| AUM* | 246,732,906,720 40% |
| of that, discretionary | 246,732,906,720 40% |
| Number of Employees | 1,045 7% |
| of those in investment advisory functions | 571 9% |
| Private Fund GAV* | 232,518,571,148 41% |
| Avg Account Size | 5,035,365,443 63% |
| SMA’s | Yes |
| Private Funds | 86 |
- Investment companies
- Pooled investment vehicles
- Pension and profit sharing plans
- State or municipal government entities
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses
- A percentage of assets under your management
- Performance-based fees
| 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 |
| 11.E(1) | SRO found false statement |
| Count | GAV | |
|---|---|---|
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