2009 Money Managers Survey



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The International Newspaper of Money Management

Money Managers Survey for Year-end 2008

FIRM DESCRIPTION

Please review the firm information below and note any corrections or additions.

Org ID:

Firm:

Main address:

Main phone: Main fax: Website:

|Year founded: | | |Percent employee owned: | | | |50% or more minority or woman owned |

PARENT:

FIRM ASSETS

Report all data as of Dec. 31, 2008; assets in U.S. dollars, rounded to the nearest million (please do not use decimals); and exclude master trust/custody, global custody and assets under administration only from all answers. Where available, Dec. 31, 2007, data are displayed for reference.

Total assets under management

|Include both assets under internal management and assets passed to subadvisers for Q. 1a – 4a. |($ millions) | |($ millions) |

| |Dec. 31, 2007 | |Dec. 31, 2008 |

|1a. Total worldwide assets under management: | | | |

| | | | |

|1b. How much of Q. 1a was from institutional clients? | | | |

|2. Total U.S.-client assets under management: | | | |

|3. Total U.S. tax-exempt assets under management: | | | |

|Include IRAs, Keoghs and SARSEPs. | | | |

|4a. Total U.S. institutional, tax-exempt assets under management: | | | |

|Exclude IRAs, Keoghs and SARSEPs. | | | |

| | | | |

|4b. How much of Q. 4a was assigned to external managers who have full investment responsibility for those assets?| | | |

| | | | |

|U.S. institutional, tax-exempt assets under internal management | | | |

|5. Total U.S. institutional, tax-exempt assets under internal management: | | | |

|Exclude IRAs, Keoghs and SARSEPs. | | | |

| | | | |

IMPORTANT: Q. 5 must equal the difference of Q. 4a minus Q. 4b.

6. How were your internally managed U.S. institutional, tax-exempt assets invested? Break out multiasset accounts into their components; insurers should include only their internally managed U.S. institutional, tax-exempt assets; total must equal 100%.

| | |(%) | |(%) |

|Equity (include REITS) | | | | |

|Fixed income (include MBS & mortgages) | | | | |

|Equity real estate (include timber; exclude REITS) | | | | |

|Cash | | | | |

|Other * (specify):____________________ | | | | |

|Total | | | |100 |

* Include alternative investments, except equity real estate and timber; include convertibles.

7. What was the allocation of your internally managed U.S. institutional, tax-exempt assets to the following strategies? Break out multiasset accounts into their components; do not double count assets; Q. 7 total can be less than, but not exceed Q. 5. Please restrict your answers to the categories below.

| | |($ millions) | |($ millions) |

| | |Dec. 31, 2007 | |Dec. 31, 2008 |

|Equities | | | | |

|Exclude hedge funds | | | | |

|Active domestic | | | | |

|Passive domestic | | | | |

|Enhanced domestic indexed | | | | |

|Active international | | | | |

|International indexed | | | | |

|International enhanced indexed | | | | |

|REITS | | | | |

|Fixed income | | | | |

|Exclude hedge funds | | | | |

|Active domestic | | | | |

|Passive domestic | | | | |

|Enhanced domestic indexed | | | | |

|Active global/international | | | | |

|Global/international indexed | | | | |

|High yield | | | | |

|Mortgages (whole loans only) | | | | |

| Treasury inflation-protected | | | | |

| Collateralized debt obligations | | | | |

| Stable value | | | | |

|Convertibles | | | | |

|Alternative investments | | | | |

|Report actual dollars invested; exclude assets committed but not funded. |

|Real estate equity, domestic (NET of leverage) | | | | |

|Real estate equity, international (NET of leverage) | | | | |

|Timber (NET of leverage) | | | | |

|Hedge funds (gross assets) | | | | |

|Venture capital | | | | |

|Buyout funds | | | | |

|Infrastructure | | | | |

|Other private equity, domestic | | | | |

|Other private equity, international | | | | |

|Privately placed debt | | | | |

|Distressed debt | | | | |

|Mezzanine debt | | | | |

|Energy | | | | |

|Commodities | | | | |

|Cash | | | | |

|Total | | | | |

8. If you invest your internally managed U.S. institutional, tax-exempt assets in ACTIVE domestic equity, how much do you have in the following styles? Exclude enhanced; sum of all Q. 8 totals cannot exceed “equities: active domestic” in Q. 7.

