{
  "crd_number": 104518,
  "slug": "dws-investment-management-americas-inc-new-york-ny-104518",
  "primary_business_name": "DWS INVESTMENT MANAGEMENT AMERICAS, INC.",
  "legal_name": "DWS INVESTMENT MANAGEMENT AMERICAS, INC.",
  "dbas": [
    "DWS"
  ],
  "city": "New York",
  "state": "NY",
  "country": "United States",
  "cbsa_code": "35620",
  "metro": {
    "cbsa_code": "35620",
    "common_name": "New York",
    "msa_name": "New York-Newark-Jersey City, NY-NJ",
    "path": "/advisors/ny/new-york"
  },
  "registration_type": "sec",
  "registration_status": "Approved",
  "registration_date": "1940-11-01",
  "years_registered": 85,
  "period": "2026-10-01",
  "filing_date": "2026-09-17",
  "carried_forward": false,
  "raum_total": 199663682816.0,
  "raum_discretionary": 196431598979.0,
  "raum_non_discretionary": 3232083837.0,
  "raum_band": "over_5b",
  "raum_band_label": "Over $5 billion",
  "total_employees": 452,
  "advisory_employees": 91,
  "client_count_bucket": "fewer_than_5_in_some_types",
  "clients_by_type": {
    "other": {
      "raum": 1499202517.0,
      "count": 5,
      "description": "NON-US GOVT/NON-GOVT PENSION"
    },
    "charitable": {
      "raum": 2174129028.0,
      "count": 3,
      "fewer_than_5": true
    },
    "individuals": {
      "raum": 0.0,
      "count": 0
    },
    "banking_thrift": {
      "raum": 2075203836.0,
      "count": 2,
      "fewer_than_5": true
    },
    "state_municipal": {
      "raum": 1778681719.0,
      "count": 2,
      "fewer_than_5": true
    },
    "insurance_companies": {
      "raum": 86740668386.0,
      "count": 47
    },
    "investment_companies": {
      "raum": 69205060103.0,
      "count": 55
    },
    "pension_profit_sharing": {
      "raum": 1906992593.0,
      "count": 4,
      "fewer_than_5": true
    },
    "other_investment_advisers": {
      "raum": 119062030.0,
      "count": 3,
      "fewer_than_5": true
    },
    "high_net_worth_individuals": {
      "raum": 91927122.0,
      "count": 7
    },
    "pooled_investment_vehicles": {
      "raum": 15134148903.0,
      "count": 7
    },
    "corporations_other_businesses": {
      "raum": 13487195623.0,
      "count": 20
    },
    "business_development_companies": {
      "raum": 371951282.0,
      "count": 1
    },
    "sovereign_wealth_foreign_official": {
      "raum": 5079459674.0,
      "count": 3,
      "fewer_than_5": true
    }
  },
  "compensation_types": [
    "fixed",
    "percentage_of_aum",
    "performance_based"
  ],
  "advisory_activities": [
    "portfolio_management_businesses_institutional",
    "portfolio_management_individuals",
    "portfolio_management_investment_companies",
    "portfolio_management_pooled_vehicles",
    "selection_of_other_advisers"
  ],
  "wrap_fee_participant": true,
  "disclosure_yes_count": 15,
  "states_registered": [
    "AK",
    "AL",
    "AR",
    "AZ",
    "CA",
    "CO",
    "CT",
    "DC",
    "DE",
    "FL",
    "GA",
    "HI",
    "IA",
    "ID",
    "IL",
    "IN",
    "KS",
    "KY",
    "LA",
    "MA",
    "MD",
    "ME",
    "MI",
    "MN",
    "MO",
    "MS",
    "MT",
    "NC",
    "ND",
    "NE",
    "NH",
    "NJ",
    "NM",
    "NV",
    "NY",
    "OH",
    "OK",
    "OR",
    "PA",
    "PR",
    "RI",
    "SC",
    "SD",
    "TN",
    "TX",
    "UT",
    "VA",
    "VT",
    "WA",
    "WI",
    "WV",
    "WY"
  ],
  "websites": [
    "https://dws.com",
    "https://facebook.com/DWS",
    "https://linkedin.com/COMPANY/DWS-GROUP-COM",
    "https://twitter.com/DWS_Group",
    "https://youtube.com/channel/UCRl-Si4_oRlvl4VWBBNsDgg"
  ],
  "iapd_url": "https://adviserinfo.sec.gov/firm/summary/104518",
  "disclosure_items": [
    {
      "item": "11.A(2)",
      "question": "In the past ten years, has the firm or an advisory affiliate been charged with a felony?"
