Created
November 1, 2018 19:07
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Companies in the IAPD dataset with more than $10 billion in assets
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| [ | |
| { | |
| "name": "STRATEGIC ADVISERS LLC", | |
| "sec_file_number": "801-13243", | |
| "crd_number": 104555, | |
| "assets_under_management": 340408400000, | |
| "total_number_of_accounts": 815521, | |
| "table": "IA_ADV_Base_A_20180401_20180630", | |
| "owners": [ | |
| { | |
| "FilingID": 1224132, | |
| "SchA-3": null, | |
| "Schedule": "B", | |
| "Full Legal Name": "CURVEY, JAMES, CHARLES", | |
| "DE/FE/I": "I", | |
| "Entity in Which": "FMR LLC", | |
| "Title or Status": "ELECTED MANAGER", | |
| "Status Acquired": "02/1990", | |
| "Ownership Code": "F", | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "2293087" | |
| }, | |
| { | |
| "FilingID": 1224132, | |
| "SchA-3": null, | |
| "Schedule": "B", | |
| "Full Legal Name": "JOHNSON IV, EDWARD, CROSBY", | |
| "DE/FE/I": "I", | |
| "Entity in Which": "FMR LLC", | |
| "Title or Status": "ELECTED MANAGER", | |
| "Status Acquired": "04/2006", | |
| "Ownership Code": "F", | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "5305256" | |
| }, | |
| { | |
| "FilingID": 1224132, | |
| "SchA-3": null, | |
| "Schedule": "B", | |
| "Full Legal Name": "JOHNSON, ABIGAIL, PIERREPONT", | |
| "DE/FE/I": "I", | |
| "Entity in Which": "FMR LLC", | |
| "Title or Status": "ELECTED MANAGER", | |
| "Status Acquired": "05/1994", | |
| "Ownership Code": "F", | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "4340399" | |
| }, | |
| { | |
| "FilingID": 1224132, | |
| "SchA-3": null, | |
| "Schedule": "B", | |
| "Full Legal Name": "REMONDI, JOHN, JOSEPH", | |
| "DE/FE/I": "I", | |
| "Entity in Which": "FMR LLC", | |
| "Title or Status": "ELECTED MANAGER", | |
| "Status Acquired": "04/2006", | |
| "Ownership Code": "F", | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "4348172" | |
| }, | |
| { | |
| "FilingID": 1224132, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "BRENNAN, SUZANNE, (NMN)", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "CHIEF OPERATING OFFICER", | |
| "Status Acquired": "10/2011", | |
| "Ownership Code": null, | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "2371762" | |
| }, | |
| { | |
| "FilingID": 1224132, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "WONDRACK, LINDA, JEAN", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "CHIEF COMPLIANCE OFFICER", | |
| "Status Acquired": "04/2012", | |
| "Ownership Code": null, | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "1589187" | |
| }, | |
| { | |
| "FilingID": 1224132, | |
| "SchA-3": null, | |
| "Schedule": "B", | |
| "Full Legal Name": "WILENS, MICHAEL, ENGBER", | |
| "DE/FE/I": "I", | |
| "Entity in Which": "FMR LLC", | |
| "Title or Status": "ELECTED MANAGER", | |
| "Status Acquired": "10/2014", | |
| "Ownership Code": "F", | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "5653418" | |
| }, | |
| { | |
| "FilingID": 1224132, | |
| "SchA-3": null, | |
| "Schedule": "B", | |
| "Full Legal Name": "MCGRAW, GERARD, JOHN", | |
| "DE/FE/I": "I", | |
| "Entity in Which": "FMR LLC", | |
| "Title or Status": "ELECTED MANAGER", | |
| "Status Acquired": "10/2014", | |
| "Ownership Code": "F", | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "4713963" | |
| }, | |
| { | |
| "FilingID": 1224132, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "GRYGLEWICZ, JAMES, DAVID", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "COMPLIANCE OFFICER", | |
| "Status Acquired": "09/2015", | |
| "Ownership Code": null, | |
| "Control Person": 0, | |
| "PR": 0, | |
| "OwnerID": "6383238" | |
| }, | |
| { | |
| "FilingID": 1224132, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "ENYEART, PETER, BRIAN", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "PRESIDENT, CHIEF INVESTMENT OFFICER", | |
| "Status Acquired": "07/2013", | |
