Firms Claiming Compliance with the Asset Manager Code

The following is a list of firms that have self-identified as complying with the CFA Institute Asset Manager Code (Second Edition 2009). This list is for informational purposes only. CFA Institute does not endorse the firms included on this list or engage in review, enforcement, or quality control of an organization's claim of compliance with the Asset Manager Code. CFA Institute does not represent or verify that these firms are actually in compliance with the Code.

Disclaimer: Any investment-related decisions by investors and potential investors in products or funds managed or advised by the firms listed here should only be made having first contacted the relevant firm or its representatives and having taken proper advice. Nothing in this website should be construed as an offer or invitation to anyone, in any jurisdiction, to invest in any products or funds managed or advised by the firms listed here.

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13D Management LLCNew YorkNYUSA
18 Asset ManagementLondonONCanada
1919 Investment CounselSAN FRANCISCOCAUSA
361 Capital LLCDenverCOUSA
3D Asset ManagementHartfordCTUSA
7258 Wealth ManagementDenverCOUSA
Aberdeen Standard InvestmentsEdinburghUnited Kingdom
Accuvest Global AdvisorsWalnut CreekCAUSA
AD Global Investors LimitedAbu DhabiUnited Arab Emirates
Addenda Capital Inc.MontrealQCCanada
Adrian Lee & PartnersCo DublinIreland
Advisor Partners LLCWalnut CreekCAUSA
Aegon Asset Management USCedar RapidsIAUSA
Aegon Real Assets USCedar RapidsIAUSA
Aeon Investment ManagementClaremontSouth Africa
AFAP SURAMontevideoUruguay
AFISA SURAMontevideoUruguay
Afore XXI BanorteCiudad de MéxicoMexico
Aikya Investment ManagementLondonUnited Kingdom
Albizia Capital Pte LtdSingaporeSingapore
Algert Global LLCSan FranciscoCAUSA
AllocateRite, Inc.New YorkNYUSA
Alluvium Asset ManagementMilsons PointAustralia
alpha beta asset managementFrankfurt am MainGermany
Alpha CapitalgurgaonIndia
AlphaMark Advisors LLCFt. WrightKYUSA
Alta Capital ManagementSalt Lake CityUTUSA
Amundi (UK) LimitedLondonUnited Kingdom
Anavon CapitalLondonUnited Kingdom
Ancora Advisors LLCClevelandOHUSA
Anthropocene Capital Management, LLCChicagoILUSA
Apex CapitalSão PauloBrazil
API CapitalSydneyAustralia
Appleton Group, LLCAppletonWIUSA
APS Labs LLCChicagoILUSA
Arena Capital AdvisorsLos AngelesCAUSA
Ariel Investments, LLCChicagoILUSA
Artico PartnersZurichSwitzerland
Ascentris, LLCDenverCOUSA
Asset Value InvestorsLondonUnited Kingdom
Aston Capital ManagementCoral GablesFLUSA
Athena Capital Management Corp.Colorado SpringsCOUSA
Atlas Capital AdvisorsSan FranciscoCAUSA
Atlas Funds ManagementSydneyAustralia
AtlasTrendPerthAustralia
Aurum Wealth Management GroupMayfield VillageOHUSA
AXA-IMParis - La DéfenseFrance
Axiom InvestorsGreenwichCTUSA
Azarias CapitalBerwynPAUSA
Babylon Wealth ManagementWalnut CreekCAUSA
Bahl & Gaynor, Inc.CincinnatiOHUSA
Baillie Gifford & CoEdinburghUnited Kingdom
Baird AdvisorsMilwaukeeWIUSA
Baker Asset ManagementWilliamsburgVAUSA
Ballast Equity Management, LLCOakbrook TerraceILUSA
Banner Pine Advisors LLCHighlands RanchCOUSA
BANORMilanoItaly
Banyan Asset ManagementSandtonSouth Africa
Barton Investment Management, LLCWest ConshohockenPAUSA
Belmont Capital GroupLos AngelesCAUSA
