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 CodeĀ (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. Read our disclaimer.

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1311 Capital LLCLynchburgVAUSA
13D Management LLCNew YorkNYUSA
18 Asset ManagementLondonONCanada
361 Capital LLCDenverCOUSA
A.H. Williams & Co.PhiladelphiaPAUSA
Aberdeen Asset Management PLCLondonUnited Kingdom
Aberdeen Asset Managers Ltd.AberdeenUnited Kingdom
Accredit CapitalPasadenaCAUSA
Accuvest Global AdvisorsWalnut CreekCAUSA
Addenda Capital Inc.MontrealQCCanada
Administradora de Fondo de Pensiones Siembra,S.A.Santo DomingoDistrito NacionalDominican Republic
Aeon Investment ManagementCape TownWestern CapeSouth Africa
AgraShares, LLCChicagoILUSA
Alamar Capital ManagementSanta BarbaraCAUSA
Algert GlobalSan FranciscoCAUSA
Alkhabeer CapitalJeddahSaudi Arabia
alpha beta asset management gmbhFrankfurt am MainGermany
Alpha CapitalGurgaonHaryanaIndia
AlphaClone LLCSan FranciscoCAUSA
AlphaFixe Capital Inc.MontrealQCCanada
AlphaMark AdvisorsFt. MitchellKYUSA
AMP Wealth ManagementWhitefish BayWIUSA
Amundi (UK) LimitedLondonUnited Kingdom
Analytic Investors, LLCLos AngelesCAUSA
Ancora Advisors, LLCBeachwoodOHUSA
Apex CapitalSão PauloBrazil
Appleton Group, LLCAppletonWIUSA
Artemis Investment Management LLPEdinburghUnited Kingdom
Artico PartnersZurichSwitzerland
ASB Capital Management, LLCEast BethesdaMDUSA
Ascentris, LLCDenverCOUSA
Ashmore EMM, L.L.C.ArlingtonVAUSA
Aston Capital ManagementCamana BayCayman Islands
Athena Capital Management Corp.Colorado SpringsCOUSA
Atlas Capital Advisors LLCSan FranciscoCAUSA
Attunga Capital Pty LtdWahroongaAustralia
Avondale Asset ManagementSanta MonicaCAUSA
Bahl & Gaynor, Inc.CincinnatiOHUSA
Baird AdvisorsMilwaukeeWIUSA
Banner Pine Advisors LLCHighlands RanchCOUSA
BANOR SIMMilanoItaly
Barton Investment Management, LLCWest ConshohockenPAfUSA
Baylight Capital, LLCSan BrunoCAUSA
Belmont Capital GroupLos AngelesCAUSA
Belvedere Advisors LLCMill ValleyCAUSA
Berenberg BankHamburgGermany
Blackfriars Asset ManagementLondonUnited Kingdom
Blackhorse Asset ManagementSingaporeSingapore
BlackRockNew YorkNYUSA
Boston Advisors, LLCBostonMAUSA
Boyd Watterson Asset Management, LLCClevelandOHUSA
Boyle CapitalWest Des MoinesIAUSA
Bramshill InvestmentsHackensackNJUSA
Bridge Capital LimitedLondonUnited Kingdom
Bristol Gate CapitalTorontoONCanada
BroadCore Investments LPShrewsburyNJUSA
Broadglen Investment Management LLCEnglewoodCOUSA
Broadstone Real Estate, LLCRochesterNYUSA
Brockton Capital LLPLondonUnited Kingdom
BSA Asset Management, LLCIrvingTXUSA
C.S., McKee, L.P.PittsburghPAUSA
Cadence Integrity Partners LLCBostonMAUSA
Caerus Investment ManagementLondonUnited Kingdom
Calamos Advisors LLCNapervilleILUSA
Callan Associates Inc.San FranciscoCAUSA
Callinan Asset Management, LLCSan FranciscoCAUSA
