Schroder Wealth Management (Us) Limited (London)

Name: Schroder Wealth Management (Us) Limited
Address: 1 London Wall Place, London, Ec2 Y 5 Au
Telephone: 00 44 (0)20 7658 6000

Schroder Wealth Management (Us) Limited is an adviser based in London. It manages $280.62 million of regulatory assets for 30 client accounts. It has been registered with the SEC as an adviser since 2017 and has operated in the jurisdictions of Arkansas, California, Florida, and 7 other states.

Schroder Wealth Management (Us) Limited provides portfolio management for individuals and small businesses and portfolio management for businesses and institutional clients. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Schroder Wealth Management (Us) Limited: assets under management

The assets under management (AUM) of Schroder Wealth Management (Us) Limited is $280.62 million. The firm's AUM has grown by 27969% since the beginning of its operation, and $126.16 million of the total AUM is attributable to clients outside of the United States.

The firm manages $51.56 million in discretionary accounts and $229.06 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.03 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $17.62 million.

Investments

The firm invests in exchange traded securities the most. They account for 69% of the total AUM. The second-largest asset type is investment grade corporate bonds, which make up 15% of the firm’s portfolio. Investments in government bonds form 11% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Schroder Wealth Management (Us) Limited for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Schroder Wealth Management (Us) Limited serves?

The firm provides services to investment companies and high net worth individuals. The largest group of clients of Schroder Wealth Management (Us) Limited is investment companies with 7 clients and $208.71 million of assets under management. Among the 8 most similar advisory firms, Schroder Wealth Management (Us) Limited has the highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $279.3 million for 26 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 52% of the firm’s clients are foreign persons or businesses.

Schroder Wealth Management (Us) Limited doesn't advise any private funds.

Careers at Schroder Wealth Management (Us) Limited

The company employs 4 people that are either part- or full-time employees. 75 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Schroder Wealth Holdings Limited	Parent company	1 May 2017	75% - 100%	foreign
Andrew John Shirley Ross	Chairman - director - manager	1 May 2017	Other	4489096
Jeremy William John Turnbull	Chief compliance officer - director - manager	1 May 2017	Other	4977094
Carolyn Sims	Chief financial officer - director - manager	1 May 2017	Other	5478216
Mary Anne Daly	Chief executive officer - director - manager	1 May 2017	Other	4568311
Dominic Peter Corti Emmerson	Director - manager	1 May 2017	Other	6824954

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Schroders Plc	Parent company	1 Nov 2003	75% - 100%	foreign entity
Schroder Administration Limited	Parent company	1 Jul 2015	75% - 100%	foreign entity

Based in London

The principal office where Schroder Wealth Management (Us) Limited performs its advisory services is located at 1 London Wall Place, London, Ec2 Y 5 Au, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 00 44 (0)20 7658 6000 or by fax 00 44 (0)20 7658 3827. The normal business hours are 9.00am - 5.00pm on Monday - Friday. You can find more information about the New York firm at schroders.com.