Total worldwide institutional assets 3,909
Total U.S. tax-exempt assets 2,558
Total U.S. institutional tax-exempt 2,558
Internal U.S. institutional tax-exempt 2,558
* Asset mix:
Equity 100%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 2,558
Hedge funds 26
Asset allocation/balanced 115
* Active domestic equity strategies:
Growth
Large cap 509
Midcap 675
Broad market 1,085
No. of portfolio managers 8
Size of research staff 4
The parent is Refco Group Ltd. LLC.
William Harnisch is chief investment officer; Mayra Woo 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
($ millions)
Total assets managed worldwide 24,816
Total worldwide institutional assets 23,862
Total U.S. tax-exempt assets 4,202
Total U.S. institutional tax-exempt 4,121
Assigned to external managers 30
Internal U.S. institutional tax-exempt 4,121
* Asset mix:
Equity 58%
Fixed income 39%
Cash 3%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 2,408
U.S. bond, active 1,360
U.S. bond, enhanced index 246
High-yield bonds 5
Cash 102
* Active domestic equity strategies:
Growth
Large cap 108
Value
Large cap 2,222
Core
Large cap 68
Small cap 10
* Domestic fixed-income strategies:
Core 1,606
Other 5
Worldwide mutual fund assets 1,418
* Defined contribution assets:
Total 40
Internally managed 40
No. of portfolio managers 18
Size of research staff 18
The parent is Western & Southern Financial Group.
William Ledwin is chief investment officer; Augustine "Gus" Long is client contact.
Assets of the following are included in the data above:
* Todd Investment Advisors Inc.: Robert P. Bordogna is chief investment officer; Margaret C. Bell is client contact.
FORTALEZA ASSET MANAGEMENT INC.
200 W. Adams, Suite 2000, Chicago, IL 60606; phone: (312) 621-6111; fax: (312) 621-6112
($ millions)
Total assets managed worldwide 205
Total worldwide institutional assets 204
Total U.S. tax-exempt assets 204
Total U.S. institutional tax-exempt 204
Internal U.S. institutional tax-exempt 204
* Asset mix:
Equity 97%
Cash 3%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 204
* Active domestic equity strategies:
Growth
Small cap 204
No. of portfolio managers 1
Size of research staff 2
Margarita Perez is chief investment officer; Beatrice L. Fields is client contact.
Foundation Resource Management Inc.
401 W. Capitol, Suite 503, Little Rock, AR 72201; phone: (501) 604-3190; fax: (501) 604-3195
($ millions)
Total assets managed worldwide 502
Total worldwide institutional assets 474
Total U.S. tax-exempt assets 480
Total U.S. institutional tax-exempt 474
Internal U.S. institutional tax-exempt 474
* Asset mix:
Equity 24%
Fixed income 70%
Cash 6%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 101
U.S. bond, active 346
Cash 27
Asset allocation/balanced 436
* Active domestic equity strategies:
Value
Broad market 101
* Active domestic fixed-income strategies:
Core 346
* Defined contribution assets:
Total 28
Internally managed 28
No. of portfolio managers 2
Greg Hartz is chief investment officer; Mark Millsap is client contact.
FOX ASSET MANAGEMENT
44 Sycamore Ave., Little Silver, NJ 07739; phone: (732) 747-6345; fax: (732) 747-1523; www.foxasset.com
($ millions)
Total assets managed worldwide 1,990
Total worldwide institutional assets 1,615
Total U.S. tax-exempt assets 1,590
Total U.S. institutional tax-exempt 1,572
Internal U.S. institutional tax-exempt 1,572
* Asset mix:
Equity 81%
Fixed income 19%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 1,246
U.S. bond, active 326
Asset allocation/balanced 502
* Active domestic equity strategies:
Value
Large cap 1,068
Small cap 178
* Domestic fixed-income strategies:
Other 326
Worldwide mutual fund assets 99
* Defined contribution assets:
Total 83
Internally managed 83
No. of portfolio managers 11
Size of research staff 3
The parent is Eaton Vance Corp.
J. Peter Skiranich is chief investment officer; Philip R. Sloan is 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
(US$ millions)
Total assets managed worldwide 1,025
Total worldwide institutional assets 901
Total tax-exempt assets 901
Total institutional tax-exempt 901
Internal institutional tax-exempt 901
For subsidiaries of U.S. firms 168
* Asset mix:
Canadian equity 67%
U.S. equity 5%
Other equity 6%
Fixed income 19%
Cash 3%
Internal institutional tax-exempt assets in:
Domestic/U.S. equity, active 616
Foreign equity, active 54
Domestic/U.S. bond, active 183
Cash 48
Asset allocation/balanced 395
Active domestic/U.S. equity strategies:
Value
Large-cap 54
Broad market 562
* Active international strategies:
Emerging markets equity 1
* Defined contribution assets:
Total 28
Internally managed 28
No. of portfolio managers 5
Size of research staff 4
The parent is First Asset Management Inc.