Cambria Investment Management, LPEl SegundoCAUSA
Cameron Hume LimitedEdinburghUnited Kingdom
Canso Investment Counsel Ltd.Richmond HillONCanada
CapWealth AdvisorsFranklinTNUSA
Carl Domino, Inc.West Palm BeachFLUSA
Castle Wealth ManagementWest Palm BeachFLUSA
Castleton PartnersNew YorkNYUSA
Catallaxy CapitalBrooklynNYUSA
Catalyst Fund Managers (Pty) LtdCape TownWestern CapeSouth Africa
CBRE Global Real Estate Securities, LLCBaltimoreMDUSA
CDAM (UK) LtdLondonUnited Kingdom
CE Asset Management AGMeilenSwitzerland
Centurion Advisors Corp.FriendswoodTXUSA
CGOV Asset ManagementTorontoONCanada
Charlemagne Capital GroupDouglasIsle of ManUnited Kingdom
CIBC Asset ManagementMontrealQCCanada
CITIGATE INTERNATIONAL LTDDubaiUnited Arab Emirates
Clarion PartnersNew YorkNYUSA
Clear Haven Capital Management, LLCHoustonTXUSA
ClearArc Capital, Inc.CincinnatiOHUSA
Cluster Family OfficeBarcelonaSpain
CMC CapitalTroyMIUSA
CoBiz WealthDenverCOUSA
Cohen Capital Management, Inc.Corte MaderaCAUSA
Cohesive CapitalCape TownSouth Africa
Columbia Partners, L.L.C. Investment ManagementChevy ChaseMDUSA
Columbus Circle InvestorsStamfordCTUSA
COMGESTParisFrance
Condor Capital ManagementMartinsvilleNJUSA
Congress Asset Management CoBostonMAUSA
Connective CapitalPalo AltoCAUSA
ConningHartfordCTUSA
Constantia Capital LLCLawrencevilleNJUSA
Contravisory Investment Management, Inc.HinghamMAUSA
Coraticum Asset Management, LLCHoliadayUTUSA
Cording Real Estate GroupLondonUnited Kingdom
Cornell Capital Management LLCClarence CenterNYUSA
Coronation Fund ManagersLondonUnited Kingdom
Coronation Fund Managers LtdClaremontSouth Africa
Corvus CapitalNashvilleTNUSA
COTE 100Saint-BrunoQCCanada
Crawford Asset Management, LLCGlendaleWIUSA
CT Capital LLCAlpineNJUSA
CWC Advisors, LLC.Lake OswegoORUSA
D.F. Dent & Co., Inc.BaltimoreMDUSA
Davenport Asset ManagementRichmondVAUSA
DCI, LLCSan FranciscoCAUSA
Denali Advisors, LLCSan DiegoCAUSA
DGS Capital ManagementGurgaonHaryanaIndia
Disciplina Group LLCNashvilleTNUSA
Dreman Value ManagementWest Palm BeachFLUSA
DSM Capital PartnersMount KiscoNYUSA
Dundas Global InvestorsEdinburghScotlandUnited Kingdom
Eagle Asset ManagementSt. PetersburgFLUSA
EAM Investors, LLCCardiffCAUSA
ECM Asset Management Ltd.LondonUnited Kingdom
Edinburgh Partners LtdEdinburghScotlandUnited Kingdom
Eidelman Capital ManagementSt. LouisMOUSA
EPIQ Partners, LLCMinneapolisMNUSA
Euclid Advisors LLCNew YorkNYUSA
EverKey Global PartnersNassauBahamas
Exacta Capital Partners LPJersey CityNJUSA
Falcon CapitalChicagoILUSA
Falcon Point Capital, LLCSan FranciscoCAUSA
Fama Fiduciary WealthRochesterNYUSA
FinerdTortolaVirgin Islands (British)
FIS Group, Inc.PhiladelphiaPAUSA
Fluent FinancialDallasTXUSA
Focused Investors LLCBeverly HillsCAUSA
Forex CollegeKrugersdorpSouth Africa
Formation GroupPalo AltoCAUSA
Forward Management, LLCSan FranciscoCAUSA
Foundry Partners, LLCMinneapolisMNUSA
