{ "crd_number": 111208, "slug": "newton-investment-management-ltd-london-111208", "primary_business_name": "NEWTON INVESTMENT MANAGEMENT LTD", "legal_name": "NEWTON INVESTMENT MANAGEMENT LTD", "dbas": [ "BNY INVESTMENTS NEWTON" ], "city": "London", "state": null, "country": "United Kingdom", "cbsa_code": null, "metro": null, "registration_type": "sec", "registration_status": "Approved", "registration_date": "1992-08-27", "years_registered": 34, "period": "2026-10-01", "filing_date": "2026-07-22", "carried_forward": false, "raum_total": 42388859396.0, "raum_discretionary": 42339190758.0, "raum_non_discretionary": 49668638.0, "raum_band": "over_5b", "raum_band_label": "Over $5 billion", "total_employees": 63, "advisory_employees": 47, "client_count_bucket": "fewer_than_5_in_some_types", "clients_by_type": { "charitable": { "raum": 2204828383.0, "count": 27 }, "banking_thrift": { "raum": 378422114.0, "count": null, "fewer_than_5": true }, "investment_companies": { "raum": 2663875618.0, "count": 9 }, "pooled_investment_vehicles": { "raum": 36170627436.0, "count": 63 }, "sovereign_wealth_foreign_official": { "raum": 971105845.0, "count": null, "fewer_than_5": true } }, "compensation_types": [ "percentage_of_aum", "performance_based" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_investment_companies", "portfolio_management_pooled_vehicles" ], "wrap_fee_participant": false, "disclosure_yes_count": 5, "states_registered": [], "websites": [ "https://en.wikipedia.org/WIKI/NEWTON_INVESTMENT_MANAGEMENT", "https://facebook.com/people/Newton-Newtonim/pfbid0239n5cseSxsZ5Vz7wERV8WBDQ3wJGD9kFNT4qXHX5cYtwcfUZTXLoeWbG4BMq5zFxl", "https://instagram.com/NEWTONIM", "https://linkedin.com/company/bny-investments-newton", "https://newtonim.com", "https://newtonim.com/CANADA", "https://newtonim.com/US-INSTITUTIONAL", "https://x.com/NEWTONIM" ], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/111208", "disclosure_items": [ { "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(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(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.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?" } ], "city_as_filed": "LONDON", "url": "https://advisorcensus.com/firm/newton-investment-management-ltd-london-111208", "display_name": "Newton Investment Management Ltd", "summary": "Newton Investment Management Ltd is an SEC-registered investment advisory firm in London, United Kingdom, registered since 1992, reporting over $5 billion in regulatory assets under management in its Form ADV filing dated July 22, 2026.", "citation": "AdvisorCensus. Newton Investment Management Ltd (CRD 111208): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management", "Performance-based fees" ], "advisory_activity_labels": [ "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" ], "quick_answers": [ { "q": "How is Newton Investment Management Ltd compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Newton Investment Management Ltd reports these compensation arrangements: a percentage of assets under its management; performance-based fees. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Newton Investment Management Ltd located?", "a": "Newton Investment Management Ltd's principal office is in London, United Kingdom, according to its Form ADV." }, { "q": "Is Newton Investment Management Ltd registered with the SEC or a state?", "a": "Newton Investment Management Ltd is an SEC-registered investment advisory firm, registered since 1992. Status as filed: Approved. CRD 111208." }, { "q": "How much does Newton Investment Management Ltd manage?", "a": "Newton Investment Management Ltd reports $42,388,859,396 in regulatory assets under management in its Form ADV filing dated July 22, 2026 (100% discretionary)." }, { "q": "How have Newton Investment Management Ltd's assets and staff changed since 2021?", "a": "In the Form ADV data for Newton Investment Management Ltd: Regulatory assets under management: $62,135,004,788 in the October 2021 data and $42,388,859,396 in the October 2026 data, down 32%. Total employees: 382 in October 2021 and 63 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Newton Investment Management Ltd serve?", "a": "By number of clients on Form ADV Item 5.D: pooled investment vehicles (other than investment companies and business development companies) (63); charitable organizations (27); investment companies (9)." }, { "q": "Which custodians does Newton Investment Management Ltd use?", "a": "Newton Investment Management Ltd's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists The Northern Trust Company, London Branch, State Street Bank and Trust Company and The Bank of New York Mellon London, Branch (affiliated with the firm) as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Newton Investment Management Ltd report any disciplinary disclosures?", "a": "Reports 5 disclosure items on Form ADV Item 11: yes answers to 11.C(2) (SEC or CFTC finding of a violation), 11.C(5) (SEC or CFTC civil money penalty or cease-and-desist order), 11.D(2) (another regulator's finding of a violation), 11.D(4) (another regulator's order in the past ten years), and 11.H(1)(c) (regulator's civil action dismissed under a settlement). 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/111208" }, { "q": "What changed in Newton Investment Management Ltd's recent Form ADV filings?", "a": "In the August 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 62135004788.0, "total_employees": 382, "filing_date": "2021-09-08" }, { "period": "2022-10-01", "regulatory_assets_under_management": 64164805555.0, "total_employees": 361, "filing_date": "2022-08-08" }, { "period": "2023-10-01", "regulatory_assets_under_management": 47438541294.0, "total_employees": 321, "filing_date": "2023-03-31" }, { "period": "2024-10-01", "regulatory_assets_under_management": 45249123033.0, "total_employees": 269, "filing_date": "2024-08-20" }, { "period": "2025-10-01", "regulatory_assets_under_management": 39203992919.0, "total_employees": 238, "filing_date": "2025-07-31" }, { "period": "2026-10-01", "regulatory_assets_under_management": 42388859396.0, "total_employees": 63, "filing_date": "2026-07-22" } ], "recent_changes": [ { "period": "2026-08-01", "period_label": "August 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-06-01", "period_label": "June 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] }, { "period": "2026-04-01", "period_label": "April 2026", "notes": [ "Employees performing advisory functions went from 63 to 47." ] }, { "period": "2026-02-01", "period_label": "February 2026", "notes": [ "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "The Northern Trust Company, London Branch", "name_as_filed": "NEWTON INVESTMENT MANAGEMENT", "affiliated": false }, { "name": "State Street Bank and Trust Company", "name_as_filed": "NEWTON INVESTMENT MANAGEMENT", "affiliated": false }, { "name": "The Bank of New York Mellon London, Branch", "name_as_filed": "THE BANK OF NEW YORK MELLON LONDON, BRANCH", "affiliated": true } ], "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/newton-investment-management-ltd-london-111208.md", "clients": [ { "type": "banking_thrift", "label": "Banking or thrift institutions", "count": null, "fewer_than_5": true, "raum": 378422114.0 }, { "type": "investment_companies", "label": "Investment companies", "count": 9, "fewer_than_5": false, "raum": 2663875618.0 }, { "type": "pooled_investment_vehicles", "label": "Pooled investment vehicles (other than investment companies and business development companies)", "count": 63, "fewer_than_5": false, "raum": 36170627436.0 }, { "type": "charitable", "label": "Charitable organizations", "count": 27, "fewer_than_5": false, "raum": 2204828383.0 }, { "type": "sovereign_wealth_foreign_official", "label": "Sovereign wealth funds and foreign official institutions", "count": null, "fewer_than_5": true, "raum": 971105845.0 } ], "disclosure_line": "Reports 5 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/111208", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }