AUMdb

Wellington Management Japan Pte. Ltd.

SEC-registered Broker-Dealer (Dually Registered) · Large ($10B–$100B) CRD 165192 · SEC file 801-77317 · Tokyo · www.linkedin.com
☆ Save with Pro ADV data as of Mar 31, 2026
Regulatory AUM
$17.7B
Discretionary
$17.0B
Clients
49
Avg AUM / client
$362M
Accounts
49
Employees
65

AUM over time

$17.7B $42.6B
Oct 2012 Dec 2025

Annual snapshots from Form ADV filings · as of Mar 31, 2026

Asset allocation (SMA assets by investment type)

as of Mar 31, 2026
Investment-grade corporate bonds
$8.7B 49%
Exchange-traded equities
$5.7B 32%
Non-investment-grade bonds
$2.0B 11%
Cash & equivalents
$887M 5%
Pooled investment vehicles
$355M 2%
Derivatives
$177M 1%

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 typeClientsAUM% of AUM
Banking or thrift institutions 12 $10.3B 58.1%
Pooled investment vehicles (non-investment companies) 7 $2.0B 11.3%
Pension and profit sharing plans 15 $560M 3.15%
Other investment advisers 2 $910M 5.13%
Sovereign wealth funds and foreign official institutions 13 $4.0B 22.3%

People (12)

NameRole / titleCredentialsWith firm sinceOwnership
Havlicek, Desmond, Anthony Director Jun 2016 (10y) Less than 5%
Au, Kar On Karen Chief Compliance Officer Mar 2019 (7y) Less than 5%
Chisholm, Elizabeth, Menai Director Jun 2019 (7y) Less than 5%
Mulhern, Charles, John Director Jun 2019 (7y) Less than 5%
Eikenberry, David, Keith Director Dec 2019 (7y) Less than 5%
Perumal, Janet, Anandhi Director Dec 2019 (7y) Less than 5%
Kofman, Nataliya Director Oct 2021 (5y) Less than 5%
Shim, Pui, San Director Nov 2023 (3y) Less than 5%
Samouilhan, Nicholas, Lawrence Director Dec 2023 (3y) Less than 5%
Lopez, Scott, Matthew Director Oct 2024 (2y) Less than 5%
Sharp Paul, Andrew, David Director Oct 2024 (2y) Less than 5%
Tang, Hoi Yee Karen Director Oct 2024 (2y) Less than 5%

Entity owners (Schedule A/B)

EntityTitle / statusSinceSch.Ownership
Wellington Management Global Holdings, Ltd. Shareholder Sep 1998 A 75% or more
Wellington Management Group Llp Managing Partner May 2014 B ≈ 31.64% – 100% via Wellington Group Holdings Llp
Wellington Group Holdings Llp Managing Partner May 2014 B ≈ 42.19% – 100% via Wellington Investment Advisors Holdings Llp
Wellington Investment Advisors Holdings Llp Shareholder Jan 2015 B ≈ 56.25% – 100% via Wellington Management Global Holdings, Ltd.

Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.

Estimated effective ownership (look-through of filed bands):

  • Wellington Management Group Llp: 75% – 100% of Wellington Group Holdings Llp × 75% – 100% of Wellington Investment Advisors Holdings Llp × 75% – 100% of Wellington Management Global Holdings, Ltd. × 75% – 100% direct ≈ 31.64% – 100% of the firm
  • Wellington Group Holdings Llp: 75% – 100% of Wellington Investment Advisors Holdings Llp × 75% – 100% of Wellington Management Global Holdings, Ltd. × 75% – 100% direct ≈ 42.19% – 100% of the firm
  • Wellington Investment Advisors Holdings Llp: 75% – 100% of Wellington Management Global Holdings, Ltd. × 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.

Documents (1 archived)

FormPeriodSize
Form ADV (full filing) 03/31/2026 2.53 MB View · PDF · Source ↗

Archived copies of the firm's regulatory filings, versioned by content hash.

Disciplinary disclosures

Regulatory · Item 11.D(2) as of Nov 07, 2024

Allegations: THE FDF ALLEGED THAT WELLINGTON HAD NOT FILED, WITHIN THE SPECIFIED TIME PERIOD, REPORTS THAT ITS COLLECTIVE OWNERSHIP OF A SWISS SECURITY CROSSED AN OWNERSHIP THRESHOLD. Status: Final Sanction Detail: THE AMOUNT OF THE SETTLEMENT WAS CHF7,000 (APPROXIMATELY USD7,000.) Summary: WE CONSENTED TO THE FINE IN FULL SETTLEMENT OF THE MATTER. THERE WERE NO ADDITIONAL CONDITIONS IMPOSED.

Regulatory · Item 11.D(2) as of Nov 07, 2024

Allegations: THE GERMAN FEDERAL FINANCIAL SUPERVISORY AUTHORITY ("BAFIN") SANCTIONED WELLINGTON MANAGEMENT IN RELATION TO THREE INDIVIDUAL ADMINISTRATIVE BREACHES OF LARGE SHAREHOLDER DISCLOSURE REQUIREMENTS. THE BREACHES RELATE TO EVENTS WHICH OCCURRED IN 2016, 2018 AND 2019 RESPECTIVELY. Status: Final Sanction Detail: THE AMOUNT OF THE ADMINISTRATIVE CHARGE WAS EUR 165,000 Summary: WE CONSENTED TO THE FINE IN FULL SETTLEMENT OF THE MATTER. THERE WERE NO ADDITIONAL CONDITIONS IMPOSED.

Regulatory · Item 11.D(2) as of Nov 07, 2024

Allegations: THE FDF ALLEGED THAT WELLINGTON HAD NOT PROVIDED AN ADDITIONAL TABLE THAT PROVIDES A BREAKDOWN OF SHARES AMONG OUR CLIENT ACCOUNTS WITH SIX LARGE SHAREHOLDER DISCLOSURE FILINGS MADE IN 2016 AND 2017 IN ACCORDANCE WITH ART. 151 IN RELATION WITH ART. 120 OF THE FEDERAL ACT ON FINANCIAL MARKET INFRASTRUCTURES AND MARKET CONDUCT IN SECURITIES AND DERIVATIVES TRADING (FINMIA; SR 958.1). THE OMISSION WAS UNCOVERED BY WELLINGTON AND SELF-DISCLOSED TO THE REGULATOR IN 2017. WHILE THE SHARES HELD BY WELLINGTON MANAGEMENT GROUP LLP WERE PROPERLY DISCLOSED, WELLINGTON DID NOT INCLUDE A BREAKDOWN OF SHARES HELD AMONG OUR ACCOUNTS AS REQUIRED UNDER THE REGULATION. Status: Final Sanction Detail: THE AMOUNT OF THE SETTLEMENT WAS CHF 31,550 (APPROXIMATELY USD 35,500) Summary: WELLINGTON CONSENTED TO THE FINE IN FULL SETTLEMENT OF THE MATTER. THERE WERE NO ADDITIONAL CONDITIONS IMPOSED.

Disclosure text reproduced verbatim from the firm's own Form ADV filings.

How they charge

  • Percentage of assets under management
  • Fixed fees
  • Performance-based fees

Services

  • Portfolio management for individuals/small businesses
  • Portfolio management for pooled investment vehicles
  • Portfolio management for businesses/institutional clients

Custody

Reported custodians

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 31, 2026.

View current Form ADV (SEC/IAPD) ↗