Friess AssociatesGreenvilleDEUSA
Frontier PartnersNorthbrookILUSA
FS InvestmentsPhiladelphiaPAUSA
Fulcrum CapitalSeattleWAUSA
GAM USA Inc.New YorkNYUSA
Geewax + Partners, LLCChadds FordPAUSA
Genesis Asset Managers, LLPSt Peter PortGuernsey
Gerstein FisherNew YorkNYUSA
GIA Partners, LLCNew YorkNYUSA
Global Wealth Allocation, LTDLondonUnited Kingdom
Glovista Investments LLCJersey CityNJUSA
Golub Group, LLCSan MateoCAUSA
Governance for OwnersLondonUnited Kingdom
GQG Partners LLCFort LauderdaleFLUSA
Grace CapitalBostonMAUSA
Graham Capital Management, LLCEau ClaireWIUSA
GramercyGreenwichCTUSA
Grapevine Capital PartnersSan Luis ObispoCAUSA
Gratry & Company, LLCShaker HeightsOHUSA
Green River Asset Management, LLCBaltimoreMDUSA
Gries Financial LLCClevelandOHUSA
Grindrod Asset Management (Pty) LtdDurbanKwaZulu NatalSouth Africa
Guinness Asset ManagementLondonUnited Kingdom
H/2 Capital PartnersStamfordCTUSA
Hambledon, LLCMorrisvilleNCUSA
Harding LoevnerBridgewaterNJUSA
HAV Capital LLCLa JollaCAUSA
Hayate Partners Pte. LtdSingaporeSingapore
HeitmanChicagoILUSA
Hermes Investment ManagementLondonUnited Kingdom
Hexavest Inc.MontrealQCCanada
Highland AssociatesBirminghamALUSA
HMS Mgt. Inc.MoragaCAUSA
Holland Financial Services LLCMilwaukeeWIUSA
Hoover Investment Management Co., LLCSan FranciscoCAUSA
Howland and Associates, LLCTampaFLUSA
HR Strategies Inc.MontrealQCCanada
Hurley Capital, LLCNew YorkNYUSA
IFM Investors Pty LtdMelbourneVictoriaAustralia
Independence Capital Management, LLCPasadenaCAUSA
Indochina CapitalHo Chi Minh CityVietnam
Inflection Partners, LLCSan FranciscoCAUSA
InfraRed Capital Partners LtdLondonUnited Kingdom
Insch Capital ManagementLuganoTISwitzerland
Integra Capital LimitedOakvilleONCanada
Integre Investment Management (Pty) LimitedJohannesburgGautengSouth Africa
Integrity Asset ManagementLouisvilleKYUSA
Intermede Investment PartnersLondonUnited Kingdom
Inva CapitalCuritibaBrazil
InView InvestmentsChicagoILUSA
IPSOL CapitalMontrealQCCanada
iSectors, LLCAppletonWIUSA
Itaú Asset ManagementSão PauloBrazil
Jamison, Eaton & WoodBedminsterNJUSA
Jantz Morgan LLCBostonMAUSA
Janus Capital Management LLCDenverCOUSA
JB Financial (Pvt) LtdColombo Sri Lanka
JC Clark Ltd.TorontoONCanada
Jones Villalta Asset ManagementAustinTXUSA
Kaizen Advisory LLCWheatonILUSA
Kapstream CapitalSydneyAustralia
KBC Asset Management SALuxembourgLuxembourg
Kellogg Asset Management, LLCGreen BayWIUSA
Kennedy WilsonBeverly HillsCAUSA
Keystone Investment Management A/SCopenhagenDenmark
KGSAhmedabadIndia
Kina Funds Management (KFM)Port MoresbyPapua New Guinea
King Investment Advisors, Inc.HoustonTXUSA
Kingwest & CompanyTorontoONCanada
Klute Capital Management, Inc.OmahaNEUSA
Kovitz Investment Group Partners, LLCCHICAGOILUSA
KStone Partners LLCBriarcliff ManorNYUSA
L&S Advisors, Inc.Los AngelesCAUSA
Laidlaw Group, LLCKatonahNYUSA
Lakeshore Capital, LLCBirminghamALUSA
