Capital Research Company
- Regulatory AUM
- —
- Discretionary
- —
- Clients
- —
- Avg AUM / client
- —
- Accounts
- —
- Employees
- 136
AUM over time
Annual snapshots from Form ADV filings · as of May 29, 2026
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Stevens & Lee Savings Plan Stevens & Lee | Reading, PA | 2024 |
People (6)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Silverman, Susi, Michele | Treasurer | Jan 2008 (19y) | Less than 5% | |
| Spence, Kirsten | Director | Apr 2013 (13y) | Less than 5% | |
| Burkley, Walter, Rodney | Director | Sep 2013 (13y) | Less than 5% | |
| Chen, Noriko, Honda | Director, President, Chairman & Principal Executive Officer | Jan 2019 (8y) | Less than 5% | |
| Espin, Aaron | Director | Nov 2023 (3y) | Less than 5% | |
| Nixon, Naseem, Zarifeh Sahar | Chief Compliance Officer | Jun 2024 (2y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Capital Research And Management Company | Shareholder | Aug 1940 | A | 75% or more |
| The Capital Group Companies, Inc. | Shareholder | Dec 1984 | B | ≈ 56.25% – 100% via Capital Research And Management Company |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- The Capital Group Companies, Inc.: 75% – 100% of Capital Research And Management Company × 75% – 100% direct ≈ 56.25% – 100% of the firm
Roster from the IAPD representatives feed; ownership and acquisition dates from Form ADV Schedule A/B. "Since" is the earliest filed registration or acquisition date.
Retirement plans served (1)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Stevens & Lee Savings Plan | Stevens & Lee | 385 | $281M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 05/29/2026 | 1.58 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: THE REGISTRANT'S ULTIMATE PARENT COMPANY, THE CAPITAL GROUP COMPANIES, INC. ("CGC"), RECEIVED A NOTICE DATED SEPTEMBER 15, 2023 FROM THE FDF ALLEGING THAT A NOTIFICATION OF A CHANGE IN SHAREHOLDINGS IN A SWISS COMPANY, WHICH SHARES WERE HELD BY CLIENT ACCOUNTS MANAGED BY CGC'S INVESTMENT ADVISORY SUBSIDIARIES, WAS NOT MADE WITHIN THE FOUR TRADING DAY TIME LIMIT. THE LATE NOTIFICATION WAS A RESULT OF INCORRECT DATA SUPPLIED TO THE REGISTRANT BY A THIRD-PARTY VENDOR. Status: Pending Summary: THE REGISTRANT'S ULTIMATE PARENT COMPANY, THE CAPITAL GROUP COMPANIES, INC. ("CGC"), RECEIVED A NOTICE DATED SEPTEMBER 15, 2023 FROM THE FDF ALLEGING THAT A NOTIFICATION OF A CHANGE IN SHAREHOLDINGS IN A SWISS COMPANY, WHICH SHARES WERE HELD BY CLIENT ACCOUNTS MANAGED BY CGC'S INVESTMENT ADVISORY SUBSIDIARIES, WAS NOT MADE WITHIN THE FOUR TRADING DAY TIME LIMIT. THE LATE NOTIFICATION WAS A RESULT OF INCORRECT DATA SUPPLIED TO THE REGISTRANT BY A THIRD-PARTY VENDOR. THE FDF HAS RECOMMENDED THE IMPOSITION OF A FINE AS A RESULT OF THESE ALLEGATIONS, BUT THE FDF HAS NOT YET MADE ITS FINAL DETERMINATION.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Other fees
- • AMOUNTS AGREED UPON BY REGISTRANT AND ITS AFFILIATE
Services
- • Other services
Custody
Firm reports it does not have custody of client funds or securities (Item 9.A).
No custodian data reported or mined yet.
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: May 29, 2026.
View current Form ADV (SEC/IAPD) ↗