BeManagedGrand RapidsMIUSA
Beyond WealthOverland ParkKSUSA
BFSG, LLCIrvineCAUSA
Black Cypress Capital ManagementPonte Vedra BeachFLUSA
BlackRockNew YorkNYUSA
BlockBay CapitalAlmereNetherlands
BlueOceanGlobalWealthGaithersburgMDUSA
Boston PartnersBostonMAUSA
Bramshill InvestmentsHackensackNJUSA
Brandywine GlobalPhiladelphiaPAUSA
BRAVA CAPITALSAO PAULOBrazil
Breakwater Investment GroupNewport BeachCAUSA
Bricks & Mortar Capital, LLCLos AngelesCAUSA
Bridge City Capital, LLCLake OswegoORUSA
Bridge Fund ManagersClaremontSouth Africa
BroadCore Investments LPShrewsburyNJUSA
Broadgate Advisers SAGenevaSwitzerland
Brockton Capital LLPLondonUnited Kingdom
Brown AdvisoryBaltimoreMDUSA
BSA Asset Management, LLCIrvingTXUSA
Caerus International AGZurichSwitzerland
Calamos Advisors LLCNapervilleILUSA
Callan LLCSan FranciscoCAUSA
Cameron Hume LimitedEdinburghUnited Kingdom
Canso Investment Counsel Ltd.Richmond HillONCanada
Capital Advisors Ltd.Shaker HeightsOHUSA
Capital Counsel LLCNew YorkNYUSA
Capital Impact Advisors, LLCBostonMAUSA
Capital One Asset Management, LLCNew YorkNYUSA
Capital ProspectsStamfordCTUSA
Capstone Global InvestmentsAtlantaGAUSA
Capwealth AdvisorsFranklinTNUSA
Carillon Tower AdvisersSt PetersburgFLUSA
Carl Domino, Inc.West Palm BeachFLUSA
Castle Wealth ManagementWest Palm BeachFLUSA
Castleton PartnersBrooklynNYUSA
Catallaxy CapitalBrooklynNYUSA
CDAMLondonUnited Kingdom
Cedar Capital, LLCBarringtonILUSA
Centurion Advisors Corp.FriendswoodTXUSA
Clarkston Capital PartnersBloomfield HillsMIUSA
Cluster Family OfficeBarcelonaSpain
CoBiz WealthDenverCOUSA
CohaloSnoqualmieWAUSA
Cohen Capital ManagementCorte MaderaCAUSA
Cohesive CapitalCape TownSouth Africa
Cold Creek CapitalBraintreeMAUSA
ComgestParisFrance
ConningHartfordCTUSA
Constantia Capital LLCLawrencevilleNJUSA
Convergence Investment PartnersPalm Beach GardensFLUSA
CooksonPeircePittsburghPAUSA
Cornell Capital ManagementClarence CenterNYUSA
Coronation Fund ManagersLondonUnited Kingdom
Coronation Fund Managers LtdCape TownSouth Africa
COTE 100Saint-BrunoQCCanada
Coyle Capital, LLCLakewayTXUSA
Crede Capital PartnersJohannesburgSouth Africa
CredFIC AdvisorsGuwahatiIndia
CS McKeePittsburghPAUSA
CT Capital LLCAlpineNJUSA
Culture CapitalNew YorkNYUSA
Cutler Investment GroupJacksonvilleORUSA
CWC Advisors, LLC.Lake OswegoORUSA
Dalmore Capital LimitedLondonUnited Kingdom
David P. Osborn , CFACincinnatiOHUSA
Day Hagan LogixSarasotaFLUSA
DCISan FranciscoCAUSA
DCM Advisors, LLCNew YorkNYUSA
Dean Capital ManagementOverland ParkKSUSA
Denali Advisors, LLCSAN DIEGOCAUSA
DFA Australia LimitedSydneyAustralia
DGS Capital Management, LLCBostonMAUSA
DLK Investment ManagementSolana BeachCAUSA
DSM Capital PartnersPalm Beach GardensFLUSA
Dundas Global InvestorsEdinburghUnited Kingdom
Eagle Asset ManagementSt PetersburgFLUSA
EAM Investors, LLCCardiff by the SeaCAUSA
EASTSPRING INVESTMENTSSingaporeSingapore
Element Investment ManagersCape TownSouth Africa
Embark InvestmentsLondonUnited Kingdom
EPIQ Partners, LLCMinneapolisMNUSA
Eremsle CapitalFort LauderdaleFLUSA
ESG Portfolio ManagementFrankfurtGermany
ETF Capital ManagementTorontoONCanada
Fairbanks Capital Management, Inc.Rancho Santa FeCAUSA
Falcon Point CapitalSan FranciscoCAUSA
Federated Hermes InternationalLondonUnited Kingdom
Fiera Capital (IOM) LimitedDouglasUnited Kingdom
Fiera Capital (UK) LimitedLondonUnited Kingdom
FIM Asset ManagementHelsinkiFinland
First Avenue Investment ManagementJohannesburgSouth Africa
First Markets CapitalCanberraAustralia
First Sentier InvestorsBarangarooAustralia
Flaherty & CrumrinePasadenaCAUSA
Focused Investors LLCLos AngelesCAUSA
Foord Asset ManagementCape TownSouth Africa
Forex CollegeKrugersdorpSouth Africa
Formula Growth LimitedMontrealQCCanada
Fortress Fund ManagersBridgetownBarbados
Foundry Partners, LLCMinneapolisMNUSA
Friess AssociatesGreenvilleDEUSA
Frontier Partners, IncNorthbrookILUSA
FS InvestmentsPhiladelphiaPAUSA
Fulcrum CapitalSeattleWAUSA
G Squared CapitalLondonUnited Kingdom
G.P.I. Global Partners Investments LimitedBANGORUnited Kingdom
GAM USA Inc.NEW YORKNYUSA
Gerstein FisherNew YorkNYUSA
Global EvolutionKoldingDenmark
Gould Tactical Growth LLCPhoenixvillePAUSA
GQG Partners LLCFort LauderdaleFLUSA
Grace CapitalQuincyMAUSA
Granate Asset ManagementCape TownSouth Africa
Grandview Investment Advisors, LLCDenverCOUSA
Grapevine Capital Partners LLCSan Luis ObispoCAUSA
Gratry & Company LLCBeachwoodOHUSA
Green Mesa CapitalHendersonNVUSA
Green Street InvestorsNewport BeachCAUSA
Gridiron PartnersWexfordPAUSA
Gryphon Asset MananegementBellvilleSouth Africa
Guinness Asset Management LtdLondonUnited Kingdom
Harbor Springs Financial Management, LLCSouth BendINUSA
Harding LoevnerBridgewaterNJUSA
Hartland & Co.ClevelandOHUSA
Harvey Partners, LLCTarrytownNYUSA
HAV Capital LLCLa JollaCAUSA
Heard CapitalChicagoILUSA
Hexavest Inc.MontrealQCCanada
Howland and Associates, LLCSt PetersburgFLUSA
Hummer Financial Advisory Services IncChicagoILUSA
Hurley Capital, LLCNew YorkNYUSA
IFM Investors Pty LtdMelbourneAustralia
Ikarian CapitalDallasTXUSA
Income Growth Advisors, LLCDaniel IslandSCUSA
Index PeopleHaarlemNetherlands
Intech InvestmentsWest Palm BeachFLUSA
Integra Capital LimitedOakvilleONCanada
Integracion AFAPMontevideoUruguay
Integre Investment Management (Pty) LimitedJohannesburgSouth Africa
Intermede Investment PartnersLondonUnited Kingdom
Inva CapitalCuritibaBrazil
Investment Analytics MiamiMiamiFLUSA
InView InvestmentsChicagoILUSA
IPOPEMA TFI S.A.WarsawPoland
IPSOL CapitalMontrealQCCanada
IronHorse Capital LLCNashvilleTNUSA
iSectors, LLCAppletonWIUSA
Itau Asset ManagementSao PauloBrazil
Itau USA Asset Management Inc.New YorkNYUSA
Jamieson Coote BondsMelbourneAustralia
JB Financial (Pvt) LtdColomboSri Lanka
JC Clark Ltd.TorontoONCanada
Jirau Capital Management LLCSan JuanPuerto Rico
Kaizen Advisory LLCWheatonILUSA
Kapstream CapitalSydneyAustralia
KBC Asset Management SALuxembourgLuxembourg
KBI Global InvestorsDublin 1Ireland
Kellogg Asset Management LLCGreen BayWIUSA
Keystone Investment Management A/SCopenhagenDenmark
Kingwest & ComapnyTorontoONCanada
Kinsted WealthcalgaryABCanada
Kovitz Investment Group Partners, LLCCHICAGOILUSA
L&S Advisors, Inc.Los AngelesCAUSA
L2 Capital PartnersNova LimaBrazil
LatitudeLondonUnited Kingdom
Lawson KroekerOmahaNEUSA
Leblon EquitiesRio de JaneiroBrazil
Libra Invest BerhadKuala LumpurMalaysia
Linde, Hansen & Co., IncGreen VillageNJUSA
Longview PartnersSt Peter PortGuernsey
Lord Abbett, & Co. LLCJersey CityNJUSA
Louisbourg InvestmentsMonctonNBCanada
Lumen AdvisorsSingaporeSingapore
LuxcaraHamburgGermany
LYNEAR Wealth ManagementColomboSri Lanka
M.C. Draper Capital ManagementWichitaKSUSA
