Federal Data Hub › SEC Form ADV · JSON · SEC IAPD ↗

DWS INVESTMENT MANAGEMENT AMERICAS, INC.

dba DWS INVESTMENT MANAGEMENT AMERICAS, INC. · CRD 104518 · Registered Investment Adviser

Criminal disclosureRegulatory disclosureCivil/Other disclosureCustody via related personManages private funds

DWS INVESTMENT MANAGEMENT AMERICAS, INC. is a Registered Investment Adviser headquartered in NEW YORK, NY. The firm reports $199,663,682,816 in regulatory assets under management across 550 accounts, and manages 4 private fund(s). It reports 15 Form ADV Item 11 disciplinary disclosure(s) (Criminal, Regulatory, Civil/Other).

Regulatory assets under management

Discretionary$196,431,598,979
Non-discretionary$3,232,083,837
Total RAUM$199,663,682,816
Accounts550

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 15 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)Yes
Regulatory (11C–11F)Yes
Civil / Other (11G / 11H)Yes

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 104518. adviserinfo.sec.gov/firm/summary/104518.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

License: CC0 1.0 Universal. Corrections: corrections @ ai-analytics.org.