| AUM* | 1,352,474,240,107 23% |
| of that, discretionary | 1,319,854,568,261 22% |
| Number of Employees | 11,414 20% |
| of those in investment advisory functions | 6,537 21% |
| Private Fund GAV* | 788,898,104,209 11% |
| Avg Account Size | 950,438,679 -2% |
| High Net Worth | 0.49% 100% |
| SMA’s | Yes |
| Private Funds | 1203 227 |
- High net worth individuals
- Banking or thrift institutions
- Investment companies
- Business development companies
- Pooled investment vehicles
- Pension and profit sharing plans
- Charitable organizations
- State or municipal government entities
- Other investment advisers
- Insurance companies
- Sovereign wealth funds and foreign official institutions
- Corporations or other businesses not listed above
- Other
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses
- Selection of other advisers
- A percentage of assets under your management
- Performance-based fees
| 11.C(1) | SEC/CFTC found false statement |
| 11.C(2) | SEC/CFTC found violation |
| 11.C(4) | SEC/CFTC order in investment-related activity |
| 11.C(5) | SEC/CFTC civil penalty / cease and desist |
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