James Martin is chief investment officer; Simon Segall is client contact.
Franklin
1 Franklin Parkway, San Mateo, CA 94403; phone: (800) 368-3677; fax: (954) 527-2137; www.ftiinstitutional.com
See entry for FRANKLIN TEMPLETON INVESTMENTS.
FRANKLIN PORTFOLIO ASSOCIATES LLC
2 International Place, 22nd Floor, Boston, MA 02110; phone: (617) 790-6400; fax: (617) 790-6425; www.franklinportfolio.com
($ millions)
Total assets managed worldwide 16,824
Total worldwide institutional assets 16,824
Total U.S. tax-exempt assets 7,877
Total U.S. institutional tax-exempt 7,877
Internal U.S. institutional tax-exempt 7,877
* Asset mix:
Equity 99%
Cash 1%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 7,877
Market neutral (equity) 82
* Active domestic equity strategies:
Growth
Large cap 562
Value
Large cap 66
Small cap 197
Core
Large cap 2,280
Midcap 456
Small cap 440
Broad market 351
Worldwide mutual fund assets 8,891
No. of portfolio managers 5
Size of research staff 2
The parent is Mellon Financial Corp.
John Cone is chief investment officer; Paul Healey is client contact.
FRANKLIN TEMPLETON INVESTMENTS
1 Franklin Parkway, San Mateo, CA 94403; phone: (800) 368-3677; fax: (954) 527-2137; www.ftiinstitutional.com
($ millions)
Total assets managed worldwide 266,287
Total worldwide institutional assets 81,268
Total U.S. tax-exempt assets 91,718
Total U.S. institutional tax-exempt 59,063
Internal U.S. institutional tax-exempt 59,063
* Asset mix:
Equity 76%
Fixed income 23%
Cash 1%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 17,435
Foreign equity, active 27,329
U.S. bond, active 7,721
Foreign bond, active 5,323
High-yield bonds 11
Mortgage-backed securities 364
Convertibles 5
Equity real estate, domestic 79
Other private equity, international 12
Cash 784
Asset allocation/balanced 18,979
* Active domestic equity strategies:
Growth
Large cap 8,191
Midcap 394
Small cap 6,931
Broad market 178
Value
Large cap 583
Midcap 517
Small cap 622
Broad market 19
* Active international strategies:
Emerging markets equity 2,242
* Domestic fixed-income strategies:
Other 7,422
Worldwide mutual fund assets 197,445
* Defined contribution assets:
Total 12,608
Internally managed 12,608
No. of portfolio managers 160
Size of research staff 77
The parent is Franklin Resources Inc.
Greg Johnson is chief investment officer; Peter Anderson is client contact.
The assets of the following subsidiaries are included in the data above:
* Franklin manages $114.39 billion in worldwide assets and $9.33 billion in U.S. institutional tax-exempt assets. Charles E. Johnson is chief investment officer; Peter Anderson is client contact.
* Templeton manages $82.37 billion in worldwide assets and $22.09 billion in U.S. institutional tax-exempt assets. Gary Motyl is chief investment officer; Peter Anderson is client contact.
* Fiduciary Trust Co. International manages $44.12 billion in worldwide assets and $25.88 billion in U.S. institutional tax-exempt assets. Jeremy Biggs is chief investment officer; Peter Anderson is client contact.
* Mutual Series manages $22.35 billion in worldwide assets and $1.76 billion in U.S. institutional tax-exempt assets. David Winters is chief investment officer; Peter Anderson is client contact.
FREEDOM CAPITAL MANAGEMENT CORP.
1 Beacon St., Boston, MA 02108; phone: (617) 725-2300; fax: (617) 725-2407
($ millions)
Total assets managed worldwide 9,077
Total worldwide institutional assets 2,831
Total U.S. tax-exempt assets 2,745
Total U.S. institutional tax-exempt 2,745
Assigned to external managers 20
Internal U.S. institutional tax-exempt 2,725
* Asset mix:
Equity 65%
Fixed income 35%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 1,286
U.S. equity, passive 534
U.S. bond, active 895
* Active domestic equity strategies:
Growth
Large cap 532
Value
Large cap 754
* Domestic fixed-income strategies:
Core 875
Other 20
No. of portfolio managers 8
Size of research staff 2
The parent is RBC Dain Rauscher Inc.
Michael Spencer is chief investment officer; Maura Smith is client contact.
