SEC-registered firm
Registration does not mean the SEC approves or recommends the firm, and it does not imply a certain level of skill or training.
Schroder Investment Management North America Inc
New York, NY
CRD 105820
Firm filing updated March 30, 2026 ·
- $150.4BAssets
- 110Advisory staff
- 426Accounts
Fees and minimums
All fee types on the form
- Percentage of assets under managementYes
- Performance-based feesYes
- Hourly chargesNo
- Fixed feesNo
- Subscription fees (for a newsletter or periodical)No
- CommissionsNo
- OtherNo
Who the firm serves
- Investment companies183
- Pension and profit sharing plans52
- Pooled vehicles47
- Insurance companies42
- State or municipal government entities (including government pension plans)33
- and 5 more69
See the client table
| Client type | Approximate number of clients | Assets |
|---|---|---|
| Individuals (other than high net worth) | Fewer than 5 clients | $0 |
| High net worth individuals | 31 | $714.8 million |
| Banking or thrift institutions | Fewer than 5 clients | $0 |
| Investment companies | 183 | $95.4 billion |
| Pooled investment vehicles (other than investment companies and business development companies) | 47 | $14.6 billion |
| Pension and profit sharing plans (but not the plan participants or government pension plans) | 52 | $11.2 billion |
| Charitable organizations | 10 | $928.3 million |
| State or municipal government entities (including government pension plans) | 33 | $14.6 billion |
| Other investment advisors | 8 | $1.8 billion |
| Insurance companies | 42 | $7.0 billion |
| Sovereign wealth funds and foreign official institutions | 10 | $2.0 billion |
| Corporations or other businesses not listed above | 10 | $2.1 billion |
What the client labels mean
Here, "individuals" includes trusts, estates, and IRAs of individuals. A "high net worth individual" is a qualified client or qualified purchaser.
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
See all 4 services
- Portfolio management for businesses (other than small businesses) or institutional clients
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
Assets and accounts
- Regulatory assets$150.4 billion
- Accounts426
- Discretionary$148.9 billion · 422 accounts
- Non-discretionary$1.5 billion · 4 accounts
People
- Employees254
- Advisory staff110
- Broker-dealer reps64
- Licensed insurance agents0
- Planning clients0
Registration details
- SEC-registered investment advisor. CRD 105820, SEC file 801-15834.
- Registered with the SEC as an investment advisor (status date on record: December 31, 1980).
Is Schroder Investment Management North America Inc a fiduciary?
Short answer: Schroder Investment Management North America Inc is registered with the SEC as an investment advisor.
More detail
Some of its people may also act in other roles, such as for a broker-dealer or as insurance agents, where different rules apply. Details below.
The SEC put it this way in 2019: 'Under federal law, an investment adviser is a fiduciary.'
Some of the firm's people may also act for a broker-dealer: 64 staff are broker-dealer representatives and the firm has a related broker-dealer. When someone acts for a broker-dealer, a different SEC standard, Regulation Best Interest, applies to their recommendations. Ask which role they are acting in.
The firm's Form CRS explains its services, fees and conflicts in plain language: Form CRS.
About this data
Informational only. Advisable Finance is not an investment advisor, does not give investment advice, and does not endorse any advisor.