Capital Guardian Trust Company (Los Angeles)

Name: Capital Guardian Trust Company
Address: 333 South Hope Street, Los Angeles, CA, 90071 1406
Telephone: (213) 486-9200

Capital Guardian Trust Company is a large advisory firm based in Los Angeles. It manages $45.76 billion of regulatory assets for 936 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdictions of Alabama, Alaska, Arizona, and 47 other states.

Capital Guardian Trust Company 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, and portfolio management for wrap fee and managed account programs. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Capital Guardian Trust Company: assets under management

The assets under management (AUM) of Capital Guardian Trust Company is $45.76 billion. The firm's AUM has gone down by -64% since the beginning of its operation, and $4.64 billion of the total AUM is attributable to clients outside of the United States.

The firm manages $45.63 billion in discretionary accounts and $124.27 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $48.96 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $31.07 million.

Capital Guardian Trust Company has custody of $2.76 billion in cash and securities for 43 clients in total but doesn’t act as a qualified custodian.

Investments

The firm invests in exchange traded securities the most. They account for 53% of the total AUM. The second-largest asset type is pooled investment vehicles, which make up 18% of the firm’s portfolio. Investments in sovereign bonds form 7% of the total invested assets.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Capital Guardian Trust Company for their services and products based on a percentage of assets under management and performance-based fees. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Michael Anthony Felix serves?

The firm provides services to individuals, investment companies, charitable organizations, pooled investment vehicles, corporations or other businesses, pension and profit sharing plans, and state or municipal government entities. The largest group of clients of Michael Anthony Felix is pension and profit sharing plans with 30 clients and $16.8 billion of assets under management. Among the 9 most similar advisory firms, Capital Guardian Trust Company has the highest percentage of pension and profit sharing plans out of all clients.

The amount of regulatory assets under management is $44.38 billion for 905 clients that can include trusts, estates, and 401(k) plans and IRAs of individuals and their family members. 3% of the firm’s clients are foreign persons or businesses.

Capital Guardian Trust Company also advises several private funds. Namely, eight other private funds. The minimum investment commitment required of non-related persons is $5,000,000 for each fund.

Careers at Capital Guardian Trust Company

The company employs 8 people that are either part- or full-time employees. 38 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone 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.