MACRO Consulting GroupParsippanyNJUSA
Maple-Brown AbbottSydneyAustralia
Marathon Asset Management LLPLondonUnited Kingdom
Marshfield AssociatesWASHINGTONDCUSA
Martin Currie AustraliaMelbourneAustralia
Martin Currie Inc.EdinburghUnited Kingdom
Mayar CapitalLondonUnited Kingdom
Maycrest CapitalWest Palm BeachFLUSA
Medley Capital LLCNew York CityNYUSA
Mench Financial, Inc.CincinnatiOHUSA
Merrion CapitalDublinIreland
Metis Global PartnersSan DiegoCAUSA
Mint Asset Management LtdAucklandNew Zealand
Mint CapitalSão PauloBrazil
MMG BankPanamaPanama
Mont Capital AssetSão PauloBrazil
Montcrest Capital LLCChattanoogaTNUSA
Mount Murray InvestmentMontrealQCCanada
MRA AssociatesPhoenixAZUSA
MultiGreen PropertiesHendersonNVUSA
Murfey IIIKirtlandOHUSA
Nephila Capital Ltd.HamiltonBermuda
Newfound Research LLCWellesleyMAUSA
Niche Asset ManagementLondonUnited Kingdom
Nichols Asset Management, LLCSudburyMAUSA
Night Owl CapitalGreenwichCTUSA
NN Investment PartnersThe HagueNetherlands
North Capital Inc.Salt Lake CityUTUSA
North of South Capital LLPLondonUnited Kingdom
North Shore Asset Management, LLCCold Spring HarborNYUSA
NorthPointe Capital, LLCBloomfield HillsMIUSA
Northstar Asset ManagmentCape TownSouth Africa
NovaPoint CapitalAtlantaGAUSA
Nuance InvestmentsKansas CityMOUSA
Nuveen, LLCNew YorkNYUSA
Oasis Group Holdings (Pty) Ltd.Cape TownSouth Africa
OGAM LtdTorontoONCanada
OGAM, LPHoustonTXUSA
Old Mutual Investment GroupCape TownSouth Africa
One Capital Management, LLCWestlake VillageCAUSA
Origin Asset ManagementLondonUnited Kingdom
Overlook Investments LimitedHong KongHong Kong SAR
Overseas Asset Management (Cayman) LtdGrand CaymanCayman Islands
Pacific Asset ManagementNewport BeachCAUSA
Palo CapitalNewport BeachCAUSA
Pamet Advisors LLCConcordMAUSA
Panarchy Partners Pte LtdSingaporeSingapore
Paradigm Asset ManagementWhite PlainsNYUSA
Partnervest Financial GroupSanta BarbaraCAUSA
Payden & RygelLos AngelesCAUSA
Pembroke Management Ltd.MontrealQCCanada
Pendo LLCNew YorkNYUSA
PENSIONISSSTEMexico CityMexico
PGIM Fixed IncomeNewarjkNJUSA
PGIM Private Placement Investors, L.P.NewarkNJUSA
Pier Capital, LLCStamfordCTUSA
Pinechip Capital GmbHHamburgGermany
Poinciana Advisors group, LLCPalm Beach GardensFLUSA
Pointe Capital ManagementGrosse Pointe FarmsMIUSA
Port Capital LLCChicagoILUSA
Post Advisory Group, LLCLos AngelesCAUSA
Presima Inc.MontrealQCCanada
Prima AFPLimaPeru
Prime Capital AGFrankfurt am MainGermany
PRINCIPAL AFORECiudad de MexicoMexico
PRINCIPAL FONDOS DE INVERSIONCiudad de MexicoMexico
Profit InvestmentsRockvilleMDUSA
ProForza AdvisorsOak HillVAUSA
Provenance Wealth AdvisorsFort LauderdaleFLUSA
Pyrford International LtdLondonUnited Kingdom
QC PartnersFrankfurt am MainGermany
QICBrisbaneAustralia
QS Investors, LLCNew YorkNYUSA
Quantum Capital ManagementSan FranciscoCAUSA
Queens Oak AdvisorsCharlotteNCUSA
Quintessence WealthTorontoONCanada
QV Investors Inc.CalgaryABCanada
R.G. Associates, Inc.TowsonMDUSA
Radix Financial, LLCOklahoma CityOKUSA
RAM Active Investments SAGenevaSwitzerland
Rand & AssociatesSan FranciscoCAUSA
RBI Capital Management LLCLafayetteCAUSA
Reaves Asset ManagementJersey CityNJUSA
Record Currency ManagementWindsorUnited Kingdom
Red Tortoise LLCAtlantaGAUSA
Regan Investments, Inc.MinneapolisMNUSA
Reitway GlobalCape TownSouth Africa