| "Ownership Code": null, | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "5882159" | |
| }, | |
| { | |
| "FilingID": 1224132, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "KOMISHANE, HARRIS, GREGG", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "CHIEF FINANCIAL OFFICER OF ASSET MANAGEMENT, TREASURER", | |
| "Status Acquired": "07/2017", | |
| "Ownership Code": null, | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "5225050" | |
| }, | |
| { | |
| "FilingID": 1224132, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "FIDELITY ADVISORY HOLDINGS LLC", | |
| "DE/FE/I": "DE", | |
| "Entity in Which": null, | |
| "Title or Status": "MEMBER", | |
| "Status Acquired": "03/2018", | |
| "Ownership Code": "E", | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "82-4292470" | |
| }, | |
| { | |
| "FilingID": 1224132, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "KIRWIN, SCOTT, MICHAEL", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "CHIEF LEGAL OFFICER", | |
| "Status Acquired": "03/2018", | |
| "Ownership Code": null, | |
| "Control Person": 0, | |
| "PR": 0, | |
| "OwnerID": "6931682" | |
| }, | |
| { | |
| "FilingID": 1224132, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "HOGAN, BRIAN, BRAZELL", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "ELECTED MANAGER", | |
| "Status Acquired": "03/2018", | |
| "Ownership Code": null, | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "5663718" | |
| }, | |
| { | |
| "FilingID": 1224132, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "SUBRAMANIAM, SRIRAM, PALGHAT", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "ELECTED MANAGER", | |
| "Status Acquired": "03/2018", | |
| "Ownership Code": null, | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "4327279" | |
| }, | |
| { | |
| "FilingID": 1224132, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "COYNE, DAVID, BUTLER", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "ELECTED MANAGER", | |
| "Status Acquired": "03/2018", | |
| "Ownership Code": null, | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "2167479" | |
| }, | |
| { | |
| "FilingID": 1224132, | |
| "SchA-3": null, | |
| "Schedule": "B", | |
| "Full Legal Name": "FMR LLC", | |
| "DE/FE/I": "DE", | |
| "Entity in Which": "FIDELITY ADVISORY HOLDINGS LLC", | |
| "Title or Status": "MEMBER", | |
| "Status Acquired": "03/2018", | |
| "Ownership Code": "E", | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "04-3532603" | |
| } | |
| ] | |
| }, | |
| { | |
| "name": "MANAGED ACCOUNT ADVISORS LLC", | |
| "sec_file_number": "801-67569", | |
| "crd_number": 142558, | |
| "assets_under_management": 337847261001, | |
| "total_number_of_accounts": 991081, | |
| "table": "IA_ADV_Base_A_20180401_20180630", | |
| "owners": [ | |
| { | |
| "FilingID": 1218376, | |
| "SchA-3": null, | |
| "Schedule": "B", | |
| "Full Legal Name": "BANK OF AMERICA CORPORATION", | |
| "DE/FE/I": "DE", | |
| "Entity in Which": "NB HOLDINGS CORPORATION", | |
| "Title or Status": "PARENT AND SOLE SHAREHOLDER", | |
| "Status Acquired": "10/1998", | |
| "Ownership Code": "E", | |
| "Control Person": 1, | |
| "PR": 1, | |
| "OwnerID": "56-0906609" | |
| }, | |
| { | |
| "FilingID": 1218376, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "BALL, MATTHEW, SCOTT", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "VICE PRESIDENT AND CHIEF OPERATING OFFICER", | |
| "Status Acquired": "02/2009", | |
| "Ownership Code": null, | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "4441816" | |
| }, | |
| { | |
| "FilingID": 1218376, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "CAPELLI, JOHN, JOSEPH", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "PRESIDENT AND DIRECTOR", | |
| "Status Acquired": "03/2011", | |
| "Ownership Code": null, | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "2203083" | |
| }, | |
| { | |
| "FilingID": 1218376, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "SABBIA, LORNA, ROSE", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "DIRECTOR", | |
