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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18 Asset ManagementLondonONCanada
1919 Investment CounselSAN FRANCISCOCAUSA
3D Asset ManagementHartfordCTUSA
Aberdeen Standard InvestmentsEdinburghUnited Kingdom
ABL Asset ManagementLahorePakistan
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
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
Alpha InsightsIrvineCAUSA
AlphaFixe CapitalMontrealQCCanada
AlphaMark Advisors LLCFt. WrightKYUSA
Alta Capital ManagementSalt Lake CityUTUSA
Amundi (UK) LimitedLondonUnited Kingdom
Anavon CapitalLondonUnited Kingdom
Ancora Advisors LLCClevelandOHUSA
Anthropocene Capital Management, LLCChicagoILUSA
Appleton Group, LLCAppletonWIUSA
APS Labs LLCChicagoILUSA
Arena Capital AdvisorsLos AngelesCAUSA
Ariel Investments, LLCChicagoILUSA
Armstrong Shaw Associates Inc.New CanaanCTUSA
Artico PartnersZurichSwitzerland
Ascentris, LLCDenverCOUSA
Asset Value InvestorsLondonUnited Kingdom
Aston Capital ManagementCoral GablesFLUSA
Atlas Capital AdvisorsSan FranciscoCAUSA
Atlas Funds ManagementSydneyAustralia
AtlasTrendPerthAustralia
Aurum Wealth Management GroupMayfield VillageOHUSA
Axiom InvestorsGreenwichCTUSA
Azarias CapitalBerwynPAUSA
Babylon Wealth ManagementWalnut CreekCAUSA
Bahl & Gaynor, Inc.CincinnatiOHUSA
Baillie Gifford & CoEdinburghUnited Kingdom
Baird AdvisorsMilwaukeeWIUSA
BalentineAtlantaGAUSA
Ballast Equity Management, LLCOakbrook TerraceILUSA
BANORMilanoItaly
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 SAGeneveSwitzerland
Brockton Capital LLPLondonUnited Kingdom
Brown AdvisoryBaltimoreMDUSA
BSA Asset Management, LLCIrvingTXUSA
Caerus International AGZurichSwitzerland
Calamos Advisors LLCNapervilleILUSA
Callan LLCSan FranciscoCAUSA
Canso Investment Counsel Ltd.Richmond HillONCanada
Capital Advisors Ltd.Shaker HeightsOHUSA
Capital Counsel LLCNew YorkNYUSA
Capital Impact Advisors, LLCBostonMAUSA
Capital InnovationsPewaukeeWIUSA
Capital ProspectsStamfordCTUSA
Capstone Global InvestmentsAtlantaGAUSA
Capwealth AdvisorsFranklinTNUSA
Carillon Tower AdvisersSt PetersburgFLUSA
Castle Wealth ManagementWest Palm BeachFLUSA
Castleton PartnersBrooklynNYUSA
CDAMLondonUnited Kingdom
Cedar Capital, LLCBarringtonILUSA
Cidel Asset ManagementTorontoONCanada
Cluster Family OfficeBarcelonaSpain
CohaloSnoqualmieWAUSA
Cohen Capital ManagementCorte MaderaCAUSA
Cohesive CapitalCape TownSouth Africa
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
Courtiers Asset Management LtdHenley-on-ThamesUnited Kingdom
Coyle Capital, LLCLakewayTXUSA
Crede Capital PartnersJohannesburgSouth Africa
CS McKeePittsburghPAUSA
CT Capital LLCAlpineNJUSA
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
DeRoy & DevereauxSouthfieldMIUSA
DFA Australia LimitedSydneyAustralia
DGS Capital Management, LLCNew YorkNYUSA
DLK Investment ManagementSolana BeachCAUSA
DSM Capital PartnersPalm Beach GardensFLUSA
Dundas Global InvestorsEdinburghUnited Kingdom
Eagle Asset ManagementSt PetersburgFLUSA
EAM Investors, LLCSolana BeachCAUSA
EASTSPRING INVESTMENTSSingaporeSingapore
Element Investment ManagersCape TownSouth Africa
Embark InvestmentsLondonUnited Kingdom
EPIQ Partners, LLCMinneapolisMNUSA
Eremsle CapitalFort LauderdaleFLUSA
ESG Portfolio ManagementFrankfurtGermany
Falcon Point CapitalSan FranciscoCAUSA
Federated Hermes InternationalLondonUnited Kingdom
Fiera Capital (IOM) LimitedDouglasUnited Kingdom
Fiera Capital (UK) LimitedLondonUnited Kingdom
First Avenue Investment ManagementJohannesburgSouth Africa
First Sentier InvestorsBarangarooAustralia
First State InvestmentsLondonUnited Kingdom
Flaherty & CrumrinePasadenaCAUSA
Focused Investors LLCLos AngelesCAUSA
Foord Asset ManagementCape TownSouth Africa
Forex CollegeKrugersdorpSouth Africa
Formula Growth LimitedMontrealQCCanada
Fortress Fund ManagersSt MichaelBarbados
Foundry Partners, LLCMinneapolisMNUSA
Friess AssociatesGreenvilleDEUSA
Frontier Partners, IncNorthbrookILUSA
FS InvestmentsPhiladelphiaPAUSA
G Squared Capital LLPLondonUnited Kingdom
GAM USA Inc.NEW YORKNYUSA
Garodemana Realty and Investment Co.TehranIran
Gerstein FisherNew YorkNYUSA
Glacier InvestTygervalleySouth Africa
Global EvolutionKoldingDenmark
Gould Tactical Growth LLCPhoenixvillePAUSA
GQG Partners LLCFort LauderdaleFLUSA
Grace CapitalQuincyMAUSA
Grandview Investment Advisors, LLCDenverCOUSA