Republica AFAPMontevideoUruguay
Rhythmic Capital ManagementSalt Lake CityUTUSA
Riverwater PartnersMilwaukeeWIUSA
Robinson CapitalGrosse Pointe FarmsMIUSA
Rondure Global AdvisorsSalt Lake CityUTUSA
RoseCap Financial AdvisorsGrand JunctionCOUSA
Rossi Financial GroupEl Dorado HillsCAUSA
Running Oak CapitalMinnetonkaMNUSA
Sabal Trust CompanySt. PetersburgFLUSA
Sandia Wealth ManagementAlbuquerqueNMUSA
Sapience Investments, LLCNewport BeachCAUSA
Saracen Fund ManagersEdinburghUnited Kingdom
Sasco Capital, Inc.FairgieldCTUSA
Saturna CapitalBellinghamWAUSA
Savernake CapitalSt. Peter PortGuernsey
Sawgrass Asset ManagementJacksonville BeachFLUSA
Scout InvestmentsKansas CityMOUSA
Seabird FinancialSan DiegoCAUSA
Security Capital Research & Management IncorporatedChicagoILUSA
Shellman WealthMontevideoUruguay
SIC Advisors, LLCFarmington HillsMIUSA
SICO BSCManamaBahrain
Silk InvestLondonUnited Kingdom
SilkRoad Property PartnersSingaporeSingapore
SingularSantiagoChile
Slow Capital Inc.GreenbraeCAUSA
Smith Graham & Co.HoustonTXUSA
Solstein Capital, LLCSan FranciscoCAUSA
SSI Investment ManagementBeverly HillsCAUSA
Stadion Money ManagementWatkinsvilleGAUSA
Stenham Asset Management IncSt Peter PortGuernsey
Sterling AdvisorsKing of PrussiaPAUSA
Sterling Investment Advisors, LLCBolivarMOUSA
Stu Hawver, CFA, MBA, LLCMocksvilleNCUSA
Sutton Place Capital Management LLCnyNYUSA
SVM Asset Management LtdEdinburghUnited Kingdom
Swell Asset ManagementBundallAustralia
SWS PartnersColumbusOHUSA
Sydbank A/SAabenraaDenmark
Sygnus Capital LimitedSaint AndrewJamaica
T. Rowe Price Hong Kong LimitedCentral Hong KongHong Kong SAR
Talaria Asset ManagementMelbourneAustralia
TD Asset ManagementTorontoONCanada
Tempest CapitalMexico CityMexico
THB Inc.NorwalkCTUSA
The Headlands GroupLarkspurCAUSA
The Ithaka GroupBETHESDAMDUSA
The London CompanyRichmondVAUSA
The LT Funds SAGenevaSwitzerland
TIAA InvestmentsNew YorkNYUSA
Tierra FundsDevonPAUSA
Tikehau CapitalParisFrance
TOBAMParisFrance
Tonus Capital Inc.MontrealQCCanada
Towle & Co.St. LouisMOUSA
Triad Investment ManagementNewport BeachCAUSA
TT InternationalLondonUnited Kingdom
Tulive Capital (Pty) LtdWindhoekNamibia
TURNIT CAPITALlondonUnited Kingdom
TW AdvisorsCentervilleOHUSA
TW AdvisorsCentervilleOHUSA
Twele Capital Management, Inc.MinnetonkaMNUSA
UBS Wealth Management Americas - Hingham Street PartnersRocklandMAUSA
UFG Asset ManagementMoscowRussian Federation
Unión Capital AFAP S.A.MontevideoUruguay
Unum CapitalIrene, PretoriaSouth Africa
Valeur Asset Management SALuxembourgLuxembourg
Valeur Pte LtdSingaporeSingapore
Valori Asset ManagementLuxembourgLuxembourg
Value SquareGentBelgium
Van Hulzen Asset ManagementEl Dorado HillsCAUSA
VCM WealthCollegevillePAUSA
Viburnum FundsNedlandsAustralia
VIPB Asset ManagementDhakaBangladesh
Vunani Fund Managers (Pty) LtdCape TownSouth Africa
Wasatch Global InvestorsSalt Lake CityUTUSA
Wasmer SchroederNaplesFLUSA
WCM Investment ManagementLaguna BeachCAUSA
WestEnd AdvisorsCharlotteNCUSA
WHEB Asset ManagementLondonUnited Kingdom
Whitehelm CapitalBartonAustralia
Wingate Asset ManagementMelbourneAustralia
Worm Capital, LLCLa JollaCAUSA
WT Wealth ManagementScottsdaleAZUSA
www.sroufeco.comseattleWAUSA
Xantos Labs, LLCAustinTXUSA
Xponance, Inc.DurhamNCUSA
Y H & C InvestmentsLas VegasNVUSA
Zazove Associates, LLCIncline VillageNVUSA