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Wellington Management Company LLP: investment adviser
Wellington Management Company LLP is an investment adviser registered with the SEC (file 801-15908, CRD 106595). What it reports on Form ADV: assets and clients, fees, owners, disciplinary history and its client brochure. From the SEC's Investment Adviser Public Disclosure site; read Oct 21, 2026.
- Assets managed
- $1.4T
- Discretionary
- 93%
- Accounts
- 1,559
- Employees
- 1,868
- In advisory roles
- 497
- Disclosures
- 4
Company page · SEC adviser record · Full Form ADV (PDF)
The firm reports that it or a related person has custody of client cash and securities.
Form ADV Part 1A, Item 5, as filed on the SEC Investment Adviser Public Disclosure site; read Oct 21, 2026.
Clients and fees
Whom the firm advises and how it is paid, from Items 5.D, 5.E and 5.G.
| Client type | Clients | Assets | Share |
|---|---|---|---|
| Banks and thrifts | 34 | $14.7B | 1.0% |
| Registered funds | 209 | $636.4B | 44.6% |
| Private funds and other pooled vehicles | 408 | $327.3B | 22.9% |
| Pension and profit-sharing plans | 172 | $65.7B | 4.6% |
| Charities | 74 | $18.6B | 1.3% |
| State and local governments | 95 | $69.8B | 4.9% |
| Other advisers | 27 | $86.4B | 6.1% |
| Insurance companies | 452 | $145.0B | 10.2% |
| Sovereign wealth funds | 48 | $51.6B | 3.6% |
| Corporations | 40 | $12.7B | 0.9% |
How it is paid
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Performance-based fees
Services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies (as well as "business development companies" that have made an election pursuant to section 54 of the Investment Company Act of 1940)
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients (other than registered investment companies and other pooled investment vehicles)
Who owns it
Schedule A lists direct owners of 5% or more (and officers who own a stake); Schedule B lists the owners of those owners.
Direct owners (Schedule A)
| Owner | Type | Role | Stake | Since | Control | Public company |
|---|---|---|---|---|---|---|
| Wellington Investment Advisors Holdings LLP | Company (U.S.) | Managing partner | E 75% or more | Jan 2015 | Yes |
Indirect owners (Schedule B)
| Owner | Owns a stake in | Type | Stake | Control | Public company |
|---|---|---|---|---|---|
| Wellington Management Group | Wellington Group Investment Advisors Partner Holdings LLP | Company (U.S.) | E 75% or more | Yes |
Form ADV reports ownership in bands, not exact stakes: A means 5% to 10%, B 10% to 25%, C 25% to 50%, D 50% to 75%, E 75% or more. F marks a general partner, trustee or managing member, a role that controls the firm without a percentage. Owners of less than 5% are not listed.
Form ADV Schedules A and B, via the SEC Investment Adviser Public Disclosure site.
Disciplinary history
What the firm disclosed under Item 11 of Form ADV. A disclosure is the firm's own report: pending matters are allegations, not findings, and many settlements are made without admitting or denying them. Text is quoted from the filing, set in sentence case.
Item 11 questions answered Yes
These questions cover the firm and its advisory affiliates.
- Has any other federal regulatory agency, any state regulatory agency, or any foreign financial regulatory authority: ever found you or any advisory affiliate to have been involved in a violation of investment-related regulations or statutes?
Actions about the firm (2)
- Mar 31, 2022Regulatory Action: Bundesanstalt FÜR Finanzdienstleistungsaufsicht (BAFIN, German Federal Financial Supervisory Authority) FinalSanctions: Civil and Administrative Penalt(ies) /Fine(s) · Fine: $183,150 · Begun Aug 12, 2021 · Resolved Mar 31, 2022 · Settled · Docket WA 17-WP 3120-2016/0031; WA 17-WP 3120-2018/0015; WA 17-WP 3120-2019/0128
The german federal financial supervisory authority ("BAFIN") sanctioned Wellington management in relation to three individual administrative breaches of large shareholder disclosure requirements. The breaches relate to events which occurred in 2016, 2018 and 2019 respectively.
The amount of the administrative charge was eur 165,000
We consented to the fine in full settlement of the matter. There were no additional conditions imposed.
- Oct 22, 2018Regulatory Action: Finansinspektionen (Swedish Financial Supervisory Authority) FinalSanctions: Civil and Administrative Penalt(ies) /Fine(s) · Fine: $1,000 · Begun Nov 28, 2017 · Resolved Oct 22, 2018 · Decision · Docket FI REF 17-20168
The swedish financial regulatory authority alleged that Wellington had not filed, within the specified time period, a report regarding a net short position held in a swedish security.
The amount of penalty fee was sek 8,700 (approximately usd $1,000).
Wellington was assessed a penalty fee in full disposition of the matter. There were no additional conditions imposed.
Actions about affiliates (2)
- Jun 18, 2024Regulatory Action: Federal Department of Finance - Switzerland ("FDF") FinalAbout an affiliate: Wellington ManagementSanctions: Civil and Administrative Penalt(ies) /Fine(s) · Fine: $35,680 · Begun Jun 19, 2018 · Resolved Jun 18, 2024 · Settled · Docket G01187787; A0000289766; B1032010000014, RÉF. 442.2628
The FDF alleged that Wellington had not provided an additional table that provides a breakdown of shares among our client accounts with six large shareholder disclosure filings made in 2016 and 2017 in accordance with art. 151 in relation with art. 120 of the federal act on financial market infrastructures and market conduct in securities and derivatives trading (finmia; SR 958.1). The omission was uncovered by Wellington and self-disclosed to the regulator in 2017. While the shares held by Wellington Management group LLP were properly disclosed, Wellington did not include a breakdown of shares held among our accounts as required under the regulation.
The amount of the settlement was CHF 31,550 (approximately usd 35,500)
Wellington consented to the fine in full settlement of the matter. There were no additional conditions imposed. No information Filed
- Mar 6, 2017Regulatory Action: Federal Department of Finance - Switzerland ("FDF") FinalAbout an affiliate: Wellington ManagementSanctions: Civil and Administrative Penalt(ies) /Fine(s) · Fine: $7,000 · Begun Sep 20, 2016 · Resolved Mar 6, 2017 · Settled
The FDF alleged that Wellington had not filed, within the specified time period, reports that its collective ownership of a swiss security crossed an ownership threshold.
The amount of the settlement was CHF7,000 (approximately USD7,000.)
We consented to the fine in full settlement of the matter. There were no additional conditions imposed.
Form ADV Item 11 and its Disclosure Reporting Pages, via the SEC record. All adviser disciplinary records.
The brochure
No brochure text was read for this firm.
Other brochures on file
Form ADV Part 2A, via the SEC Investment Adviser Public Disclosure site.