{ "crd_number": 106933, "slug": "sarofim-international-management-co-houston-tx-106933", "primary_business_name": "SAROFIM INTERNATIONAL MANAGEMENT CO", "legal_name": "SAROFIM INTERNATIONAL MANAGEMENT COMPANY LLC", "dbas": [ "SAROFIM INTERNATIONAL MANAGEMENT COMPANY" ], "city": "Houston", "state": "TX", "country": "United States", "cbsa_code": "26420", "metro": { "cbsa_code": "26420", "common_name": "Houston", "msa_name": "Houston-Pasadena-The Woodlands, TX", "path": "/advisors/tx/houston" }, "registration_type": "sec", "registration_status": "Approved", "registration_date": "1993-11-22", "years_registered": 32, "period": "2026-10-01", "filing_date": "2026-05-12", "carried_forward": false, "raum_total": 2411440302.0, "raum_discretionary": 2411440302.0, "raum_non_discretionary": 0.0, "raum_band": "1b_5b", "raum_band_label": "$1 billion to $5 billion", "total_employees": 26, "advisory_employees": 22, "client_count_bucket": null, "clients_by_type": { "high_net_worth_individuals": { "raum": 937125855.0, "count": 3 }, "corporations_other_businesses": { "raum": 1474314447.0, "count": 11 } }, "compensation_types": [ "percentage_of_aum" ], "advisory_activities": [ "portfolio_management_businesses_institutional", "portfolio_management_individuals" ], "wrap_fee_participant": false, "disclosure_yes_count": 0, "states_registered": [ "TX" ], "websites": [], "iapd_url": "https://adviserinfo.sec.gov/firm/summary/106933", "city_as_filed": "HOUSTON", "url": "https://advisorcensus.com/firm/sarofim-international-management-co-houston-tx-106933", "display_name": "Sarofim International Management Co", "summary": "Sarofim International Management Co is an SEC-registered investment advisory firm in Houston, TX, registered since 1993, reporting $1 billion to $5 billion in regulatory assets under management in its Form ADV filing dated May 12, 2026.", "citation": "AdvisorCensus. Sarofim International Management Co (CRD 106933): Form ADV filing data as of October 2026.", "registration_type_label": "SEC-registered investment adviser", "compensation_labels": [ "A percentage of assets under your management" ], "advisory_activity_labels": [ "Portfolio management for individuals and/or small businesses", "Portfolio management for businesses (other than small businesses) or institutional clients" ], "quick_answers": [ { "q": "How is Sarofim International Management Co compensated?", "a": "On its Form ADV (Item 5.E, October 2026), Sarofim International Management Co reports these compensation arrangements: a percentage of assets under its management. The amounts are in Item 5 of its Form ADV Part 2A brochure." }, { "q": "Where is Sarofim International Management Co located?", "a": "Sarofim International Management Co's principal office is in Houston, TX, according to its Form ADV." }, { "q": "Is Sarofim International Management Co registered with the SEC or a state?", "a": "Sarofim International Management Co is an SEC-registered investment advisory firm, registered since 1993. Status as filed: Approved. CRD 106933." }, { "q": "How much does Sarofim International Management Co manage?", "a": "Sarofim International Management Co reports $2,411,440,302 in regulatory assets under management in its Form ADV filing dated May 12, 2026 (100% discretionary)." }, { "q": "How have Sarofim International Management Co's assets and staff changed since 2021?", "a": "In the Form ADV data for Sarofim International Management Co: Regulatory assets under management: $6,529,053,577 in the October 2021 data and $2,411,440,302 in the October 2026 data, down 63%. Total employees: 22 in October 2021 and 26 in October 2026. Assets under management move with markets as well as with clients coming and going." }, { "q": "What types of clients does Sarofim International Management Co serve?", "a": "By number of clients on Form ADV Item 5.D: corporations or other businesses not listed above (11); high net worth individuals (3)." }, { "q": "Which custodians does Sarofim International Management Co use?", "a": "Sarofim International Management Co's most recent Form ADV filing (Schedule D, Section 5.K(3)) lists Credit Suisse Securities (USA) LLC and Papamarkou Wellner & Co., Inc. as custodians holding 10% or more of its separately managed account assets." }, { "q": "Does Sarofim International Management Co report any disciplinary disclosures?", "a": "Reports no disclosure items on Form ADV Item 11. The detail of any item is on the firm's SEC record: https://adviserinfo.sec.gov/firm/summary/106933" }, { "q": "What changed in Sarofim International Management Co's recent Form ADV filings?", "a": "In the June 2026 filing data: Updated its list of owners and control persons (Schedule A)." } ], "filing_history": [ { "period": "2021-10-01", "regulatory_assets_under_management": 6529053577.0, "total_employees": 22, "filing_date": "2021-03-25" }, { "period": "2022-10-01", "regulatory_assets_under_management": 7380362357.0, "total_employees": 25, "filing_date": "2022-07-22" }, { "period": "2023-10-01", "regulatory_assets_under_management": 6724227744.0, "total_employees": 25, "filing_date": "2023-03-24" }, { "period": "2024-10-01", "regulatory_assets_under_management": 5745441221.0, "total_employees": 28, "filing_date": "2024-03-26" }, { "period": "2025-10-01", "regulatory_assets_under_management": 2434016049.0, "total_employees": 28, "filing_date": "2025-06-11" }, { "period": "2026-10-01", "regulatory_assets_under_management": 2411440302.0, "total_employees": 26, "filing_date": "2026-05-12" } ], "recent_changes": [ { "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 21 to 22.", "Updated its list of owners and control persons (Schedule A)." ] } ], "fees_from_brochure": null, "custodians": [ { "name": "Credit Suisse Securities (USA) LLC", "name_as_filed": "CREDIT SUISSE SECURITIES (USA) LLC", "affiliated": false }, { "name": "Papamarkou Wellner & Co., Inc.", "name_as_filed": "PAPAMARKOU WELLNER & CO., INC.", "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/sarofim-international-management-co-houston-tx-106933.md", "clients": [ { "type": "high_net_worth_individuals", "label": "High net worth individuals", "count": 3, "fewer_than_5": false, "raum": 937125855.0 }, { "type": "corporations_other_businesses", "label": "Corporations or other businesses not listed above", "count": 11, "fewer_than_5": false, "raum": 1474314447.0 } ], "disclosure_line": "Reports no disclosure items on Form ADV Item 11.", "disclosure_items": [], "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/106933", "operator": "BH Monitor Services, LLC", "license": "https://creativecommons.org/licenses/by/4.0/", "credit": "AdvisorCensus (advisorcensus.com), from SEC Form ADV data" } }