| "Status Acquired": "01/2014", | |
| "Ownership Code": null, | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "1873495" | |
| }, | |
| { | |
| "FilingID": 1218376, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "BAILEY, DEBORAH, LYNN", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "DIRECTOR", | |
| "Status Acquired": "01/2014", | |
| "Ownership Code": null, | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "3150442" | |
| }, | |
| { | |
| "FilingID": 1218376, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "LYMAN, JULIE, BRACKETT", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "CHIEF LEGAL OFFICER", | |
| "Status Acquired": "01/2014", | |
| "Ownership Code": null, | |
| "Control Person": 0, | |
| "PR": 0, | |
| "OwnerID": "2384759" | |
| }, | |
| { | |
| "FilingID": 1218376, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "MATHUR, SACHIN, RAJ", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "CHIEF FINANCIAL OFFICER", | |
| "Status Acquired": "03/2017", | |
| "Ownership Code": null, | |
| "Control Person": 0, | |
| "PR": 0, | |
| "OwnerID": "6257676" | |
| }, | |
| { | |
| "FilingID": 1218376, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "BANK OF AMERICA, NATIONAL ASSOCIATION", | |
| "DE/FE/I": "DE", | |
| "Entity in Which": null, | |
| "Title or Status": "SOLE MEMBER", | |
| "Status Acquired": "07/2015", | |
| "Ownership Code": "E", | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "94-1687665" | |
| }, | |
| { | |
| "FilingID": 1218376, | |
| "SchA-3": null, | |
| "Schedule": "B", | |
| "Full Legal Name": "NB HOLDINGS CORPORATION", | |
| "DE/FE/I": "DE", | |
| "Entity in Which": "BAC NORTH AMERICA HOLDING COMPANY", | |
| "Title or Status": "SOLE SHAREHOLDER", | |
| "Status Acquired": "10/2007", | |
| "Ownership Code": "E", | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "56-1857749" | |
| }, | |
| { | |
| "FilingID": 1218376, | |
| "SchA-3": null, | |
| "Schedule": "B", | |
| "Full Legal Name": "BAC NORTH AMERICA HOLDING COMPANY", | |
| "DE/FE/I": "DE", | |
| "Entity in Which": "BANA HOLDING CORPORATION", | |
| "Title or Status": "SOLE SHAREHOLDER", | |
| "Status Acquired": "05/2007", | |
| "Ownership Code": "E", | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "36-3737560" | |
| }, | |
| { | |
| "FilingID": 1218376, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "KARAM, MICHAEL, RICHARD", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "CHIEF COMPLIANCE OFFICER", | |
| "Status Acquired": "05/2017", | |
| "Ownership Code": null, | |
| "Control Person": 0, | |
| "PR": 0, | |
| "OwnerID": "5845148" | |
| }, | |
| { | |
| "FilingID": 1218376, | |
| "SchA-3": null, | |
| "Schedule": "B", | |
| "Full Legal Name": "BANA HOLDING CORPORATION", | |
| "DE/FE/I": "DE", | |
| "Entity in Which": "BANK OF AMERICA, NATIONAL ASSOCIATION", | |
| "Title or Status": "SOLE SHAREHOLDER", | |
| "Status Acquired": "10/2008", | |
| "Ownership Code": "E", | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "36-2685437" | |
| }, | |
| { | |
| "FilingID": 1218376, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "GLENFIELD, KEITH, DAVID", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "DIRECTOR", | |
| "Status Acquired": "09/2015", | |
| "Ownership Code": null, | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "4403678" | |
| }, | |
| { | |
| "FilingID": 1218376, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "Magnotta, George, JOSEPH", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "CHIEF RISK OFFICER", | |
| "Status Acquired": "03/2017", | |
| "Ownership Code": null, | |
| "Control Person": 0, | |
| "PR": 0, | |
| "OwnerID": "1197802" | |
| } | |
| ] | |
| }, | |
| { | |
| "name": "DEUTSCHE ALTERNATIVE ASSET MANAGEMENT (GLOBAL) LIMITED", | |
| "sec_file_number": "801-66274", | |
| "crd_number": 139526, | |
| "assets_under_management": 11551561024, | |