Latium CapitalBinyaminaIsrael
Leblon Equities Rio de JaneiroBrazil
LGM InvestmentsHong KongHong Kong
Libera Portfoy Yonetimi A.S. (Libera Asset Management)IstanbulTurkey
Liberty Hill CapitalRogersvilleMOUSA
Libra Invest BerhadKuala LumpurMalaysia
Livia Capital Partners LPNew YorkNYUSA
LM Capital Group, LLCSAN DIEGOCAUSA
Lockwell Investments, LLCNew YorkNYUSA
Lodge StreetLathamNYUSA
Longview Partners (Guernsey) LimitedSt Peter PortGuernseyGuernsey
Louisbourg Investments Inc.MonctonNBCanada
LR GlobalNew YorkNYUSA
Lucrum Capital, LLCSan FranciscoCAUSA
Lumen AdvisorsSingaporeSingapore
Lynear Wealth ManagementColomboSri Lanka
M.A. Weatherbie & Co., Inc.BostonMAUSA
M.C. DRAPER Capital ManagementWichitaKSUSA
Maestro Investment ManagementCape TownSouth Africa
Main Management LLCSan FrancsicoCAUSA
Majedie Asset Management LimitedLondonEnglandUnited Kingdom
MARS Asset Management GmbHBad HomburgGermany
Marshfield AssociatesWashingtonDCUSA
Mason Capital PartnersBostonMAUSA
Matco Financial Inc.CalgaryABCanada
Mayar CapitalLondonUnited Kingdom
McCullough & Associates LLCSan FranciscoCAUSA
McKinley PartnersOaklandCAUSA
MCOF Management LLCNew YorkNYUSA
Medley Capital LLCNew YorkNYUSA
Medley SMA AdvisorsNew YorkNYUSA
Mench Financial, Inc.CincinnatiOHUSA
Mercator Asset Management, L.P.Boca RatonFLUSA
Merrion CapitalDublinIreland
Metis Global PartnersSan DiegoCAUSA
Metzler/PaydenLos AngelesCAUSA
MFG Asset ManagementSydneyNSWAustralia
Miles Capital, Inc.West Des MoinesIAUSA
Mint CapitalSao PauloBrazil
Morgan Dempsey Capital Management LLCMilwaukeeWIUSA
Morgan Stanley Investment Management Inc.New YorkNYUSA
Mountain Lake Investment Management LLCNew YorkNYUSA
MP Senior Credit PartnersNew YorkNYUSA
MRA AssociatesPhoenixAZUSA
Muzinich & Co.New YorkNYUSA
Nagri-Van Ness Asset Management, LLCNew YorkNYUSA
NBW Capital, LLCBostonMAUSA
Neosho CapitalLa JollaCAUSA
Nephila Capital Ltd.HamiltonBermuda
Netols Asset ManagementMequonWIUSA
New Path Capital AdvisorsSilverthorneCOUSA
Newport Capital AdvisersNorth QuincyMAUSA
Next Century Growth Investors, LLCMinneapolisMNUSA
Night Owl CapitalGreenwichCTUSA
NLB Skladi, d.o.o.LjubljanaSlovenia
North Capital, Inc.San FranciscoCAUSA
North Shore Asset Management, LLCCold Spring HarborNYUSA
Nuance Investment, LLCKansas CityMOUSA
Oasis Group Holdings (Pty) Ltd.Cape TownWestern CapeSouth Africa
OJM GroupCincinnatiOHUSA
Old Mutual Investment GroupPinelandsSouth Africa
OMT Capital ManagementSan FranciscoCAUSA
One Capital Management, LLPWestlake VillageCAUSA
Oppenheimer Investment Management LLCCarmelINUSA
Optimus Capital LLPLondonUnited Kingdom
Osmosis Investment ManagementLondonUnited Kingdom
Overseas Asset Management (Cayman) LtdGrand CaymanCayman Islands
P2 Capital Partners, LLCNew York NYUSA
Pacific Asset ManagementNewport BeachCAUSA
Pacificor, LLCSanta BarbaraCAUSA
Palo Capital, Inc.Newport BeachCAUSA