| | |($ millions) Dec. 31, 2007 | |($ millions) Dec. 31, 2008 |

| | |Growth | |Value |

| | |Growth | |Value |

| | | | | |

|11. If you invest your internally managed U.S. institutional, |Active emerging markets equity | | | | |

|tax-exempt assets in ACTIVE international equity or ACTIVE | | | | | |

|global/international fixed income, how much do you have in the | | | | | |

|following styles? Q. 11 amounts cannot exceed “equities: active | | | | | |

|international” and “fixed income: active global/international” in Q. 7,| | | | | |

|respectively. | | | | | |

| |Active emerging markets debt | | | | |

| |Total | | | | |

| | | | | | |

|12. If you invest your internally managed U.S. institutional, |Core | | | | |

|tax-exempt assets in fixed income, how much do you have in the | | | | | |

|following products? Q. 12 total cannot exceed the total of all fixed | | | | | |

|income assets in Q. 7. | | | | | |

| |Core-plus | | | | |

| | | | | | |

| |Total | | | | |

Absolute-return Strategies

|13a. How much of your total worldwide assets under management (Q. 1a) was managed in absolute-return | | | | |

|strategies? | | | | |

| | | | | |

| | | | | |

|13b. Of the amount in Q. 13a, how much was managed internally? | | | | |

| | | | | |

| | | | | |

|13c. Please list the absolute-return strategies you offer: | | | | |

| |

Assets for absolute-return strategy hedge funds/fund of funds may be counted in both sections (Q. 13 & Q. 14) as applicable.

Hedge Funds

|14a. How much of your total worldwide assets under management |Hedge funds (excluding fund-of-funds) | | | | |

|(Q. 1a) was managed in hedge funds (gross assets)? | | | | | |

| |Hedge fund-of-funds | | | | |

| |Total | | | | |

|14b. Of the amounts in Q. 14a, how much were managed for U.S. |Hedge funds (excluding fund-of-funds) | | | | |

|institutional, tax-exempt clients (gross assets)? Hedge funds | | | | | |

|(excluding fund-of-funds) cannot be less than hedge fund | | | | | |

|assets reported in Q.7. | | | | | |

| |Hedge fund-of-funds | | | | |

| |Total | | | | |

Manager of Managers/Fund of Funds

Firms passing assets to external managers (subadvisers), such as through a multimanager program, fund of funds or related strategy.

|15a. How much of your total worldwide assets (Q. 1a) was passed to subadvisers? Include assets reported in Q. 4b | | | |

|and Q. 14a hedge fund-of-funds. | | | |

| | | | |

| | | | |

|15b. Of the amount in Q. 15a, to which five firms did you pass the most assets and what was the total managed by each for your firm? Q. 15b total cannot |

|exceed Q. 15a. |

| | |($ millions) | | | | |

|Firm | |Dec. 31, 2007 | |Firm | | |

| | | | | | | |

| | | | | | | |

| | | | | | | |

| | | | | | | |

| | | | | | | |

| | | | |Total | | |

Subadvisers

Firms managing assets on behalf of other firms, such as in a multimanager program, fund of funds or related strategy.

| | |($ millions) | |($ millions) |

| | |Dec. 31, 2007 | |Dec. 31, 2008 |

|16a. How much of your total worldwide assets (Q. 1a) was managed as a subadviser? | | | |

| | | | |

|16b. Of the amount in Q. 16a, for which five firms did you subadvise the most assets and what was the total managed for each? Q. 16b total cannot exceed Q.|

|16a. |

| | |($ millions) | | | | |

|Firm | |Dec. 31, 2007 | |Firm | | |

| | | | | | | |

| | | | | | | |

| | | | | | | |

| | | | | | | |

| | | | | | | |

| | | | |Total | | |

Exchange-traded Funds (ETFs)

|17. How much of your total worldwide assets under management (Q. 1a) was in ETFs? | | | | |

Mutual Fund Managers

Firms managing mutual funds under the 1940 Investment Company Act. Exclude offshore funds; exclude exchange-traded funds.

|18a. How much of your total worldwide assets under management (Q. 1a) was in mutual funds registered under | | | | |

|the 1940 Investment Company Act? | | | | |

| | | | | |

| | | | | |

|18b. Of the amount in Q. 18a, how much was managed internally for your firm’s proprietary mutual funds? Q. | | | | |

|18b cannot exceed Q. 18a. | | | | |

| | | | | |

Overlay Managers

Firms providing options overwriting, currency hedging, GTAA and other overlay strategies to enhance underlying U.S. institutional tax-exempt assets.

