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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1311 Capital LLCLynchburgVAUSA
13D Management LLCNew YorkNYUSA
18 Asset ManagementLondonONCanada
361 Capital LLCDenverCOUSA
60 West Advisors LLCBethlehemPAUSA
A.H. Williams & Co.PhiladelphiaPAUSA
Aberdeen Asset Management PLCLondonUnited Kingdom
Aberdeen Asset Managers Ltd.AberdeenUnited Kingdom
Accuvest Global AdvisorsWalnut CreekCAUSA
Addenda Capital Inc.MontrealQCCanada
Albizia Capital Pte LtdSingaporeSingapore
Algert Global LLCSan FranciscoCAUSA
Alkhabeer CapitalJeddahSaudi Arabia
AllocateRite, LLCNew YorkNYUSA
alpha beta asset management gmbhFrankfurt am MainGermany
Alpha CapitalGurgaonIndia
AlphaMark Advisors LLCFt. WrightKYUSA
Amundi (UK) LimitedLondonUnited Kingdom
Apex CapitalSão PauloBrazil
API CapitalSydneyAustralia
Appleton GroupAppletonWIUSA
Artico PartnerszurichSwitzerland
Ascentris, LLCDenverCOUSA
Ashton GlobalNew YorkNYUSA
Asset ManagerPEWAUKEEWIUSA
Aston Capital ManagementCamana BayCayman Islands
Athena Capital Management Corp.Colorado SpringsCOUSA
Atlas Capital AdvisorsSan FranciscoCAUSA
Atlas Funds ManagementSydneyAustralia
AtlasTrendSydneyAustralia
Attunga Capital Pty LtdWahroongaAustralia
Aurum Wealth ManagementMayfield VillageOHUSA
Avantgarde CapitalSao PauloBrazil
AXA-IMParis - La DéfenseFrance
Bahl & Gaynor, Inc.CincinnatiOHUSA
Baillie Gifford & CoEdinburghUnited Kingdom
Baird AdvisorsMilwaukeeWIUSA
Baker Asset ManagementWilliamsburgVAUSA
Banner Pine Advisors LLCHighlands RanchCOUSA
BANOR SIMMilanoItaly
Barton Investment Management, LLCWest ConshohockenPAUSA
Baylight CapitalSan BrunoCAUSA
BBVA BancomerMEXICO CITYMexico
Belmont Capital GroupLos AngelesCAUSA
BeManagedGrand RapidsMIUSA
Berkeley Street Partners, LLCBostonMAUSA
BFSG, LLCIrvineCAUSA
Blackfriars Asset ManagementLondonUnited Kingdom
BlackRockNew YorkNYUSA
BlockBay CapitalAmsterdamNetherlands
Bramshill InvestmentsHackensackNJUSA
Brava CapitalSão PauloBrazil
Breakwater Investment GroupNewport BeachCAUSA
BroadCore Investments LPShrewsburyNJUSA
Broadgate Advisers SAGenevaSwitzerland
Broadglen Investment Management LLCEnglewoodCOUSA
Brockton Capital LLPLondonUnited Kingdom
BSA Asset Management, LLCIrvingTXUSA
Caerus Investment ManagementLondonUnited Kingdom
Calamos Advisors LLCNapervilleILUSA
Callan LLCSan FranciscoCAUSA
Cameron Hume LimitedEdinburghUnited Kingdom
Canso Investment Counsel Ltd.Richmond HillONCanada
Capital Advisors Ltd.Shaker HeightsOHUSA
Capital One Asset Management, LLCNew YorkNYUSA
CapWealth AdvisorsFranklinTNUSA
Carillon Tower AdviserSt PetersburgFLUSA
Carl Domino, Inc.West Palm BeachFLUSA
Castle Wealth ManagementWest Palm BeachFLUSA
CastleArkChicagoILUSA
Castlebar Asset ManagementOverland ParkKSUSA
Castleton PartnersNew YorkNYUSA
