Hotchkis And Wiley Capital Management, Llc
- Regulatory AUM
- $36.9B
- Discretionary
- $36.9B
- Clients
- 98
- Avg AUM / client
- $377M
- Accounts
- 103
- Employees
- 64
AUM over time
Annual snapshots from Form ADV filings · as of Mar 30, 2026
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Investment companies | 26 | $24.5B | 66.5% |
| Pooled investment vehicles (non-investment companies) | 19 | $4.9B | 13.2% |
| Pension and profit sharing plans | 16 | $4.0B | 10.9% |
| Charitable organizations | 11 | $910M | 2.46% |
| State or municipal government entities | 12 | $2.4B | 6.6% |
| Other investment advisers | 9 | $13.8M | 0.04% |
| Insurance companies | Fewer than 5 clients | $16.9M | 0.05% |
| Other | 5 | $86.4M | 0.23% |
Private funds (2)
Reported in Form ADV Section 7.B.(1), filing of Nov 2024 · $401M combined gross assets
| Fund | Type | Domicile | Gross assets | Owners |
|---|---|---|---|---|
| Hw High Yield, Llc | Hedge Fund | Delaware | $318M | 6 |
| Hw Hedged Value, L.P. | Hedge Fund | Delaware | $82.8M | 7 |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Retirement Income Plan For Employees Of Interface Performance Materials, Inc. Alkegen | 2024 | |
| National Elevator Industry Pension Plan National Elevator Industry Pension Plan Plan Board Of Trustees | 2024 | |
| Alaska Electrical Pension Plan Joint Board Of Trustees Alaska Electrical Pension Fund | 2024 | |
| Jpmorgan Chase Retirement Plan Jpmorgan Chase Bank, National Association | 2024 | |
| Siemens Energy, Inc. Savings Plan Siemens Energy, Inc. | 2024 |
People (9)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Stephens, Warren, Amerine | Trustee | Sep 1987 (39y) | GP / trustee / elected manager of Warren A. Stephens Trust Uid 9/30/1987 (indirect) | |
| Davis, George, Holmes | Executive Chairman And Executive Committee Member | Aug 2001 (25y) | Less than 5% | |
| Lopez, Anna Marie, Sinio | Chief Operating Officer And Executive Committee Member | Aug 2001 (25y) | Less than 5% | |
| Martin, Douglas, Howard | Executive Committee Member | Sep 2003 (23y) | Less than 5% | |
| Menvielle, James, Edward | Chief Financial Officer | May 2006 (20y) | Less than 5% | |
| Kodama, Tina, Hideko | Chief Compliance Officer | Apr 2007 (19y) | Less than 5% | |
| Mcbride, Scott, Hoy | Chief Executive Officer And Executive Committee Member | Jan 2016 (11y) | Less than 5% | |
| Hirschmann, Thomas, John | Head Of Distribution | Nov 2018 (8y) | Less than 5% | |
| Stephens, Warren Miles, Amerine | Executive Committee Member | Oct 2022 (4y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Hwcap Holdings, Llc | Member | Aug 2001 | A | 50% – 75% |
| Stephens H&W, Llc | Member | Aug 2001 | A | 25% – 50% |
| Sf Holding Corp. (Formerly Stephens Group, Inc.) | Member | Aug 2001 | B | ≈ 18.75% – 50% via Stephens H&W, Llc |
| Warren A. Stephens Trust Uid 9/30/1987 | Shareholder | Oct 2001 | B | 25% – 50% of Sf Holding Corp. (indirect) |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Sf Holding Corp. (Formerly Stephens Group, Inc.): 75% – 100% of Stephens H&W, Llc × 25% – 50% direct ≈ 18.75% – 50% 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 (2, $401M gross assets)
| Fund | Type | Gross assets | Min. investment | Owners |
|---|---|---|---|---|
| Hw High Yield, Llc | Hedge Fund | $318M | $3.0M | 6 |
| Hw Hedged Value, L.P. | Hedge Fund | $82.8M | $1.0M | 7 |
From Form ADV Section 7.B private fund reporting.
Retirement plans served (5)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Retirement Income Plan For Employees Of Interface Performance Materials, Inc. | Alkegen | 52 | $34.0M | 07/01/2024 |
| National Elevator Industry Pension Plan | National Elevator Industry Pension Plan Plan Board Of Trustees | 28,678 | $12.2B | 07/01/2024 |
| Alaska Electrical Pension Plan | Joint Board Of Trustees Alaska Electrical Pension Fund | 3,855 | $2.1B | 01/01/2024 |
| Jpmorgan Chase Retirement Plan | Jpmorgan Chase Bank, National Association | 78,270 | $16.1B | 01/01/2024 |
| Siemens Energy, Inc. Savings Plan | Siemens Energy, Inc. | 11,052 | $4.0B | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/30/2026 | 1.46 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
- • Fixed fees
- • Performance-based fees
- • Other fees
- • % OF AUM IN MODEL PORTFOLIO
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for investment companies
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
- • Other services
Custody
Reported custodians
- Northern Trust $2.2B (6% of AUM) Mar 2026
- BNY Mellon $2.0B (5% of AUM) Mar 2026
- J.P. Morgan $1.3B (4% of AUM) Mar 2026
- State Street $1.0B (3% of AUM) Mar 2026
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) ↗