Schroder Investment Management North America Inc
SEC-registered
Mutual Fund / Asset Manager · Mega ($100B+)
CRD 105820
· SEC file 801-15834
· New York, NY
· WWW.SCHRODERS.COM
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ADV data as of Mar 30, 2026
- Regulatory AUM
- $150B
- Discretionary
- $149B
- Clients
- 426
- Avg AUM / client
- $353M
- Accounts
- 426
- Employees
- 254
AUM over time
$27.0B
$173B
Dec 2011
Dec 2025
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Asset allocation (SMA assets by investment type)
as of Mar 30, 2026
Exchange-traded equities
$61.7B
41%
Investment-grade corporate bonds
$22.6B
15%
Other
$16.5B
11%
US government & agency bonds
$13.5B
9%
Derivatives
$13.5B
9%
State & local bonds
$9.0B
6%
Sovereign bonds
$4.5B
3%
Non-investment-grade bonds
$3.0B
2%
Registered investment companies (funds/ETFs)
$3.0B
2%
Cash & equivalents
$3.0B
2%
Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Individuals (non-high net worth) | Fewer than 5 clients | — | — |
| High net worth individuals | 31 | $715M | 0.48% |
| Banking or thrift institutions | Fewer than 5 clients | — | — |
| Investment companies | 183 | $95.4B | 63.4% |
| Pooled investment vehicles (non-investment companies) | 47 | $14.6B | 9.73% |
| Pension and profit sharing plans | 52 | $11.2B | 7.45% |
| Charitable organizations | 10 | $928M | 0.62% |
| State or municipal government entities | 33 | $14.6B | 9.71% |
| Other investment advisers | 8 | $1.8B | 1.22% |
| Insurance companies | 42 | $7.0B | 4.66% |
| Sovereign wealth funds and foreign official institutions | 10 | $2.0B | 1.31% |
| Corporations and other businesses | 10 | $2.1B | 1.39% |
Private funds (20)
View all →Reported in Form ADV Section 7.B.(1), filing of Sep 2024 · $8.3B combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Schroders Capital Securitized Hi Grade Flexible Total Return, L.P. | Securitized Asset Fund | Delaware | $1.3B | 4 |
| Schroder Emerging Markets Fund | Other Private Fund | Delaware | $1.2B | 13 |
| Schroder Focus Ii Master A, L.P. master | Securitized Asset Fund | Delaware | $1.1B | 44 |
| Schroder Focus Ii Master B, L.P. master | Securitized Asset Fund | Delaware | $1.1B | 44 |
| Schroder Diversified Growth Portfolio Lp master | Other Private Fund | Delaware | $694M | 10 |
| Schroder Taft Hartley Income (Cayman), L.P. master | Securitized Asset Fund | Cayman Islands | $527M | 29 |
| Schroder Taft Hartley Income Reit, Llc master | Securitized Asset Fund | Delaware | $527M | 29 |
| Schroder Flexible Secured Income Master B, L.P. master | Securitized Asset Fund | Delaware | $417M | 5 |
| Schroder Flexible Secured Income Master A, L.P. master | Securitized Asset Fund | Delaware | $417M | 5 |
| Schroder Emerging Markets Equity Alpha Fund | Other Private Fund | Delaware | $350M | 5 |
| Schroders Capital Pillars Fund, L.P. | Securitized Asset Fund | Delaware | $335M | 3 |
| Schroder Japan Equity Micro Cap Fund master | Other Private Fund | Delaware | $135M | 4 |
| Schroders Capital Erisa Flexible Secured Income, L.P. | Securitized Asset Fund | Delaware | $122M | 4 |
| Schroder International Alpha Portfolio | Other Private Fund | Delaware | $108M | 2 |
| Schroder Commodity Total Return Portfolio | Other Private Fund | Delaware | $28.0M | 6 |
Nonprofit clients
Charities that reported this firm as a top-paid contractor (investment services) on Form 990.
| Charity | Location | Period |
|---|---|---|
| Sanford Health Foundation EIN 363297853 | Sioux Falls, SD | 12/31/2024 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Operating Engineers' Local 324 Pension Fund Joint Board Of Trustees Operating Engineers Local 324 | 2024 | |
| Eighth District Electrical Pension Fund Board Of Trustees, Eighth District Electrical Pension | 2024 | |
| International Painters And Allied Trades Industry Pension Plan Intl Painters & Allied Trades Ind. Pension Fund Board Of Trustees | 2024 | |
| Commonwealth Health Corporation Restated Retirement Plan Commonwealth Health Corporation | 2024 | |
| Transit Management Of Southeast Louisiana, Inc. Retirement Income Plan Transit Management Of Southeast Louisiana, Inc. | New Orleans, LA | 2024 |
| Employees Security Fund Of The Elec Ind Pension Plan Joint Pension Comm Of The Ees Sec Fund Of The Elec Prod Ind | 2024 |
People (6)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Middleton, Philip | Chief Executive Officer, Chair And Director | May 2021 (5y) | Less than 5% | |
| Hornby, Lisa, Marie | Director | Feb 2022 (5y) | Less than 5% | |
| Gallo, Philip | Chief Compliance Officer | Mar 2022 (4y) | Less than 5% | |
| Patnaik, Shanak | Deputy Cc Officer | Mar 2022 (4y) | Less than 5% | |
| Chelf, Ryan | General Counsel, Americas | Jan 2024 (3y) | Less than 5% | |
| Priestman, James | Director | Mar 2024 (2y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Schroder Us Holdings Inc. | Shareholder | Jun 1999 | A | 75% or more |
| Schroder International Holdings Limited | Shareholder | Dec 1980 | B | ≈ 56.25% – 100% via Schroder Us Holdings Inc. |
| Schroder Administration Limited | Shareholder | Jun 2004 | B | 75% or more of Schroder International Holdings Ltd. (indirect) |
| Schroders Plc | Shareholder | Jun 2004 | B | 75% or more of Schroder Administration Limited (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Schroder International Holdings Limited: 75% – 100% of Schroder Us Holdings Inc. × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Private funds (20, $8.3B gross assets)
From Form ADV Section 7.B private fund reporting.
Retirement plans served (6)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Operating Engineers' Local 324 Pension Fund | Joint Board Of Trustees Operating Engineers Local 324 | 8,819 | $1.9B | 05/01/2024 |
| Eighth District Electrical Pension Fund | Board Of Trustees, Eighth District Electrical Pension | 11,261 | $1.3B | 04/01/2024 |
| International Painters And Allied Trades Industry Pension Plan | Intl Painters & Allied Trades Ind. Pension Fund Board Of Trustees | 43,757 | $4.5B | 01/01/2024 |
| Commonwealth Health Corporation Restated Retirement Plan | Commonwealth Health Corporation | 723 | $180M | 01/01/2024 |
| Transit Management Of Southeast Louisiana, Inc. Retirement Income Plan | Transit Management Of Southeast Louisiana, Inc. | 0 | $180M | 01/01/2024 |
| Employees Security Fund Of The Elec Ind Pension Plan | Joint Pension Comm Of The Ees Sec Fund Of The Elec Prod Ind | 1,525 | $155M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Foundations & charities (1)
| Organization | Type | Assets | As of |
|---|---|---|---|
| Sanford Health Foundation | Public charity | $1.3B | 12/31/2024 |
From IRS Form 990 investment-management-fee disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 4.82 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
No disciplinary events reported on the firm's latest Form ADV filing.
How they charge
- • Percentage of assets under management
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- State Street $12.7B (8% of AUM) Mar 2026
- Northern Trust $8.2B (5% of AUM) Mar 2026
- BNY Mellon $7.1B (5% of AUM) Mar 2026
- J.P. Morgan $4.0B (3% of AUM) Mar 2025
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 30, 2026.
View current Form ADV (SEC/IAPD) ↗