Part 2A of Form ADV: Firm Brochure Boston Partners Global ...
Part 2A of Form ADV: Firm Brochure Item 1 ? Cover page
Boston Partners Global Investors, Inc.
909 Third Avenue, 32nd Floor
P
P
New York, NY 10022
Phone number: (617) 832-8286
Fax number: (212) 812-7451
boston-
klengieza@boston-
This brochure provides information about the qualifications and business practices of Boston Partners Global Investors, Inc. ("Boston Partners"). If you have any questions about the contents of this brochure, please contact us at: (617) 832-8286, or by email at: klengieza@boston-. The information in this brochure has not been approved or verified by the United States Securities and Exchange Commission, or by any state securities authority.
Additional information about Boston Partners is available on the SEC's website at
adviserinfo..
36TU
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Any reference to Boston Partners Global Investors, Inc., a "registered investment advisor" or as being "registered", does not imply a certain level of skill or training.
The date of this brochure is March 14, 2019
Boston Partners
Item 2 - Material Changes Annual Update The Material Changes section of this brochure will be updated annually when material changes occur since the previous release of the Firm Brochure. The last annual update was March 15, 2018. Material Changes since the Last Annual Update The U.S. Securities and Exchange Commission issued a final rule in July 2010 requiring advisers to provide a Firm Brochure in narrative "plain English" format. The new final rule specifies mandatory sections and organization. There were material changes since the last annual update, dated March 15, 2018.
1. William G. Butterly, III, General Counsel and Secretary, has been appointed Director of Sustainability and Engagement, effective as of June 1, 2018. He resigned as Chief Compliance Officer, effective as of June 1, 2018.
2. Kenneth M. Lengieza has been appointed Chief Compliance Officer, effective as of June 1, 2018.
3. The principal office location of Boston Partners Global Investors, Inc. will be One Grand Central Place, 60 East 42nd Street, Suite 1550, New York, NY, 10165, effective as of June 1, 2019. Our clients will be notified several weeks in advance.
Full Brochure Available Whenever you would like to receive a complete copy of our Firm Brochure, please contact us by telephone at: (617) 832-8268 or by email at: klengieza@.
i Boston Partners
Item 3 ? Table of Contents
Table of Contents
Item 1 ? Cover page ....................................................................................................... i
Item 2 - Material Changes .............................................................................................. i Annual Update ............................................................................................................ i Material Changes since the Last Annual Update ........................................................ i Full Brochure Available ............................................................................................... i
Item 3 ? Table of Contents............................................................................................ 1
Item 4 - Advisory Business .......................................................................................... 1 A. Firm Description and Principal Owners ................................................................ 1 B. Types of Advisory Services .................................................................................. 1 C. Tailored Relationships .......................................................................................... 2 D. Wrap Fee Programs .............................................................................................. 3 E. Client Assets......................................................................................................... 4
Item 5 - Fees and Compensation ................................................................................. 4 A. Description............................................................................................................ 4 B. Fee Billing............................................................................................................. 8 C. Other Fees, including Custodian Fees, Mutual Fund Expenses, Brokerage and Other Transaction Costs ............................................................................................ 9 D. Fees Paid in Advance, and Refunds if Advisory Contract is Terminated Before End of Billing Period................................................................................................... 9 E. Compensation to Supervised Persons ................................................................. 9
Item 6 - Performance-Based Fees.............................................................................. 10 Performance-Based Fees ........................................................................................ 10
Item 7 - Types of Clients ............................................................................................. 10 Description ............................................................................................................... 10 Account Minimums................................................................................................... 10
Item 8 - Methods of Analysis, Investment Strategies and Risk of Loss ................. 10 A. Methods of Analysis and Investment Strategies Used........................................ 10 8.A.1. Boston Partners ............................................................................................ 10 8.A.2. WPG Partners Small Cap Value and WPG Partners Micro Cap Opportunities ................................................................................................................................. 13
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8.A.3. Boston Partners and WPG Partners - US Issuer Disclosure ........................ 17 8.A.4. Robeco Institutional Asset Management US Inc.'s products ........................ 17 8.A.5. Boston Partners Alternative Yield Strategy................................................... 18 B. Material Risks for Investment Strategies or Method of Analyses Used .............. 19 C. Material Risks In Recommending Primarily a Particular Type of Security .......... 20
Item 9 - Disciplinary Information................................................................................ 20 A. Legal and Disciplinary Disclosure....................................................................... 20 B. Legal and Disciplinary Disclosure....................................................................... 20 C. Legal and Disciplinary Disclosure....................................................................... 20