Catallaxy CapitalBrooklynNYUSA
CBRE Global Real Estate Securities, LLCBaltimoreMDUSA
CCB INTERNATIONAL (SINGAPORE) PTE. LTD.SingaporeSingapore
CDAM (UK) LtdLondonUnited Kingdom
Centurion Advisors Corp.FriendswoodTXUSA
Chilton Capital Management LLCHoustonTXUSA
CIBC Asset ManagementMontrealQCCanada
CITIGATE INTERNATIONAL LTDDubaiUnited Arab Emirates
Clarion PartnersNew YorkNYUSA
Clarkston Capital PartnersBloomfield HillsMIUSA
ClearArc Capital, Inc.CincinnatiOHUSA
Cluster Family OfficeBarcelonaSpain
CoBiz WealthDenverCOUSA
Cohen Capital Management, Inc.Corte MaderaCAUSA
Cohesive CapitalCape TownSouth Africa
Cold Creek CapitalBraintreeMAUSA
ComgestParisFrance
ConningHartfordCTUSA
Constantia Capital LLCLawrencevilleNJUSA
Cording Real Estate GroupLondonUnited Kingdom
Cornell Capital ManagementClarence CenterNYUSA
Coronation Fund ManagersLondonUnited Kingdom
Coronation Fund Managers LtdCape TownSouth Africa
Corvus CapitalNashvilleTNUSA
COTE 100Saint-BrunoQCCanada
Cove Street CapitalEl SegundoCAUSA
Coyle CapitalAustinTXUSA
Crede Capital PartnersJohannesburgSouth Africa
CS McKeePittsburghPAUSA
CT Capital LLCAlpineNJUSA
CWC Advisors, LLC.Lake OswegoORUSA
Day Hagan LogixSarasotaFLUSA
DCI, LLCSan FranciscoCAUSA
Denali Advisors, LLCSan DiegoCAUSA
DGS Capital ManagementGurgaonHaryanaIndia
DLK Investment ManagementSOLANA BEACHCAUSA
Dreman Value ManagementWest Palm BeachFLUSA
Dundas Global InvestorsEdinburghUnited Kingdom
Eagle Asset Managementst PetersburgFLUSA
EAM Investors, LLCCardiff by the SeaCAUSA
Eastspring InvestmentsSingaporeSingapore
EastWest Bank Trust DivisionBonifacio Global CityPhilippines
Element Investment ManagersCape TownSouth Africa
EPIQ Partners, LLCMinneapolisMNUSA
ETF Capital ManagementTorontoONCanada
Euclid Advisors LLCNew YorkNYUSA
Exacta Capital Partners LPJersey CityNJUSA
Fairbanks Capital Management, Inc.Rancho Santa FeCAUSA
Fairtree CapitalCape TownSouth Africa
Falcon CapitalChicagoILUSA
Falcon Point Capital, LLCSan FranciscoCAUSA
Fiera Capital (IOM) LimitedDouglasUnited Kingdom
FIM Asset ManagementHelsinkiFinland
FinerdTortolaVirgin Islands (British)
First Avenue Investment ManagementJohannesburgSouth Africa
First Markets CapitalCanberraAustralia
Flaherty & CrumrinePasadenaCAUSA
FlatStone Capital Advisors Inc.CalgaryABCanada
Fluent FinancialDallasTXUSA
Focused Investors LLCBEVERLY HILLSCAUSA
Forex CollegeKrugersdorpSouth Africa
Formation GroupPalo AltoCAUSA
Formula Growth LimitedMontrealQCCanada
Fortress Fund ManagersBridgetownBarbados
Foundry Partners LLCMinneapolisMNUSA
Friess AssociatesGreenvilleDEUSA
Frontegra Asset Management Inc.NorthbrookILUSA
FS InvestmentsPhiladelphiaPAUSA
Fulcrum CapitalSeattleWAUSA
Fundamenta Asset ManagementGrand CaymanCayman Islands
GAM USA Inc.New YorkNYUSA
Gavin Management GroupTorontoONCanada
