Allianz Global Investors U.S. LLC (New York)


Allianz Global Investors U.S. LLC is a large advisory firm based in New York. It manages $126.16 billion of regulatory assets for 3,554 client accounts. It has been registered with the SEC as an adviser since 2013 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 49 other states.

Allianz Global Investors U.S provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, selection of other advisers, and investment model delivery services, research and consulting services, portfolio management for collateralized debt obligations. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Allianz Global Investors U.S: assets under management

The assets under management (AUM) of Allianz Global Investors U.S. LLC is $126.16 billion. The firm's AUM has grown by 338% since the beginning of its operation, and $54.26 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $119.78 billion in discretionary accounts and $6.38 billion in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $33.9 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $303.72 million.
Allianz Global Investors U.S has custody of $9.98 billion in cash and securities for 25 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 31% of the total AUM. The second-largest asset type is cash and cash equivalents, which make up 3% of the firm’s portfolio. Investments in investment and business development companies form 1% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Allianz Global Investors U.S. LLC for their services and products based on a percentage of assets under management, fixed fees, and performance-based fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Allianz Global Investors U.S serves?

The firm provides services to investment companies, charitable organizations, high net worth individuals, pooled investment vehicles, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Allianz Global Investors U.S is investment companies with 174 clients and $74.94 billion of assets under management. Among the 9 most similar advisory firms, Allianz Global Investors U.S has the 3rd highest percentage of investment companies out of all clients.

The amount of regulatory assets under management is $118.68 billion for 345 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 30% of the firm’s clients are foreign persons or businesses.

Allianz Global Investors U.S also advises several private funds. Namely, twenty one hedge funds, four other private funds, and two private equity funds. The minimum investment commitment required of non-related persons ranges from $0 to $10,000,000.

Careers at Allianz Global Investors U.S. LLC

The company employs 288 people that are either part- or full-time employees. 63 percent of the employees work as investment advisers or researchers. 36 employees are registered as investment adviser representatives with the state securities authorities.

There are 9 people with the role of looking for and bringing in new clients on behalf of the firm. The firm compensates employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Michael James Puntoriero Managing director and chief financial officer 1 Jun 2008 Other 5392633
Charles Henry Field Managing director, chief legal officer 1 Nov 2008 Other 1652540
Katherine Ann Rich Managing director 1 Jan 2009 Other 1943302
Deborah Ann Wussow Hammalian Chief compliance officer 1 Oct 2009 Other 2464611
Douglas Gorman Forsyth Managing director 1 Apr 2010 Other 2238248
Allianz Global Investors U.S. Holdings Llc Member 1 Dec 2011 75% - 100% 33-0977088
Andreas Ernst Ferdinand Utermann Member, management board of allianz global investors gmbh 1 Jan 2012 Other 6044425
Brian Joseph Gaffney Member, executive committee, allianz global investors u.s. holdings llc 1 Jan 2013 Other 1977659
Julian Fernand Sluyters Member, executive committee, allianz global investors u.s. holdings llc 1 Jan 2013 Other 2209394
John Charles Carroll Member, executive committee, allianz global investors u.s. holdings llc 1 Jan 2013 Other 1662116
Barbara Ruth Claussen Member, executive committee, allianz global investors u.s. holdings llc 1 Jan 2013 Other 2230890
Benno John Fischer Member, executive committee, allianz global investors u.s. holdings llc 1 Jan 2013 Other 2198753
Douglas Gorman Forsyth Member, executive committee, allianz global investors u.s. holdings llc 1 Jan 2013 Other 2238248
Jill Ellen Lohrfink Member, executive committee, allianz global investors u.s. holdings llc 1 Jan 2013 Other 1191413
Scott T Migliori Member, executive committee, allianz global investors u.s. holdings llc 1 Jan 2013 Other 2805164
Herold Clemens Rohweder Member, executive committee, allianz global investors u.s. holdings llc 1 Jan 2013 Other 6166890
Udo Frank Member, executive committee, allianz global investors u.s. holdings llc 1 Jan 2013 Other 4648701
Paul Koo Chief compliance officer 1 Feb 2013 Other 1784638
David Christopher Owen Chief legal officer 1 Feb 2013 Other 5748032
Susan Matteson King Member, executive committee, allianz global investors u.s. holdings llc 1 Dec 2013 Other 1917282
Susan Matteson King Member, executive committee, allianz global investors u.s. holdings llc 1 Feb 2014 Other 1917282
David Boyd Jobson Member, executive committee, allianz global investors u.s. holdings llc 1 Feb 2014 Other 4800715
Erin Bengtson Olivieri Managing director and chief financial officer 1 Apr 2014 Other 2809467
Peter Victor Bonanno Managing director and chief legal officer 1 Dec 2014 Other 2025458
Giorgio Carlino Member, executive committee, allianz global investors u.s. holdings llc 1 Oct 2015 Other 6566621
Satyajit Siddharth Kumar Member, executive committee, allianz global investors u.s. holdings llc 1 Oct 2015 Other 6566622
William Edward Grau Member, executive committee, allianz global investors u.s. holdings llc 1 Jan 2016 Other 4751188
Andrew Douglas Eu Member, executive committee, allianz global investors u.s. holdings llc 1 Jan 2016 Other 4352318
Peter Victor Bonanno Member, executive committee, allianz glboal investors u.s. holdings llc 1 Mar 2016 Other 2025458
Jeffrey Donald Parker Member, executive committee, allianz global investors u.s. holdings llc 1 Jun 2016 Other 2776739
John Francis Viggiano Chief legal officer 1 Aug 2019 Other 5932701
Gemesh Pushpaharan Chief operating officer 1 Aug 2019 Other 7171613

Indirect Owners

The SEC currently registers 5 indirect owners.

Name Entity Date acquired Ownership Employer ID
Inc. Allianz Of America Member 1 May 2000 75% - 100% 13-2883190
Allianz Asset Management Of America Llc Partner 1 Dec 2009 75% - 100% 06-1605361
Allianz Asset Management Of America L.P. Member 1 Dec 2011 75% - 100% 06-1349805
Allianz Se Sole stockholder 1 Jun 2012 75% - 100% 98-0122343
Allianz Europe B.V. Sole stockholder 1 Jun 2012 75% - 100% 00-0000000

Based in New York

The principal office where Allianz Global Investors U.S. LLC performs its advisory services is located at 1633 Broadway, New York, NY 10019, which is also the mailing address of the firm. An additional office of the firm is in Dallas, TX. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 212-739-3000 or by fax 212-739-3948. The normal business hours are 9:00 am to 5:00 pm est on Monday - Friday. You can find more information about the New York firm at us.allianzgi.com.