    },
    {
      "item": "11.C(1)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate made a false statement or omission?"
    },
    {
      "item": "11.C(2)",
      "question": "Has the SEC or the CFTC ever found that the firm or an advisory affiliate was involved in a violation of SEC or CFTC regulations or statutes?"
    },
    {
      "item": "11.C(4)",
      "question": "Has the SEC or the CFTC ever entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.C(5)",
      "question": "Has the SEC or the CFTC ever imposed a civil money penalty on the firm or an advisory affiliate, or ordered the firm or an advisory affiliate to cease and desist from an activity?"
    },
    {
      "item": "11.D(1)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate made a false statement or omission, or was dishonest, unfair, or unethical?"
    },
    {
      "item": "11.D(2)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever found that the firm or an advisory affiliate was involved in a violation of investment-related regulations or statutes?"
    },
    {
      "item": "11.D(4)",
      "question": "In the past ten years, has another federal regulator, a state regulator, or a foreign financial regulator entered an order against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.D(5)",
      "question": "Has another federal regulator, a state regulator, or a foreign financial regulator ever denied, suspended, or revoked the registration or license of the firm or an advisory affiliate, prevented either by order from associating with an investment-related business, or restricted either one's activity?"
    },
    {
      "item": "11.E(2)",
      "question": "Has a self-regulatory organization or a commodities exchange ever found that the firm or an advisory affiliate was involved in a violation of its rules, other than a minor rule violation under a plan the SEC approved?"
    },
    {
      "item": "11.G",
      "question": "Is the firm or an advisory affiliate now the subject of a regulatory proceeding that could result in a yes answer to any part of 11.C, 11.D, or 11.E?"
    },
    {
      "item": "11.H(1)(a)",
      "question": "In the past ten years, has a domestic or foreign court issued an injunction against the firm or an advisory affiliate in connection with investment-related activity?"
    },
    {
      "item": "11.H(1)(b)",
      "question": "Has a domestic or foreign court ever found that the firm or an advisory affiliate was involved in a violation of investment-related statutes or regulations?"
    },
    {
      "item": "11.H(1)(c)",
      "question": "Has a domestic or foreign court ever dismissed, under a settlement agreement, an investment-related civil action brought against the firm or an advisory affiliate by a state or foreign financial regulator?"
    },
    {
      "item": "11.H(2)",
      "question": "Is the firm or an advisory affiliate now the subject of a civil proceeding that could result in a yes answer to any part of 11.H(1)?"
    }
  ],
  "city_as_filed": "NEW YORK",
  "url": "https://advisorcensus.com/firm/dws-investment-management-americas-inc-new-york-ny-104518",
  "display_name": "DWS Investment Management Americas, Inc.",
  "summary": "DWS Investment Management Americas, Inc. is an SEC-registered investment advisory firm in New York, NY, registered since 1940, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated September 17, 2026.",
  "citation": "AdvisorCensus. DWS Investment Management Americas, Inc. (CRD 104518): Form ADV filing data as of October 2026.",
  "registration_type_label": "SEC-registered investment adviser",
  "compensation_labels": [
    "A percentage of assets under your management",
    "Fixed fees (other than subscription fees)",
    "Performance-based fees"
  ],
  "advisory_activity_labels": [
    "Portfolio management for individuals and/or small businesses",
    "Portfolio management for investment companies (and business development companies)",
    "Portfolio management for pooled investment vehicles (other than investment companies)",
    "Portfolio management for businesses (other than small businesses) or institutional clients",
    "Selection of other advisers (including private fund managers)"
  ],
  "quick_answers": [
    {
      "q": "How is DWS Investment Management Americas, Inc. compensated?",
      "a": "On its Form ADV (Item 5.E, October 2026), DWS Investment Management Americas, Inc. reports these compensation arrangements: a percentage of assets under its management; fixed fees (other than subscription fees); performance-based fees."