|19a. As of Dec. 31, 2008, what was the total notional value of overlay strategies run by your firm on top of | | | | |

|U.S. institutional, tax-exempt assets? | | | | |

| | | | | |

|19b. How was the amount in Q. 19a allocated? Q. 19b total must equal Q. 19a. | | | | |

|Bond duration extension | | | | |

|Currency | | | | |

|GTAA | | | | |

|Options overwriting | | | | |

|Other:____________________ | | | | |

|Total | | | | |

|19c. Of the amounts in Q. 19a, how much of the U.S. institutional, tax-exempt assets underlying the overlay strategies was managed internally by your firm |

|and how much was overlaid on strategies managed by other parties? Q.19c total must equal Q. 19a. |

| |Underlying assets managed internally | | | | |

| |Underlying assets managed by other parties | | | | |

| |Total | | | | |

Defined Contribution Managers

Firms providing investment management for defined contribution plans. Only assets you invest should be reflected; exclude assets held in custody, or in sponsoring company stock, or under record-keeping contracts.

|20. Of your total U.S. institutional, tax-exempt assets (Q. 4a), how much was managed for defined | | | | |

|contribution plans? Q. 20 cannot exceed Q. 4a. | | | | |

| | | | | |

|21a. Of your total U.S. institutional, tax-exempt assets under internal management (Q. 5), how much was | | | | |

|managed for defined contribution plans? Q. 21a cannot exceed Q. 5. | | | | |

| | | | | |

|21b. Of the amount in Q. 21a, what percentage was invested in the | | |

|following? Break out multiasset accounts into their components; total must| |21c. Of the amount in Q. 21a, how much was in the following investment |

|equal 100%. | |vehicles? Q. 21c total must equal the answer to Q. 21a. |

| | |(%) |

| | |Dec. 31, 2007 |

| | |($ millions) | |($ millions) | | |

| | |Dec. 31, 2007 | |Dec. 31, 2008 | | |

|Active global/international | | | | | | |

|Global/international indexed | | | | | | |

|Treasury | | | | | | | |

|inflation-pro| | | | | | | |

|tected | | | | | | | |

|Title: | |Phone: | |

|Defined Benefit | |Endowments/Foundations |

|22. How much of your internally managed U.S. institutional, tax-exempt assets was | |23. How much of your internally managed U.S. institutional, |

|managed for defined benefit plans? Q. 22 cannot exceed Q. 5. | |tax-exempt assets was managed for endowments/ foundations? Q. 23 |

| | |total cannot exceed Q. 5. |

| | | | | | | | | |

| | | | | |Endowments | | | | |

| | | | | |Foundations | | | | |

| | | | | |Total | | | | |

Private Wealth Management

Family Offices

|24. As of Dec. 31, 2008, how much did you manage for family offices? | | | | |

High-Net-Worth

|25. As of Dec. 31, 2008, how much did you manage for individuals with investible assets of $100 million or | | | | |

|more each? | | | | |

| | | | | |

|Market Share | |ORGANIZATIONAL DATA |

|26. How much of your total worldwide assets under management (Q. 1a) was | | |

|invested for clients based in the following regions? Total must equal | |Breakdown of Employees |

|100%. | |Please place each person in one category only. |

| | |(%) | |(%) | | | |

|Client | |Dec. 31, 2007 | |Dec. 31, 2008 | | | |

|location | | | | | | | |

|Title: | |

|Phone: | |Fax: | |E-mail: | |

Client contact (person to whom prospective clients should address inquiries)

|Mr./Ms.: | |First name: | |Last name: | |Jr./Sr.: | |

|Title: | |

|Phone: | |Fax: | |E-mail: | |

Primary data contact (person to whom future questionnaires should be addressed)

|Mr./Ms.: | |First name: | |Last name: | |Jr./Sr.: | |

|Title: | |

|Phone: | |Fax: | |E-mail: | |

Subsidiaries/Affiliates

If you provided statistics on behalf of investment management subsidiaries or affiliates of your company, please list all those firms:

|Subsidiary/affiliate name |Subsidiary/affiliate name |Subsidiary/affiliate name |

| | | |

| | | |

| | | |

| | | |

| | | |

IMPORTANT: Subsidiaries and affiliates listed above will not be profiled in the directory or appear in related statistical matter. However, if you want any of those names to be cross-referenced with your company profile, please provide all of the information in the below “master profile” section for each.

Master Profile

If you provided statistics on behalf of investment management subsidiaries or affiliates of your company and would like to have some or all of them cross-referenced with your firm profile in an abbreviated format, please attach a separate sheet including the following details on those organizations, then check the box at the end:

• Subsidiary/affiliate name;

• General firm info;

• Total worldwide assets;

• Total U.S. institutional, tax-exempt assets;

• Chief investment officer; and

• Client contact.

? YES, master profile: My firm would like to use the master profile format and has attached all of the requisite information (see above).

Questionnaire prepared by: _________________________________________________________________________________________________

Phone:__________________________________ E-mail:__________________________________________________________________

Please fax your completed survey to Anthony C. Scuderi at 212-210-0436

Due date: Friday, March 6, 2009

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