FREEMAN ASSOCIATES INVESTMENT MANAGEMENT LLC
P.O. Box 9210, 16236 San Dieguito Road, Suite 2-20, Rancho Santa Fe, CA 92067; phone: (858) 759-2949; fax: (858) 759-2944; www.faimllc.com
($ millions)
Total assets managed worldwide 1,996
Total worldwide institutional assets 1,996
Total U.S. tax-exempt assets 1,932
Total U.S. institutional tax-exempt 1,932
Internal U.S. institutional tax-exempt 1,932
* Asset mix:
Equity 100%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 1,637
U.S. equity, enhanced index 295
Market neutral (equity) 111
* Active domestic equity strategies:
Value
Large cap 133
Core
Large cap 1,294
Midcap 99
Small cap 111
* Defined contribution assets:
Total 1,471
Internally managed 1,471
No. of portfolio managers 3
Size of research staff 4
John Freeman is chief investment officer; Evelyn Orley is client contact.
FRIESS ASSOCIATES LLC
3711 Kennett Pike, Greenville, DE 19807; phone: (302) 656-3017; www.brandywinefunds.com
($ millions)
Total assets managed worldwide 6,420
Total worldwide institutional assets 6,384
Total U.S. tax-exempt assets 1,716
Total U.S. institutional tax-exempt 1,716
Internal U.S. institutional tax-exempt 1,716
* Asset mix:
Equity 100%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 1,716
* Active domestic equity strategies:
Growth
Large cap 510
Midcap 944
Small cap 184
Broad market 79
Worldwide mutual fund assets 4,668
No. of portfolio managers 1
Size of research staff 17
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 1050, Los Angeles, CA 90024; phone: (310) 208-4938; fax: (310) 824-4235; www.froleyrevy.com
($ millions)
Total assets managed worldwide 2,198
Total worldwide institutional assets 2,104
Total U.S. tax-exempt assets 1,876
Total U.S. institutional tax-exempt 1,876
Internal U.S. institutional tax-exempt 1,876
* Asset mix:
Convertibles 100%
* Internal U.S. institutional tax-exempt assets in:
Convertibles 1,876
Worldwide mutual fund assets 15
No. of portfolio managers 4
Size of research staff 5
The parent is Southwest Asset Management Co.
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.frontiercap.com
($ millions)
Total assets managed worldwide 4,409
Total worldwide institutional assets 3,897
Total U.S. tax-exempt assets 3,263
Total U.S. institutional tax-exempt 2,995
Internal U.S. institutional tax-exempt 2,995
* Asset mix:
Equity 99%
Other 1%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 2,973
Asset allocation/balanced 22
* Active domestic equity strategies:
Growth
Large cap 345
Midcap 82
Small cap 1,873
Broad market 623
Value
Small cap 50
Worldwide mutual fund assets 20
* Defined contribution assets:
Total 64
Internally managed 64
No. of portfolio managers 8
Size of research staff 8
The parent is Affiliated Managers Group Inc.
Thomas W. Duncan is chief investment officer; Kirk Smith is client contact.
FROST BANK
P.O. Box 179, Galveston, TX 77553-0179; phone: (409) 770-7149; fax: (409) 770-7185
($ millions)
Total assets managed worldwide 42
Total worldwide institutional assets 42
Total U.S. tax-exempt assets 42
Total U.S. institutional tax-exempt 42
Internal U.S. institutional tax-exempt 42
* Asset mix:
Equity 83%
Cash 17%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 35
Cash 7
* Active domestic equity strategies:
Value
Broad market 35
No. of portfolio managers 2
Size of research staff 2
The parent is Frost National Bank.
Freddie Meier is chief investment officer; Celia Corley-Davis 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
($ millions)
Total assets managed worldwide 1,478
Total worldwide institutional assets 1,457
Total U.S. tax-exempt assets 1,387
Total U.S. institutional tax-exempt 1,387
Internal U.S. institutional tax-exempt 1,387
* Asset mix:
Equity 100%
* Internal U.S. institutional tax-exempt assets in:
U.S. equity, active 1,387
Hedge funds 8
Market neutral (equity) 77
* Active domestic equity strategies:
Growth
Small cap 501
Value
Small cap 310
Core
Midcap 359
Broad market 217
Worldwide mutual fund assets 143
No. of portfolio managers 3
Size of research staff 1
Russell Fuller is chief investment officer; Crystal Kwok 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
($ millions)
Total assets managed worldwide 4,067
Total worldwide institutional assets 4,067
Total U.S. tax-exempt assets 2,440
Total U.S. institutional tax-exempt 2,440
Internal U.S. institutional tax-exempt 2,440
* Asset mix:
Currency overlay 100%
* Overlay strategies:
Currency 2,440
The parent is International Foreign Exchange Concepts Inc.
John R. Taylor Jr. is chief investment officer; Raymond J. Sweeney is client contact.
