Pilgrim Baxter & Associates Ltd (Wayne)


Pilgrim Baxter & Associates Ltd is a large advisory firm based in Wayne. It manages $6.2 billion of regulatory assets for 34 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.

Pilgrim Baxter & Associates provides portfolio management for individuals and small businesses, portfolio management for investment companies, portfolio management for pooled investment vehicles, and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Pilgrim Baxter & Associates: assets under management

The assets under management (AUM) of Pilgrim Baxter & Associates Ltd is $6.2 billion, all of which is managed in discretionary accounts. The firm's AUM has gone down by -61% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $6.2 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $182.35 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Pilgrim Baxter & Associates Ltd for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Pilgrim Baxter & Associates Ltd

Michael John Levett has been acting as President since 1 Jan 2001. Lee Thomas Cummings joined the executive team most recently as the Vice President And Sales And Marketing Director.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Harold Joseph Baxter Chairman, chief executive officer, director, executive committee member 1 Apr 1995 Other 1770490
Gary Louis Pilgrim President, chief investment officer, director 1 Apr 1995 Other 2572128
Stephen M Wellman Senior vice president, chief administrative officer, executive committee member 1 Apr 1995 Other 2080023
United Asset Management Corp. 100% shareholder of pilgrim baxter & associates, ltd. 1 Apr 1995 75% - 100% 04-2714625
Inc. Old Mutual (Us) Holdings 100% shareholder of pilgrim baxter & associates, ltd. 1 Apr 1995 75% - 100% 04-2714625
Amy S Yuter Vice president,chief compliance officer 1 Jul 1995 Other 2699617
Eric Charles Schneider Senior vice president,chief financial officer, director, executive committee member 1 Feb 1996 Other 3103665
John Mark Zerr Senior vice president, general counsel, secretary, executive committee member 1 Nov 1996 Other 2792416
Plc Old Mutual 100% shareholder of uam 1 Sep 2000 75% - 100% foreign
Old Mutual Life Assurance Co. (South Africa) Ltd. 8.71% shareholder of old mutual, plc 1 Sep 2000 75% - 100% foreign
Old Mutual Life Holdings (South Africa) Ltd. 100% shareholder of old mutual life assurance co. (south africa) ltd. 1 Sep 2000 75% - 100% foreign
Old Mutual (South Africa) Ltd. 100% shareholder of old mutual life holdings (south africa) ltd. 1 Sep 2000 75% - 100% foreign
Old Mutual (Netherlands) B.V. 100% shareholder of old mutual (south africa) ltd. 1 Sep 2000 75% - 100% foreign
Om Group (Uk) Ltd. 100% shareholder of old mutual (netherlands) b.v. 1 Sep 2000 75% - 100% foreign
Brian F Bereznak Senior vice president-distribution, executive committee member 1 Jan 2001 Other 4170398
James Andrew Wylie Senior vice president - insitutional marketing and client service, executive committee member 1 Jan 2001 Other 2181468
Carol W Proffer Senior vice president - managing director private equity, executive committee member 1 Jan 2001 Other 857106
Pieter Van Niekerk Senior vice president, strategy director, executive committee member 1 Jan 2001 Other 4346282
Michael John Levett Director 1 Jan 2001 Other 4346873
Richard Frank Goulding Director 1 Jan 2001 Other 4346878
Eric E Anstee Director, executive committee member 1 Jan 2001 Other 4346292
Kevin James Carter Director,executive committee member 1 Jan 2001 Other 4346296
John Kent Executive committee member 1 Jan 2001 Other 4346298
Brian Christopher Dillon Vice president, chief compliance officer 1 Apr 2001 Other 2352372
Michael Sutton Senior vice president, chief investment officer, executive committee member 1 Jul 2001 Other 2083084
Michael S Sutton Senior vice president, chief investment officer 1 Jul 2001 Other 2083084
Scott Francis Powers Director 1 Oct 2001 Other 1482612
John Kent Director 1 Oct 2001 Other 4346298
Thomas Moynihan Turpin Director 1 Nov 2002 Other 1888979
Kevin Martin Hunt Director 1 Nov 2002 Other 856081
Brian F Bereznak Senior vice president, head of sales & marketing 1 Mar 2003 Other 4170398
David John Bullock President, director and chief operating officer 1 Jul 2003 Other 704352
Michael Walter Rose Senior vice president 1 Aug 2003 Other 2346155
Scott Francis Powers Chairman, director 1 Nov 2003 Other 1482612
David John Bullock Chief executive officer, president, chief operating officer and director 1 Nov 2003 Other 704352
John Mark Zerr Senior vice president, chief operating officer, general counsel, secretary 1 Mar 2004 Other 2792416
Lee Thomas Cummings Vice president and sales and marketing director 1 Jul 2004 Other 2523271
James Walter Cook Vice president, director of finance and controller 1 Jul 2004 Other 4555061

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
Om Group (Uk) Limited 100% shareholder of old mutual (us) holdings inc. 1 Jan 2003 75% - 100% foreign
Old Mutual Plc 100% shareholder of om group (uk) limited 1 Jan 2003 75% - 100% foreign

Based in Wayne

The principal office where Pilgrim Baxter & Associates Ltd performs its advisory services is located at 1400 Liberty Ridge Drive, Wayne, PA 19087 5593, which is also the mailing address of the firm. The firm also has an office outside of the United States.

You can reach the main office by calling the phone number 610-647-4100 or by fax 610-722-5843. The normal business hours are 8:30-5:30 on Monday - Friday. You can find more information about the New York firm at uam.com.