Pamet Advisors LLCConcordMAUSA
Pan Reliance LLCNew YorkNYUSA
Panther Capital GroupFt. WorthTXUSA
Parasol Investment Management LLCWestmontILUSA
Payden & RygelLos AngelesCAUSA
Pendo LLCNew YorkNYUSA
Pengra Capital Management, Inc.SeattleWAUSA
Perimeter Capital ManagementAtlantaGAUSA
Perkins Investment Management LLCChicagoILUSA
PetercamBRUSSELSBelgium
PHEIM ASSET MANAGEMENT SDN BHDKuala LumpurMalaysia
Philadelphia Trust CompanyPhiladelphia PAUSA
Pictet Asset Management Ltd.LondonUnited Kingdom
Pier Capital, LLCStamfordCTUSA
Pluscios ManagementEvanstonILUSA
Pointe Capital ManagementGrosse Pointe FarmsMIUSA
Post Advisory Group, LLCSanta MonicaCAUSA
Pratt CapitalBaltimoreMDUSA
PREMIS Capital PartnersFort LauderdaleFLUSA
Prescient Investment Management (Pty) LtdCape TownWestern CapeSouth Africa
Presima Inc.MontrealQCCanada
Profit Investment ManagementNorth BethesdaMDUSA
ProForzaMcleanVAUSA
Pyrford International LtdLondonUnited Kingdom
QC PartnersFrankfurtGermany
QICBrisbaneAustralia
QS Investors, LLCNew YorkNYUSA
Quantico Asset Management of Wells Fargo AdvisorsBerwynPAUSA
Quantum CapitalCorte MaderaCAUSA
QV Investors Inc.CalgaryABCanada
R.G. Associates, Inc.BaltimoreMDUSA
RAM Active InvestmentsGenevaSwitzerland
Rand & AssociatesSan FranciscoCAUSA
Reaves Asset ManagementJersey CityNJUSA
Record Currency ManagementWindsorEnglandUnited Kingdom
Red Ivy CapitalStamfordCTUSA
Red Tortoise, LLCAtlantaGAUSA
Regan Investments Inc.MinneapolisMNUSA
Regions Investment Management, Inc.BirminghamALUSA
Reitway GlobalCentury CitySouth Africa
RGM Capital, LLCNaplesFLUSA
RiverPark FundsNew YorkNYUSA
RLAMLondonUnited Kingdom
Robinson Capital Management, LLCGrosse Pointe FarmsMIUSA
Rogge Global PartnersLondonUnited Kingdom
Root River Capital, LLCMinneapolisMNUSA
Sabal Trust CompanySt. PetersburgFLUSA
San Juan Asset ManagementSan JuanPuerto Rico
Sandia Wealth ManagementAlbuquerqueNMUSA
Sapience Investments, LLCNewport BeachCAUSA
Sasco Capital, Inc.FairfieldCTUSA
Sawgrass Asset Management, LLCJacksonville BeachFLUSA
SC Capital AdvisorsPalm DesertCAUSA
Scharf Investments, LLCScotts ValleyCAUSA
Scout Investments, Inc.Kansas CityMOUSA
Seamans Capital Management, LLCWalthamMAUSA
Security Asset ManagementNew YorkNYUSA
Security Bank CorporationMakati CityPhilippines
Sesfikile Capital (Pty) LtdJohannesburgSouth Africa
SGLP PRIVATE EQUITIESNorth YorkONCanada
Shelton Capital ManagementSan FranciscoCAUSA
Sigma Alpha CapitalMontrealQCCanada
Sila Value Advisors, LLCManhattan BeachCAUSA
Silk Invest LimitedLondonUnited Kingdom
SilkRoad Property PartnersSingaporeSingapore
Silver Arrow Investment Management, LLCNew YorkNYUSA
Silvermine CapitalStamfordCTUSA
Simms Capital ManagementStamfordCTUSA
SIPCOSan AntonioTXUSA
Sky Investment CounselTorontoONCanada
SLF Strategic Advisers Private LimitedSingaporeSingapore
SSI Investment ManagementBeverly HillsCAUSA