Michael Anthony Felix has been acting as President since 1 Jun 2002. Canise Marie Arredondo joined the executive team most recently as the Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
William Holman Hurt	Director & sr. v.p.	1 Sep 1977	Other	4360074
John Henry Seiter	Director & executive v.p.	1 Nov 1985	Other	418300
Larry Paul Clemmensen	Director	1 Dec 1985	Other	1868857
Shaw Bradley Wagener	Director	1 Feb 1988	Other	4360402
Inc. Capital Group International	Shareholder	1 Apr 1988	75% - 100%	95-4154357
Robert Edward Gerald Ronus	Director & president	1 Sep 1988	Other	4360362
Karin Louise Larson	Director	1 Apr 1990	Other	4360077
Jason Miltades Pilalas	Director	1 Dec 1990	Other	4360083
Eugene Paul Stein	Director & executive v.p.	1 Sep 1992	Other	4360399
Nancy Jane Kyle	Director & sr. v.p.	1 Jan 1993	Other	4360075
David Isador Fisher	Director & chairman	1 Jan 1994	Other	1895282
Theodore Rapp Samuels	Director & president	1 Sep 1994	Other	4360389
James Rosness Mullaly	Director & sr. v.p.	1 Jun 1995	Other	4360079
James Rosness Mulally	Director & sr. v.p.	1 Jun 1995	Other	4360079
Michael David Beckman	Director, sr. v.p. & treasurer	1 Dec 1995	Other	4360067
Andrew Francis Barth	Director & chairman	1 Sep 1996	Other	4360066
Roberta Anne Conroy	Director, sr. v.p. & sr. counsel	1 Feb 1997	Other	2222505
Kevin Gerard Clifford	Director	1 Sep 1999	Other	1018026
James F Rothenberg	Director	1 Sep 1999	Other	2847929
Michael Ross Ericksen	Director & sr. v.p.	1 Apr 2000	Other	4360071
Lionel Alain Sauvage	Director & sr. v.p.	1 Apr 2000	Other	4360392
Michael Anthony Felix	Director/sr. v.p./treasurer	1 Jun 2002	Other	4573424
Peter Charles Kelly	Director, sr. v.p. & sr. counsel	1 Sep 2002	Other	2306289
Shelby Notkin	Director, sr. v.p. & chairman of pim division	1 Sep 2002	Other	349559
Alan Jacob Wilson	Director and v.p.	1 Sep 2002	Other	4556866
Lawrence Robert Solomon	Director & v.p.	1 Sep 2002	Other	4591602
Thomas M. Rowland	Chief compliance officer	1 Aug 2004	Other	4866969
Paul Andrew Stenovec	Director & executive v.p.	1 Oct 2005	Other	1987116
Victor David Kohn	Director	1 Oct 2005	Other	1338503
Karen Anne Miller	Director & sr. v.p.	1 Oct 2005	Other	4391119
Bruce Eugene Meikle	Chief compliance officer	1 Jul 2006	Other	4882126
Lianne Kelly Koeberle	Director & sr. v.p.	1 Oct 2006	Other	2422756
Robert Harold Neithart	Director & sr. v.p.	1 Oct 2006	Other	4391120
Marie Catherine Powell	Director	1 Oct 2006	Other	5426911
Jill Anne Sumiyasu	Director & sr. v.p.	1 Oct 2006	Other	5426912
Eric Henri Stern	Director & sr. v.p.	1 Oct 2007	Other	1729106
John Bonnell Emerson	Director & sr. v.p./president, pim division	1 Oct 2007	Other	5533528
Ellen Oglesby Carr	Director & vice president	1 Sep 2008	Other	3083316
Julius Theodore Berkemeier	Director & sr. v.p.	1 Sep 2008	Other	1979901
Lisa B. Thompson	Director	1 Sep 2008	Other	1992688
Darcy Black Kopcho	Director & sr. v.p.	1 Mar 2009	Other	2246533
Kevin Gerard Clifford	Director	1 Sep 2009	Other	1018026
Todd Spencer James	Director	1 Sep 2009	Other	1331920
David Keith Hummelberg	Director	1 Sep 2009	Other	2652864
John H. Kelly	Director	1 Sep 2009	Other	5719206
Denise Marilyn Cassin	Director	1 Sep 2010	Other	1199211
Gerald Charles Lepelleydumanoir	Director & sr. v.p.	1 Sep 2010	Other	1780888
Emsie Parker Kozloff	Director	1 Sep 2010	Other	3211152
Matthew Philip O'connor	Director	1 Sep 2010	Other	2427203
John Stephen Armour	Director, sr. v.p. & executive v.p, pcs division	1 Sep 2011	Other	2399190
Michael Cohen	Director	1 Sep 2011	Other	2296356
Thomas Henry Hogh	Director	1 Sep 2011	Other	5982820
Eva Jozefina Sudol	Director	1 Sep 2011	Other	5982821
Jane Marie Scofield	Chief compliance officer	1 Jan 2012	Other	5223823
James Patrick Ryan	Director	1 Mar 2014	Other	2488429
Maria Thelma Manotok Pathria	Director	1 Jan 2017	Other	4325070
Canise Marie Arredondo	Director	1 Dec 2017	Other	5604781
Mark Edward Brubaker	Director & sr. vp	1 Dec 2017	Other	6894040

Indirect Owners

The SEC currently registers 2 indirect owners.

Name	Entity	Date acquired	Ownership	Employer ID
Inc. The Capital Group Companies	Shareholder	1 Apr 1988	75% - 100%	86-0206507
Capital Research And Management Company	Shareholder	1 Jul 2014	75% - 100%	110885

Based in Los Angeles

The principal office where Capital Guardian Trust Company performs its advisory services is located at 333 South Hope Street, Los Angeles, CA 90071 1406, which is also the mailing address of the firm. An additional office of the firm is in San Francisco, CA. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (213) 486-9200. The normal business hours are 8:00 a.m.-5:00 p.m. on Monday - Friday. You can find more information about the New York firm at thecapitalgroup.com.