| "total_number_of_accounts": 40, | |
| "table": "IA_ADV_Base_A_20180401_20180630", | |
| "owners": [ | |
| { | |
| "FilingID": 1222153, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "SHAW, STEPHEN, JAMES THOMAS", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "DIRECTOR", | |
| "Status Acquired": "02/2007", | |
| "Ownership Code": null, | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "5091473" | |
| }, | |
| { | |
| "FilingID": 1222153, | |
| "SchA-3": null, | |
| "Schedule": "B", | |
| "Full Legal Name": "DEUTSCHE BANK AG", | |
| "DE/FE/I": "FE", | |
| "Entity in Which": "DB BETEILIGUNGS-HOLDING GMBH", | |
| "Title or Status": "SHAREHOLDER", | |
| "Status Acquired": "12/2017", | |
| "Ownership Code": "E", | |
| "Control Person": 1, | |
| "PR": 1, | |
| "OwnerID": "13-2944988" | |
| }, | |
| { | |
| "FilingID": 1222153, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "MACKENZIE, HAMISH, MACPHAIL MASSIE", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "CEO AND DIRECTOR", | |
| "Status Acquired": "10/2016", | |
| "Ownership Code": null, | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "6720919" | |
| }, | |
| { | |
| "FilingID": 1222153, | |
| "SchA-3": null, | |
| "Schedule": "B", | |
| "Full Legal Name": "DB BETEILIGUNGS-HOLDING GMBH", | |
| "DE/FE/I": "FE", | |
| "Entity in Which": "DWS GROUP GMBH & CO. KGAA", | |
| "Title or Status": "SHAREHOLDER", | |
| "Status Acquired": "03/2018", | |
| "Ownership Code": "E", | |
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| "PR": 0, | |
| "OwnerID": "FOREIGN" | |
| }, | |
| { | |
| "FilingID": 1222153, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "DRELL, JULIA, ROSA RICARDA", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "CHIEF COMPLIANCE OFFICER", | |
| "Status Acquired": "01/2018", | |
| "Ownership Code": null, | |
| "Control Person": 1, | |
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| "OwnerID": "6914154" | |
| }, | |
| { | |
| "FilingID": 1222153, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "Botting, Robert, Bruce", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "HEAD OF LEGAL / UK", | |
| "Status Acquired": "03/2018", | |
| "Ownership Code": null, | |
| "Control Person": 0, | |
| "PR": 0, | |
| "OwnerID": "6932809" | |
| }, | |
| { | |
| "FilingID": 1222153, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "Levy, Andrew", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "HEAD OF FINANCE / UK", | |
| "Status Acquired": "03/2018", | |
| "Ownership Code": null, | |
| "Control Person": 0, | |
| "PR": 0, | |
| "OwnerID": "6932818" | |
| }, | |
| { | |
| "FilingID": 1222153, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "DWS GROUP GMBH & CO. KGAA", | |
| "DE/FE/I": "FE", | |
| "Entity in Which": null, | |
| "Title or Status": "SHAREHOLDER", | |
| "Status Acquired": "03/2018", | |
| "Ownership Code": "E", | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "FOREIGN ENTITY" | |
| } | |
| ] | |
| }, | |
| { | |
| "name": "NIKKO ASSET MANAGEMENT CO LTD", | |
| "sec_file_number": "801-56686", | |
| "crd_number": 110997, | |
| "assets_under_management": 147963778724, | |
| "total_number_of_accounts": 837, | |
| "table": "IA_ADV_Base_A_20180401_20180630", | |
| "owners": [ | |
| { | |
| "FilingID": 1224848, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "SUMITOMO MITSUI TRUST BANK, LIMITED", | |
| "DE/FE/I": "FE", | |
| "Entity in Which": null, | |
| "Title or Status": "SHAREHOLDER", | |
| "Status Acquired": "04/2012", | |
| "Ownership Code": "E", | |
| "Control Person": 1, | |
| "PR": 0, | |
| "OwnerID": "FOREIGN ENTITY" | |
| }, | |
| { | |
| "FilingID": 1224848, | |
| "SchA-3": 1, | |
| "Schedule": "A", | |
| "Full Legal Name": "TOGASHI, NAOKI", | |
| "DE/FE/I": "I", | |
| "Entity in Which": null, | |
| "Title or Status": "DIRECTOR", | |
| "Status Acquired": "03/2011", | |
| "Ownership Code": null, | |
| "Control Person": 1, | |
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