Stadion Money ManagementWatkinsvilleGAUSA
Standard Life InvestmentsEdinburghUnited Kingdom
Stenham Asset Management IncSt Peter PortGuernsey
Sterling AdvisorsKing of PrussiaPAUSA
StoneRidge PMG Advisors, LLCWest ConshohockenPAUSA
Strategic Development InvestmentsLos AngelesCAUSA
Stu Hawver, CFA, MBA, LLCMocksvilleNCUSA
Summit Investment Management, Ltd.MilwaukeeWIUSA
SuttonBrook Capital ManagementNew YorkNYUSA
SVM Asset Management LtdEdinburghUnited Kingdom
SW Asset Management, LLCNewport BeachCAUSA
Swell Asset ManagementGold CoastAustralia
SYCOMORE AMParisFrance
Sydbank A/SAabenraaDenmark
TAHO CapitalTorontoONCanada
TD Asset ManagementTorontoONCanada
Tegesta CapitalBoca RatonFLUSA
TEN ASSET MANAGEMENTEncinitasCAUSA
The Headlands GroupLarkspurCAUSA
The Index People BVHaarlemNetherlands
The Ithaka GroupBethesdaMDUSA
THE LT FUNDS SAGenevaSwitzerland
The Randolph CompanyCincinnatiOHUSA
Third Stage Investment Group, LLCBellevueWAUSA
Third Wave Global Investors, LLCGreenwichCTUSA
Thomas Jones Financial LLCSt. Clair ShoresMIUSA
Tierra FundsDevonPAUSA
Timucuan Asset Management, Inc.Jacksonville FLUSA
TIS Group, Inc.North OaksMNUSA
TOBAMParisFrance
Tolis Advisors, LPNew YorkNYUSA
Tonus Capital Inc.MontrealQCCanada
Towle & Co.St. LouisMOUSA
Trend Dynamics, Inc.BeachwoodOHUSA
Tresor Capital Management, LLCDenverCOUSA
Triad Investment ManagementNewport BeachCAUSA
TrueNorth WealthSalt Lake CityUTUSA
TT InternationalLondonUnited Kingdom
TW AdvisorsCentervilleOHUSA
Twele Capital Management, Inc.MinnetonkaMNUSA
Ulrich BenzingSchmittenGermany
Union InvestmentFrankfurt am MainGermany
Valeur Asset Management SALuxembourgLuxembourg
VALEUR FIDUCIARIA SALuganoTicinoSwitzerland
Valeur Private LimitedSINGAPORESingapore
ValueWorks LLCNew YorkNYUSA
Vanbarton Group LLCNew YorkNYUSA
Vansant MewshawLuthervilleMDUSA
VCM WealthCollegevillePAUSA
Vela InvestorsSingaporeSingapore
Velocity Capital PartnersArlingtonVAUSA
Versus Quantitative FinanceBelo HorizonteBrazil
Vunani Fund Managers (Pty) Ltd.Cape TownWestern CapeSouth Africa
WALTHAUSEN & CO., LLCClifton ParkNYUSA
Wasatch Advisors, Inc.Salt Lake CityUTUSA
Waycross PartnersLouisvilleKYUSA
WCAS Fraser Sullivan Investment Management LLCNew YorkNYUSA
WCM Investment ManagementLaguna BeachCAUSA
Wedgewood PartnersSt. LouisMOUSA
WEITZ FUNDSOmahaNEUSA
Welkin Capital ManagementHong KongHong Kong
WestEnd AdvisorsCharlotteNCUSA
Westwood Global Investments, LLCBostonMAUSA
WHEB Asset Management LLPLondonUnited Kingdom
WHV Investment ManagementSan Francisco CAUSA
Wilshire Associates Inc.Santa MonicaCAUSA
WINGATE ASSET MANAGEMENTMelbourneVictoriaAustralia
Winsten Global AdvisorsRose BayNSCanada
www.polencapital.comBoca RatonFLUSA
X-Square Capital, LLCHato ReyPRPuerto Rico
Y H & C InvestmentsLas VegasNVUSA
Zazove Associates, LLCIncline VillageNVUSA

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.