| AUM* | 235,324,894,875 173% |
| of that, discretionary | 235,324,894,875 173% |
| Number of Employees | 1,625 -21% |
| of those in investment advisory functions | 806 -10% |
| Private Fund GAV* | 266,620,989,951 111% |
| Avg Account Size | 4,357,868,424 11% |
| SMA’s | No |
| Private Funds | 77 34 |
- Investment companies
- Pooled investment vehicles
- Sovereign wealth funds and foreign official institutions
- Corporations or other businesses not listed above
- 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(2) | SRO found rule violation |
| Count | GAV | |
|---|---|---|
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