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Triodos Investment Management: investment adviser
Triodos Investment Management B.V., doing business as Triodos Investment Management, is an investment adviser registered with the SEC (file 802-118334, CRD 307440). 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
- –
- Discretionary
- –
- Accounts
- –
- Employees
- –
- In advisory roles
- –
- Disclosures
- 1
Company page · SEC adviser record · Full Form ADV (PDF)
The firm reports no custody of client cash or securities.
Form ADV Part 1A, Item 5, as filed on the SEC Investment Adviser Public Disclosure site; read Oct 21, 2026.
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 |
|---|---|---|---|---|---|---|
| Triodos Bank NV | Company (outside the U.S.) | Shareholder | E 75% or more | Jan 2001 | Yes |
Indirect owners (Schedule B)
| Owner | Owns a stake in | Type | Stake | Control | Public company |
|---|---|---|---|---|---|
| Stichting Administratiekantoor | Triodos Bank | Company (outside the 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: in the past ten years, entered an order against you or any advisory affiliate in connection with an investment-related activity?
Actions about affiliates (1)
- Dec 14, 2020Regulatory Action: De Nederlandsche Bank FinalAbout an affiliate: Triodos Bank, N.V.Sanctions: Civil and Administrative Penalt(ies) /Fine(s); A formal instruction (aanwijzing) to remedy shortcomings in the compliance with provisions of the anti-money laundering and · Fine: $392,562 · Begun Mar 6, 2019 · Resolved Dec 14, 2020 · Other
In 2018, De Nederlandsche Bank (DNB) conducted a thematic, sector-wide survey among dutch banks, focusing on the measures that the banks have taken to prevent money laundering and terrorism financing. Following this survey, DNB concluded that Triodos bank did not have adequate measures concerning customer due diligence and monitoring of customer transactions.
Triodos bank reports that it accepted the DNB instruction and is implementing mitigating measures, which are on track. Triodos bank also reports that it paid the administrative penalty without delay. No information Filed
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.
Form ADV Part 2A, via the SEC Investment Adviser Public Disclosure site.