Threadneedle International Ltd. (London)

Name: Threadneedle International Ltd.
Address: Cannon Place, London, Ec4 N 6 Ag
Telephone: 0044-20-7464-5000

Threadneedle International Ltd. is a large advisory firm based in London. It manages $1.94 billion of regulatory assets for 9 client accounts. It has been registered with the SEC as an adviser since 2004 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 46 other states.

Threadneedle International provides portfolio management for individuals and small businesses, portfolio management for investment companies, 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.

Threadneedle International: assets under management

The assets under management (AUM) of Threadneedle International Ltd. is $1.94 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 268% since the beginning of its operation, and $10.1 million of the total AUM is attributable to clients outside of the United States.

The firm manages $1.94 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $215.61 million each.

Investments

The firm invests in exchange traded securities the most. They account for 95% of the total AUM. The second-largest asset type is government bonds, which make up 3% of the firm’s portfolio. Investments in cash and cash equivalents form 2% of the total invested assets.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Threadneedle International Ltd. 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 Simon Howard Davies serves?

The firm provides services to insurance companies, investment companies, and state or municipal government entities. The largest group of clients of Simon Howard Davies is investment companies with 7 clients and $1.63 billion of assets under management. Among the 10 most similar advisory firms, Threadneedle International has the 2nd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $1.94 billion for 9 clients. 38% of the firm’s clients are foreign persons or businesses.

Threadneedle International doesn't advise any private funds.

Careers at Threadneedle International Ltd.

The company employs 827 people that are either part- or full-time employees. 19 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There are 2 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Simon Howard Davies has been acting as President since 1 Jun 1999. Peter William Stone joined the executive team most recently as the Chief Financial Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Threadneedle Asset Management Holdings Limited	Direct owner	1 May 1998	75% - 100%	foreign entity
Simon Howard Davies	Director	1 Jun 1999	Other	4341402
Alan Kaye	Secretary	1 Dec 1999	Other	4341405
William David Lowndes	Director-legal compliance and risk	1 Jun 2000	Other	4341407
Thomas William Challenor	Finance officer & director	1 Jun 2000	Other	4341400
David Frederick Sachon	Director	1 Jun 2000	Other	4352398
Crispin John Henderson	Chief operating officer & director	1 Mar 2002	Other	4793923
Crispin John Henderson	Chief operating officer & director	1 Jun 2002	Other	4793923
William David Lowndes	Director-legal compliance and risk, chief compliance officer and secretary	1 Oct 2004	Other	4341407
Timothy Nicholas Gillbanks	Director and chief finance officer	1 Mar 2005	Other	4935772
William David Lowndes	Director and company secretary	1 Jun 2006	Other	4341407
Mark Anthony John Cooper	Head of legal	1 Jun 2006	Other	5187133
David Gasparro	Director - head of distribution	1 Jun 2006	Other	4364931
John Adrian Varcoe Grimshaw	Chief administration officer	1 Jun 2006	Other	5187136
Gareth Henry John Taylor	Chief compliance officer	1 Jun 2006	Other	5187137
Philip James William Reed	General counsel	1 Mar 2007	Other	5301081
Crispin John Henderson	Director and ceo	1 Aug 2007	Other	4793923
John Adrian Varcoe Grimshaw	Director and chief administration officer	1 Oct 2007	Other	5187136
Philip James William Reed	Director and general counsel	1 Oct 2007	Other	5301081
William David Lowndes	Director	1 Dec 2007	Other	4341407
Philip James William Reed	Director, general counsel and company secretary	1 Dec 2007	Other	5301081
Philip William Best	Chief risk officer	1 Jul 2008	Other	5645789
Thomas William Challenor	Strategy officer & director	1 Aug 2008	Other	4341400
John Devine	Director and chief operating officer	1 Sep 2008	Other	5596954
John Devine	Director and chief operating officer	1 Nov 2008	Other	5596954
Abi Aileru Thomas	Head of legal	1 Jan 2009	Other	5645790
Kris Tate Haber	Global head of hedge funds	1 Nov 2009	Other	2421004
Campbell Fleming	Head of distribution	1 Nov 2009	Other	5032006
Timothy Nicholas Gillbanks	Chief financial and operations officer	1 Jan 2011	Other	4935772
Mark Andrew Burgess	Chief investment officer & director	1 Jan 2011	Other	6046395
Philip James William Reed	Director, general counsel, company secretary and chief compliance officer	1 Jul 2011	Other	5301081
Adrian Smart	Chief compliance officer	1 Jun 2012	Other	4516635
Nicholas J Ring	Director and head of north america distribution	1 Nov 2012	Other	4489387
Campbell David Fleming	Chief executive officer, global chief operations officer & director	1 Mar 2013	Other	5032006
Nicholas J Ring	Head of product & director	1 Mar 2013	Other	4489387
Campbell Fleming	Chief executive officer	1 Mar 2013	Other	5032006
Darrel James Buckley	Chief compliance officer	1 Feb 2016	Other	6615368
Michelle Sylvia Scrimgeour	Chief executive officer, emea	1 Apr 2017	Other	6164979
Peter William Stone	Chief financial officer	1 Feb 2019	Other	7088862

Indirect Owners

The SEC currently registers 8 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
American Express Company	Stockholder	1 Jan 1984	75% - 100%	13-4922250
American Express Financial Corporation	Stockholder	1 Sep 2003	75% - 100%	6320
Inc. Ameriprise Financial	Stockholder	1 Sep 2003	75% - 100%	6320
Inc. Ameriprise Financial	Stockholder	1 Jan 2009	75% - 100%	6320
Threadneedle Asset Management Holdings Sarl	Stockholder	1 Jan 2009	75% - 100%	none
Tam Uk Holdings Ltd	Stockholder	1 Jan 2009	75% - 100%	none
Threadneedle Asset Management Uk Holdings Ltd	Stockholder	1 Jan 2009	75% - 100%	none
Threadneedle Asset Management Uk Ltd	Stockholder	1 Oct 2010	75% - 100%	none

Based in London

The principal office where Threadneedle International Ltd. performs its advisory services is located at Cannon Place, London, Ec4 N 6 Ag, 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 0044-20-7464-5000 or by fax 0044-20-7464-5050. The normal business hours are 9:00 a.m. - 5:00 p.m. on Monday - Friday. You can find more information about the New York firm at columbiathreadneedle.com/us.