Gerstein FisherNew YorkNYUSA
Global EvolutionKoldingDenmark
GQG Partners LLCFort LauderdaleFLUSA
Grace CapitalBostonMAUSA
Grapevine Capital PartnersSan Luis ObispoCAUSA
Gratry & Company LLCBeachwoodOHUSA
Gries Financial LLCClevelandOHUSA
Guinness Asset ManagementLondonUnited Kingdom
Harding LoevnerBridgewaterNJUSA
Hartland & Co.ClevelandOHUSA
HAV Capital LLCLa JollaCAUSA
Heard Capital LLCChicagoILUSA
HeitmanChicagoILUSA
Hermes Investment ManagementLondonUnited Kingdom
Hexavest Inc.MontrealQCCanada
Highland AssociatesBirminghamALUSA
HMS Mgt. Inc.MoragaCAUSA
Howland and Associates, LLCSt PetersburgFLUSA
Hummer Financial Advisory Services IncChicagoILUSA
Hurley Capital, LLCNew YorkNYUSA
IFM Investors Pty LtdMelbourneAustralia
Income Growth Advisors, LLCDaniel IslandSCUSA
InfraRed Capital Partners LtdLondonUnited Kingdom
IntechWEST PLAM BEACHFLUSA
Integra Capital LimitedOakvilleONCanada
Intermede Investment PartnersLondonUnited Kingdom
Inva CapitalCuritibaBrazil
InView InvestmentsChicagoILUSA
IPSOL CapitalMontrealQCCanada
IronHorse Capital LLCNashvilleTNUSA
iSectors, LLCAppletonWIUSA
Itaú Asset ManagementSão PauloBrazil
Itau USA Asset Management Inc.New YorkNYUSA
Jamieson Coote BondsMelbourneAustralia
Janus Capital Management LLCDenverCOUSA
JB Financial (Pvt) LtdColomboSri Lanka
JC Clark Ltd.TorontoONCanada
Kaiser Trading GroupMelbourneAustralia
Kaizen Advisory LLCWheatonILUSA
Kapstream CapitalSydneyAustralia
KBC Asset Management SALuxembourgLuxembourg
Kellogg Asset Management LLCGreen BayWIUSA
Kendall CapitalRockvilleMDUSA
Keystone Investment Management A/SCopenhagenDenmark
KGSAhmedabadIndia
Kina Funds Management (KFM)Port MoresbyPapua New Guinea
Kopp Investment AdvisorsBloomingtonMNUSA
Kovitz Investment Group Partners, LLCCHICAGOILUSA
L&S Advisors, Inc.Los AngelesCAUSA
Leblon EquitiesRio de JaneiroBrazil
Lesa Sroufe & CoseattleWAUSA
Letko, Brosseau & Associates Inc.MontrealQCCanada
Liberty Hill CapitalRogersvilleMOUSA
Libra Invest BerhadKuala LumpurMalaysia
LindeHansenFlorham ParkNJUSA
Livia Capital Partners LPNew YorkNYUSA
Lodge StreetLathamNYUSA
Longview Partners (Guernsey) LimitedSt Peter PortGuernseyGuernsey
Lord, Abbett & Co. LLCJersey CityNJUSA
LR GlobalNew YorkNYUSA
Lumen AdvisorsSingaporeSingapore
LuxcaraHamburgGermany
LYNEAR Wealth ManagementColomboSri Lanka
M.C. Draper Capital ManagementWichitaKSUSA
Maestro Investment ManagementCape TownSouth Africa
MARS Asset ManagementBad HomburgGermany
Marshfield AssociatesWashingtonDCUSA
Martin Currie, Inc.EdinburghUnited Kingdom
Mason Capital PartnersBostonMAUSA
Mayar CapitalLondonUnited Kingdom
MCOF Management LLCNew YorkNYUSA
Medley Capital LLCNew YorkNYUSA
Medley SMA AdvisorsNew YorkNYUSA
Mench Financial, Inc.CincinnatiOHUSA
Merrion CapitalDublinIreland
Metis Global PartnersSan DiegoCAUSA