Item 10 - Other Financial Industry Activities and Affiliations .................................. 20 A. Financial Industry Activities ................................................................................ 20 B. Financial Industry Activities ................................................................................ 20 C. Affiliations ........................................................................................................... 21 D. Material Conflicts of Interest ............................................................................... 22
Item 11 - Code of Ethics, Participation or Interest in Client Transactions and Personal Trading ......................................................................................................... 22
A. Code of Ethics .................................................................................................... 22 B. Participation or Interest in Client Transactions ................................................... 23 C. Personal Trading ................................................................................................ 24 D. Recommendations of Securities to Clients ......................................................... 24
Item 12 - Brokerage Practices .................................................................................... 26 A. Selecting Brokerage Firms ................................................................................. 26 12.A.1. Research and Other Soft Dollar Benefits.................................................... 26 12.A.2. Brokerage for Client Referrals .................................................................... 28 12.A.3. Directed Brokerage..................................................................................... 28 B. Order Aggregation .............................................................................................. 30
Item 13 - Review of Accounts..................................................................................... 31 A. Periodic Reviews ................................................................................................ 31 B. Review Triggers.................................................................................................. 31 C. Regular Reports ................................................................................................. 31
Item 14 - Client Referrals and Other Compensation................................................. 32 A. Third Party Payments ......................................................................................... 32 B. Retention of Solicitors......................................................................................... 32
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Item 15 - Custody ........................................................................................................ 32
Item 16 - Investment Discretion ................................................................................. 32
Item 17 - Voting Client Securities............................................................................... 32 Proxy Votes ............................................................................................................. 32
Item 18 - Financial Information .................................................................................. 33 Financial Condition .................................................................................................. 33
Item 19 ? Requirements for State-Registered Advisers........................................... 34
Item 20 - Business Continuity Plan............................................................................ 34 General .................................................................................................................... 34
BUSINESS RESUMPTION HIGHLIGHTS .................................................................... 34
Item 21 - Information Security Program .................................................................... 35 Privacy Notice .......................................................................................................... 35
Brochure Supplement (Part 2B of Form ADV) .......................................................... 38 Education and Business Standards ......................................................................... 38 Professional Certifications ....................................................................................... 38 STAN H. KOYANAGI ............................................................................................... 40 DAVID G. VAN HOOSER ........................................................................................ 41 PAUL E. WILSON, CPA........................................................................................... 42 MARK E. DONOVAN: CFA ..................................................................................... 43 JOSEPH F. FEENEY, JR.: CFA.............................................................................. 44 WILLIAM G. BUTTERLY, III: J.D. ............................................................................ 45 MATTHEW J. DAVIS: CPA ..................................................................................... 46 KENNETH M. LENGIEZA ........................................................................................ 47 GREG A. VARNER .................................................................................................. 48 PORTFOLIO MANAGEMENT AND RESEARCH ANALYSTS ................................ 49 DAVID T. COHEN: CFA.......................................................................................... 49 ERIC S. CONNERLY: CFA .................................................................................... 50 DAVID M. DABORA: CFA...................................................................................... 51 ERIC GANDHI: CFA ............................................................................................... 52 GEORGE GUMPERT: CFA .................................................................................... 53 CHRISTOPHER K. HART: CFA............................................................................. 54 TODD G. HAWTHORNE ......................................................................................... 55
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