State Street Research & Management Company (Boston)


State Street Research & Management Company is a large advisory firm based in Boston. It manages $15.6 billion of regulatory assets for 56 client accounts. It has been registered with the SEC as an adviser since 2000 and has operated in the jurisdictions of California, Connecticut, Delaware, and 10 other states.

State Street Research & Management Company provides portfolio management for individuals and small businesses, portfolio management for investment companies, and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

State Street Research & Management Company: assets under management

The assets under management (AUM) of State Street Research & Management Company is $15.6 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -72% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $15.6 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $278.66 million each.
State Street Research & Management Company has custody of $1.22 billion in cash and securities for 7 clients in total but doesn’t act as a qualified custodian.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay State Street Research & Management Company for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at State Street Research & Management Company

Ralph Lewis Schlosstein has been acting as President since 1 Jan 2005. Susan Lynne Wagner joined the executive team most recently as the Vice Chariman & Chief Operating Officer.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Gerard Peter Maus Director, executive vice president, cfo, treasurer and cao 1 Apr 1993 Other 2161442
Inc. Ssrm Holdings Direct stockholder 1 Apr 1993 75% - 100% 04-3188585
Dan Ray Strelow Senior vice president and co-chief investment officer-fixed income 1 Aug 1993 Other 4380783
Francis Joseph Mcnamara Executive vice president, general counsel and secretary 1 Jun 1995 Other 2258046
Francis J Mcnamara Executive vice president, general counsel and secretary 1 Jul 1996 Other 2258046
Mark Anthony Marinella Senior vice president and co-chief investment officer-fixed income 1 Aug 1998 Other 1001315
Daniel R Waltcher Assistant secretary, director 1 Oct 1998 Other 2903300
James Carlton Pannell Executive vice president 1 Apr 1999 Other 4305318
Christopher Cunningham Abbott Executive vice president 1 Oct 1999 Other 721040
James Michael Weiss Director and executive vice president 1 Apr 2000 Other 1829738
Kevin Norton Wilkins Exectuive vice president 1 Apr 2000 Other 2493590
Richard Sherwyn Davis Director, president, chief executive officer and chairman of the board 1 Nov 2000 Other 62498
Mark Anthony Marinella Executive vice president and co-chief investment officer-fixed income 1 Apr 2001 Other 1001315
Dan Ray Strelow Executive vice president and co-chief investment officer-fixed income 1 Apr 2001 Other 4380783
Anne Marie Trebino Senior vice president 1 Apr 2001 Other 4519322
John Scott Lombardo Director, executive vice president and chief financial officer 1 Jul 2001 Other 4518015
Mary Ruth Moran Executive vice president and head of information systems and investment administration and operations 1 Oct 2001 Other 4518021
C Kim Goodwin Managing director and chief investment officer-equities 1 Sep 2002 Other 2970795
C. Kim Goodwin Managing director and chief investment officer-equities 1 Sep 2002 Other 2970795
Mary Theresa Lomasney Chief compliance officer and senior vice president 1 Mar 2003 Other 1553484
Mark Anthony Marinella Managing director and chief investment officer - fixed income 1 Mar 2003 Other 1001315
Laurence Douglas Fink Chairman and chief executive officer 1 Jan 2005 Other 830137
Ralph Lewis Schlosstein President 1 Jan 2005 Other 2041885
Robert Steven Kapito Vice chairman 1 Jan 2005 Other 728399
Robert Peter Connolly General counsel, managing director and secretary 1 Jan 2005 Other 2024363
Henry Gabbay Managing director, chief administrative officer - portfolio compliance 1 Jan 2005 Other 2041887
Bartholomew Angelo Battista Managing director and chief compliance officer 1 Jan 2005 Other 1263745
Paul L Audet Chief financial officer and managing director 1 Jan 2005 Other 4340709
Steven E. Buller Chief financial officer 1 Oct 2005 Other 5050207
Paul L Audet Chief financial officer 1 Apr 2007 Other 4340709
Charles Shaul Hallac Chief administrative officer & managing director 1 Jul 2007 Other 1523213
Robert S Kapito President 1 Sep 2007 Other 728399
Robert Steven Kapito President 1 Sep 2007 Other 728399
Ann Marie Petach Chief financial officer & managing director 1 Jun 2008 Other 5569378
Susan Lynne Wagner Vice chariman & chief operating officer 1 Mar 2009 Other 1310482
Charles Shaul Hallac Vice chairman & co-chief operating officer 1 Mar 2009 Other 1523213

Indirect Owners

The SEC currently registers 13 indirect owners.

Name Entity Date acquired Ownership Employer ID
Metropolitan Life Insurance Company Direct stockholder 1 Feb 1983 75% - 100% 4095
Metropolitan Tower Corporation Direct stockholder 1 Apr 1993 75% - 100% 22-2094447
Inc. Blackrock Advisors Sole shareholder 1 Oct 1994 75% - 100% 23-2784752
Inc. The Pnc Financial Services Group Sole shareholder 1 Mar 1995 75% - 100% 23-6477964
Inc. Blackrock Sole shareholder 1 Mar 1998 75% - 100% 51-0380803
Inc. Metlife Direct stockholder 1 Apr 2000 75% - 100% 13-4075851
Metropolitan Life Insurance Company Direct stockholder 1 Nov 2001 75% - 100% 4095
Inc. Pnc Bancorp Shareholder 1 Jan 2005 50% - 75% 51-0326854
Inc Blackrock Financial Management Sole shareholder 1 Jan 2005 75% - 100% 107105
Inc. Blackrock Sole shareholder 1 Sep 2006 75% - 100% 51-0380803
Llc Blackrock Holdco 1 Sole shareholder 1 Sep 2006 75% - 100% 68-0635710
Llc Br Holdco 2 Sole shareholder 1 Sep 2006 75% - 100% 68-0635711
Inc. Blackrock Holdco 2 Sole shareholder 1 Sep 2006 75% - 100% 68-0635711

Based in Boston

The principal office where State Street Research & Management Company performs its advisory services is located at One Financial Center, Boston, MA 02111, which is also the mailing address of the firm. An additional office of the firm is in New York, NY. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 617-357-1200 or by fax 617-261-7785. The normal business hours are 9:00am to 5:00pm on Monday - Friday. You can find more information about the New York firm at www.statestreetresearch.com.

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