Miles Capital, Inc.West Des MoinesIAUSA
Mint Capitalsao pauloBrazil
Mont Capital AssetSão PauloBrazil
MP Senior Credit PartnersNew YorkNYUSA
MRA AssociatesPHOENIXAZUSA
Muzinich & Co.New YorkNYUSA
Nanuk Asset ManagementSydneyAustralia
NBW Capital, LLCBostonMAUSA
Nephila Capital Ltd.HamiltonBermuda
New Path Capital AdvisorsSilverthorneCOUSA
Newport Capital AdvisersNorth QuincyMAUSA
Next Century Growth Investors, LLCMinneapolisMNUSA
Nichols Asset Management, LLCSudburyMAUSA
Night Owl CapitalGreenwichCTUSA
NLB Asset ManagementLjubljanaSlovenia
North Capital Inc.Salt Lake CityUTUSA
North Shore Asset Management, LLCCold Spring HarborNYUSA
NorthPointe Capital, LLCBloomfield HillsMIUSA
Nuance InvestmentsKansas CityMOUSA
Oasis Group Holdings (Pty) Ltd.Cape TownSouth Africa
OGAM LPHoustonTXUSA
OGAM LtdTorontoONCanada
Old Mutual Investment GroupPinelandsSouth Africa
One Capital Management, LLCWestlake VillageCAUSA
Orbis Asset ManagementSan FranciscoCAUSA
Pacific Asset ManagementNewport BeachCAUSA
Pacific Income AdvisersSanta MonicaCAUSA
Palo Capital, Inc.Newport BeachCAUSA
Pamet Advisors LLCConcordMAUSA
Panther Capital GroupFt. WorthTXUSA
Partnervest Financial GroupSanta BarbaraCAUSA
Payden & RygelLos AngelesCAUSA
Pendo LLCNew YorkNYUSA
Perkins Investment Management LLCChicagoILUSA
Peter J. Lehner & Partner AGZugSwitzerland
PetercamBRUSSELSBelgium
PHEIM ASSET MANAGEMENT SDN BHDKuala LumpurMalaysia
Pier Capital, LLCStamfordCTUSA
Poinciana Advisors Group, LLCPalm Beach GardensFLUSA
Pointe Capital ManagementGrosse Pointe FarmsMIUSA
Post Advisory Group, LLCLos AngelesCAUSA
PREMIS Capital PartnersFort LauderdaleFLUSA
Presima Inc.MontrealQCCanada
ProForzaMcleanVAUSA
Provenance Wealth AdvisorsFort LauderdaleFLUSA
Pyrford International LtdLondonUnited Kingdom
QBI Financial, LLCCharlotteNCUSA
QC PartnersFrankfurtGermany
QICBrisbaneAustralia
QS Investors, LLCNew YorkNYUSA
Quantum Capital ManagementSan FranciscoCAUSA
Queens OakCharlotteNCUSA
QV Investors Inc.CalgaryABCanada
R.G. Associates, Inc.BaltimoreMDUSA
Radix FinancialOklahoma CityOKUSA
RAM Active InvestmentsGenevaSwitzerland
Rand & AssociatesSan FranciscoCAUSA
Reaves Asset ManagementJersey CityNJUSA
Record Currency ManagementWindsorUnited Kingdom
Red Ivy CapitalStamfordCTUSA
Red Tortoise, LLCAtlantaGAUSA
Regan Investments Inc.MinneapolisMNUSA
Regions Investment Management, Inc.BirminghamALUSA
Reitway GlobalCentury CitySouth Africa
Republica AFAPMontevideoUruguay
Rhythmic Capital ManagementSalt Lake CityUTUSA
Riverwater PartnersMilwaukeeWIUSA
Robinson Capital Management, LLCGrosse Pointe FarmsMIUSA
Rogge Global PartnersLondonUnited Kingdom
Rondure Global AdvisorsSalt Lake CityUTUSA
Root River Capital, LLCMinneapolisMNUSA
RoseCap Investment AdvisorsGrand JunctionCOUSA
Rossi Financial GroupEl Dorado HillsCAUSA