    },
    {
      "q": "Where is DWS Investment Management Americas, Inc. located?",
      "a": "DWS Investment Management Americas, Inc.'s principal office is in New York, NY, according to its Form ADV; the October 2026 filing also lists 5 other offices (Schedule D, Section 1.F)."
    },
    {
      "q": "Is DWS Investment Management Americas, Inc. registered with the SEC or a state?",
      "a": "DWS Investment Management Americas, Inc. is an SEC-registered investment advisory firm, registered since 1940. Status as filed: Approved. CRD 104518."
    },
    {
      "q": "How much does DWS Investment Management Americas, Inc. manage?",
      "a": "DWS Investment Management Americas, Inc. reports $199,663,682,816 in regulatory assets under management in its Form ADV filing dated September 17, 2026 (98% discretionary)."
    },
    {
      "q": "How have DWS Investment Management Americas, Inc.'s assets and staff changed since 2021?",
      "a": "In the Form ADV data for DWS Investment Management Americas, Inc.: Regulatory assets under management: $200,769,785,921 in the October 2021 data and $199,663,682,816 in the October 2026 data, down 1%. Total employees: 440 in October 2021 and 452 in October 2026. Assets under management move with markets as well as with clients coming and going."
    },
    {
      "q": "What types of clients does DWS Investment Management Americas, Inc. serve?",
      "a": "By number of clients on Form ADV Item 5.D: investment companies (55); insurance companies (47); corporations or other businesses not listed above (20)."
    },
    {
      "q": "Which custodians does DWS Investment Management Americas, Inc. use?",
      "a": "DWS Investment Management Americas, Inc.'s most recent Form ADV filing (Schedule D, Section 5.K(3)) lists JPMorgan Chase & Co., The Bank of New York Mellon Corporation and The Northern Trust Company as custodians holding 10% or more of its separately managed account assets."
    },
    {
      "q": "Does DWS Investment Management Americas, Inc. report any disciplinary disclosures?",
      "a": "Reports 15 disclosure items on Form ADV Item 11: yes answers to 1 question about criminal matters, 10 questions about regulatory matters, and 4 questions about civil court matters (11.A(2), 11.C(1), 11.C(2), 11.C(4), 11.C(5), 11.D(1), 11.D(2), 11.D(4), 11.D(5), 11.E(2), 11.G, 11.H(1)(a), 11.H(1)(b), 11.H(1)(c), 11.H(2)). Each question covers the firm and its advisory affiliates, and one event can produce several yes answers. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/104518"
    },
    {
      "q": "What changed in DWS Investment Management Americas, Inc.'s recent Form ADV filings?",
      "a": "In the April 2026 filing data: Employees performing advisory functions went from 92 to 91."
    }
  ],
  "filing_history": [
    {
      "period": "2021-10-01",
      "regulatory_assets_under_management": 200769785921.0,
      "total_employees": 440,
      "filing_date": "2021-09-28"
    },
    {
      "period": "2022-10-01",
      "regulatory_assets_under_management": 207205510236.0,
      "total_employees": 442,
      "filing_date": "2022-08-30"
    },
    {
      "period": "2023-10-01",
      "regulatory_assets_under_management": 164890183366.0,
      "total_employees": 506,
      "filing_date": "2023-08-10"
    },
    {
      "period": "2024-10-01",
      "regulatory_assets_under_management": 173044132320.0,
      "total_employees": 487,
      "filing_date": "2024-08-30"
    },
    {
      "period": "2025-10-01",
      "regulatory_assets_under_management": 193108369361.0,
      "total_employees": 479,
      "filing_date": "2025-07-11"
    },
    {
      "period": "2026-10-01",
      "regulatory_assets_under_management": 199663682816.0,
      "total_employees": 452,
      "filing_date": "2026-09-17"
    }
  ],
  "recent_changes": [
    {
      "period": "2026-04-01",
      "period_label": "April 2026",
      "notes": [
        "Employees performing advisory functions went from 92 to 91."