Grapevine Capital Partners LLCSan Luis ObispoCAUSA
Green Mesa CapitalHendersonNVUSA
Gridiron PartnersWexfordPAUSA
Gryphon Asset MananegementBellvilleSouth Africa
GSI Capital Advisors LLCNewport BeachCAUSA
Guinness Asset Management LtdLondonUnited Kingdom
Harding LoevnerBridgewaterNJUSA
Harvey Partners, LLCTarrytownNYUSA
Heard CapitalChicagoILUSA
Helfin Private Wealth Pty LtdPretoriaSouth Africa
Hexavest Inc.MontrealQCCanada
Howland and Associates, LLCSt PetersburgFLUSA
Hummer Financial Advisory Services IncChicagoILUSA
IFM Investors Pty LtdMelbourneAustralia
Index PeopleHaarlemNetherlands
Intech InvestmentsWest Palm BeachFLUSA
Integracion AFAPMontevideoUruguay
Integre Investment Management (Pty) LimitedJohannesburgSouth Africa
Intermede Investment PartnersLondonUnited Kingdom
Inva CapitalCuritibaBrazil
InView InvestmentsChicagoILUSA
IPOPEMA TFI S.A.WarsawPoland
IronHorse Capital LLCNashvilleTNUSA
iSectors, LLCAppletonWIUSA
Itau Asset ManagementSao PauloBrazil
Itau USA Asset Management, Inc.New YorkNYUSA
Jamieson Coote BondsMelbourneAustralia
JB Financial (Pvt) LtdColomboSri Lanka
Jirau Capital Management LLCSan JuanPuerto Rico
Kapstream CapitalSydneyAustralia
KBI Global InvestorsDublin 1Ireland
Kellogg Asset Management LLCGreen BayWIUSA
Kingwest & ComapnyTorontoONCanada
Kinsted WealthcalgaryABCanada
L&S Advisors, Inc.Los AngelesCAUSA
L2 Capital PartnersNova LimaBrazil
Lawson KroekerOmahaNEUSA
Leblon EquitiesRio de JaneiroBrazil
Linde, Hansen & Co., IncGreen VillageNJUSA
Longview PartnersSt Peter PortGuernsey
Lord Abbett, & Co. LLCJersey CityNJUSA
Louisbourg InvestmentsMonctonNBCanada
Lumen AdvisorsSingaporeSingapore
LuxcaraHamburgGermany
LYNEAR Wealth ManagementColomboSri Lanka
MACRO Consulting GroupParsippanyNJUSA
Main Management LLCSan FranciscoCAUSA
Mairs & Power, Inc.St. PaulMNUSA
Majedie Asset ManagementLondonUnited Kingdom
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
MEDIAN ASSET MANAGEMENT CCGROBLERSDALSouth Africa
Mench Financial, Inc.CincinnatiOHUSA
Metis Global PartnersSan DiegoCAUSA
Mint Asset Management LtdAucklandNew Zealand
Mint CapitalSão PauloBrazil
MMG BankPanamaPanama
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
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
Panarchy Partners Pte LtdSingaporeSingapore
Paradigm Asset ManagementWhite PlainsNYUSA
Payden & RygelLos AngelesCAUSA
Pembroke Management Ltd.MontrealQCCanada
PENSIONISSSTEMexico CityMexico
PGIM Private Placement Investors, L.P.NewarkNJUSA
PGIM Real EstateMadisonNJUSA
Pier Capital, LLCStamfordCTUSA
Pinechip Capital GmbHHamburgGermany
Poinciana Advisors group, LLCPalm Beach GardensFLUSA
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
R.G. Associates, Inc.TowsonMDUSA
Radix Financial, LLCOklahoma CityOKUSA
RAM Active Investments SAGenevaSwitzerland
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
Runde & Co. LLCSeattleWAUSA
Sandia Wealth ManagementAlbuquerqueNMUSA
Sapience Investments, LLCNewport BeachCAUSA
Saracen Fund ManagersEdinburghUnited Kingdom
Sasco Capital, Inc.FairgieldCTUSA
Sasfin Asset ManagersJohannesburgSouth Africa
Saturna CapitalBellinghamWAUSA
Sawgrass Asset ManagementJacksonville BeachFLUSA
Scout InvestmentsKansas CityMOUSA
Security Capital Research & Management IncorporatedChicagoILUSA
SevenaarWithamUnited Kingdom
Shellman WealthMontevideoUruguay
SICO B.S.C. (c)ManamaBahrain
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
Steyn Capital ManagementCape TownSouth Africa
Stu Hawver, CFA, MBA, LLCMocksvilleNCUSA
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
Tikehau CapitalParisFrance
TOBAMParisFrance
Tonus Capital Inc.MontrealQCCanada
Towle & Co.St. LouisMOUSA
Triad Investment ManagementNewport BeachCAUSA
TT InternationalLondonUnited Kingdom
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 Pte LtdSingaporeSingapore
Valori Asset ManagementLuxembourgLuxembourg
Value SquareGentBelgium
Van Hulzen Asset ManagementEl Dorado HillsCAUSA
Viburnum FundsNedlandsAustralia
Vunani Fund Managers (Pty) LtdCape TownSouth Africa
Wasatch Global InvestorsSalt Lake CityUTUSA
Wasmer SchroederNaplesFLUSA
WCM Investment ManagementLaguna BeachCAUSA
Wedgewood PartnersSt. LouisMOUSA
WestEnd AdvisorsCharlotteNCUSA
WHEB Asset ManagementLondonUnited Kingdom
Whitehelm CapitalBartonAustralia
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