Running Oak CapitalMinnetonkaMNUSA
Sabal Trust CompanySt. PetersburgFLUSA
Sapience Investments, LLCNewport BeachCAUSA
Sasco Capital, Inc.FairfieldCTUSA
Saturna CapitalBellinghamWAUSA
Savernake CapitalSt. Peter PortGuernsey
Sawgrass Asset Management, LLCJacksonville BeachFLUSA
SC Capital AdvisorsPalm DesertCAUSA
Scout InvestmentsKansas CityMOUSA
Seamans CapitalBostonMAUSA
Sesfikile Capital (Pty) LtdJohannesburgSouth Africa
SGLP PRIVATE EQUITIESNorth YorkONCanada
Silk InvestLondonUnited Kingdom
SilkRoad Property PartnersSingaporeSingapore
Silver Arrow Investment Management, LLCNew YorkNYUSA
Silver Rock Financial LPSanta MonicaCAUSA
Silvermine CapitalStamfordCTUSA
Sisyphus CapitalNew YorkNYUSA
Slow Capital, Inc.GreenbreaCAUSA
SSI Investment ManagementBeverly HillsCAUSA
Stadion Money ManagementWatkinsvilleGAUSA
Standard Life InvestmentsEdinburghUnited Kingdom
Stenham Asset Management IncSt Peter PortGuernsey
Sterling AdvisorsKing of PrussiaPAUSA
Stu Hawver, CFA, MBA, LLCMocksvilleNCUSA
Sutton Place Capital Management LLCnyNYUSA
SVM Asset Management LtdEdinburghUnited Kingdom
Swell Asset ManagementGold CoastAustralia
Sydbank A/SAabenraaDenmark
Sygnus Capital LimitedJamaicaJamaica
TD Asset ManagementTorontoONCanada
Tegesta CapitalBoca RatonFLUSA
Tempest CapitalMexico CityMexico
The Headlands GroupLarkspurCAUSA
The Index People BVHaarlemNetherlands
The Ithaka GroupBethesdaMDUSA
THE LT FUNDS SAGenevaSwitzerland
Thomas Jones Financial LLCSt. Clair ShoresMIUSA
TIAA InvestmentsNew YorkNYUSA
Tierra FundsDevonPAUSA
Tilden Capital ManagementWhite PlainsNYUSA
TIS Group, Inc.North OaksMNUSA
TOBAMParisFrance
Tonus Capital Inc.MontrealQCCanada
Towle & Co.Saint LouisMOUSA
Triad Investment ManagementNewport BeachCAUSA
TrueNorth WealthSalt Lake CityUTUSA
TT InternationalLondonUnited Kingdom
TURNIT CAPITALlondonUnited Kingdom
TW AdvisorsCentervilleOHUSA
Twele Capital Management, Inc.MinnetonkaMNUSA
UFG Asset ManagementMoscowRussian Federation
Ulrich BenzingSchmittenGermany
Union InvestmentFrankfurt am MainGermany
UniónCapital AFAPMontevideoUruguay
Valeur Asset Management SALuxembourgLuxembourg
Valeur Pte LtdSingaporeSingapore
Value SquareGhentBelgium
Vanbarton Group LLCNew YorkNYUSA
Vansant MewshawLuthervilleMDUSA
VCM WealthCollegevillePAUSA
Vela InvestorsSingaporeSingapore
Viburnum Funds Pty LtdNedlandsAustralia
VIPB Asset ManagementDhakaBangladesh
Vunani Fund Managers (Pty) LtdCape TownSouth Africa
Wasatch Advisors, Inc.Salt Lake CityUTUSA
WCM Investment ManagementLaguna BeachCAUSA
Welkin Capital ManagementHong KongHong Kong
WestEnd AdvisorsCharlotteNCUSA
WHEB Asset ManagementLondonUnited Kingdom
Wingate Asset ManagementMelbourneAustralia
Winsten Global AdvisorsRose BayNSCanada
Y H & C InvestmentsLas VegasNVUSA
Zazove Associates, LLCIncline VillageNVUSA