      ]
    }
  ],
  "fees_from_brochure": null,
  "custodians": [
    {
      "name": "JPMorgan Chase & Co.",
      "name_as_filed": "JPMORGAN CHASE & CO.",
      "affiliated": false
    },
    {
      "name": "The Bank of New York Mellon Corporation",
      "name_as_filed": "THE BANK OF NEW YORK MELLON CORPORATION",
      "affiliated": false
    },
    {
      "name": "The Northern Trust Company",
      "name_as_filed": "THE NORTHERN TRUST COMPANY",
      "affiliated": false
    }
  ],
  "custodians_note": "Custodians holding 10% or more of the firm's separately managed account assets, as filed on Form ADV (Schedule D, Section 5.K(3)). A custodian holds client assets; it does not endorse or supervise the firm. AdvisorCensus has no relationship with any custodian.",
  "markdown_url": "https://advisorcensus.com/firm/dws-investment-management-americas-inc-new-york-ny-104518.md",
  "clients": [
    {
      "type": "individuals",
      "label": "Individuals (other than high net worth individuals)",
      "count": 0,
      "fewer_than_5": false,
      "raum": 0.0
    },
    {
      "type": "high_net_worth_individuals",
      "label": "High net worth individuals",
      "count": 7,
      "fewer_than_5": false,
      "raum": 91927122.0
    },
    {
      "type": "banking_thrift",
      "label": "Banking or thrift institutions",
      "count": 2,
      "fewer_than_5": true,
      "raum": 2075203836.0
    },
    {
      "type": "investment_companies",
      "label": "Investment companies",
      "count": 55,
      "fewer_than_5": false,
      "raum": 69205060103.0
    },
    {
      "type": "business_development_companies",
      "label": "Business development companies",
      "count": 1,
      "fewer_than_5": false,
      "raum": 371951282.0
    },
    {
      "type": "pooled_investment_vehicles",
      "label": "Pooled investment vehicles (other than investment companies and business development companies)",
      "count": 7,
      "fewer_than_5": false,
      "raum": 15134148903.0
    },
    {
      "type": "pension_profit_sharing",
      "label": "Pension and profit sharing plans (but not the plan participants or government pension plans)",
      "count": 4,
      "fewer_than_5": true,
      "raum": 1906992593.0
    },
    {
      "type": "charitable",
      "label": "Charitable organizations",
      "count": 3,
      "fewer_than_5": true,
      "raum": 2174129028.0
    },
    {
      "type": "state_municipal",
      "label": "State or municipal government entities (including government pension plans)",
      "count": 2,
      "fewer_than_5": true,
      "raum": 1778681719.0
    },
    {
      "type": "other_investment_advisers",
      "label": "Other investment advisers",
      "count": 3,
      "fewer_than_5": true,
      "raum": 119062030.0
    },
    {
      "type": "insurance_companies",
      "label": "Insurance companies",
      "count": 47,
      "fewer_than_5": false,
      "raum": 86740668386.0
    },
    {
      "type": "sovereign_wealth_foreign_official",
      "label": "Sovereign wealth funds and foreign official institutions",
      "count": 3,
      "fewer_than_5": true,
      "raum": 5079459674.0
    },
    {
      "type": "corporations_other_businesses",
      "label": "Corporations or other businesses not listed above",
      "count": 20,
      "fewer_than_5": false,
      "raum": 13487195623.0
    },
    {
      "type": "other",
      "label": "Other",
      "count": 5,
      "fewer_than_5": false,
      "raum": 1499202517.0
    }
  ],
  "disclosure_line": "Reports 15 disclosure items on Form ADV Item 11.",
  "indexable": true,
  "suppressed": false,
  "claimed": false,
  "enhanced": false,
  "provided_by_the_firm": null,
  "source": {
    "name": "Form ADV",
    "as_of": "2026-10-01",
    "iapd_url": "https://adviserinfo.sec.gov/firm/summary/104518",
    "operator": "BH Monitor Services, LLC",
    "license": "https://creativecommons.org/licenses/by/4.0/",
    "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data"
  }
}