Institutional Shareholder Services Inc.
- Regulatory AUM
- —
- Discretionary
- —
- Clients
- 2,246
- Avg AUM / client
- —
- Accounts
- —
- Employees
- 3,350
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Banking or thrift institutions | 186 | $0 | — |
| Investment companies | 45 | $0 | — |
| Pooled investment vehicles (non-investment companies) | 307 | $0 | — |
| Pension and profit sharing plans | 174 | $0 | — |
| Charitable organizations | 45 | $0 | — |
| State or municipal government entities | 19 | $0 | — |
| Other investment advisers | 1,047 | $0 | — |
| Insurance companies | 80 | $0 | — |
| Sovereign wealth funds and foreign official institutions | 12 | $0 | — |
| Corporations and other businesses | 78 | $0 | — |
| Other | 253 | $0 | — |
Retirement plan clients
Plans that reported this firm as an investment service provider on Form 5500 Schedule C.
| Plan | Location | Plan year |
|---|---|---|
| Ibm Personal Pension Plan International Business Machines Corporation | 2024 | |
| Southern California Local 831 Employer Pension Fund Board Of Trustees, Southern California Local 831 | 2024 |
People (4)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Retelny, Gary | Executive Director And President | Sep 2011 (15y) | Less than 5% | |
| Heery, Allen, Peter | Executive Director And Chief Operations Officer | Apr 2014 (12y) | Less than 5% | |
| Friedman, Steven, Edward | General Counsel | Feb 2015 (12y) | Less than 5% | |
| Lantz, Daniel, Timothy | Chief Compliance Officer | Apr 2019 (7y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Iss Holdco Inc. | Direct Shareholder | Feb 2021 | A | 75% or more |
| Deutsche Börse Ag | Owner | Feb 2021 | B | ≈ 42.19% – 100% via Iss Stoxx Gmbh |
| Iss Stoxx Gmbh | Owner | Nov 2023 | B | ≈ 56.25% – 100% via Iss Holdco Inc. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Deutsche Börse Ag: 75% – 100% of Iss Stoxx Gmbh × 75% – 100% of Iss Holdco Inc. × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Iss Stoxx Gmbh: 75% – 100% of Iss Holdco Inc. × 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 (2)
| Plan | Sponsor | Participants | Plan assets | As of |
|---|---|---|---|---|
| Ibm Personal Pension Plan | International Business Machines Corporation | 43,052 | $17.9B | 01/01/2024 |
| Southern California Local 831 Employer Pension Fund | Board Of Trustees, Southern California Local 831 | 1,227 | $489M | 01/01/2024 |
From Form 5500 service-provider disclosures.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 07/08/2026 | 1.61 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: WILLFUL VIOLATION OF SECTION 204A OF THE INVESTMENT ADVISERS ACT OF 1940 DUE TO FAILURE TO ESTABLISH AND ENFORCE POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT MISUSE OF SHAREHOLDER ADVISORY CLIENTS' MATERIAL, NONPUBLIC PROXY VOTING INFORMATION. Status: Final Sanction Detail: AS INDICATED ABOVE, THE SANCTIONS INCLUDED A MONETARY FINE AND AN UNDERTAKING TO RETAIN AND IMPLEMENT THE RECOMMENDATIONS OF AN INDEPENDENT COMPLIANCE CONSULTANT Summary: THIS SETTLED PROCEEDING RELATES TO A FORMER ISS EMPLOYEE WHO USED HIS PERSONAL EMAIL ACCOUNT TO DIVULGE CONFIDENTIAL CLIENT PROXY VOTING INFORMATION TO A PROXY SOLICITOR IN EXCHANGE TO MEALS AND ENTERTAINMENT. THIS CONDUCT CONTRAVENED ISS' CODE OF ETHICS, WHICH FORBIDS EMPLOYEES FROM TAKING ADVANTAGE OF CONFIDENTIAL CLIENT INFORMATION FOR PERSONAL GAIN, AS WELL AS ITS PARENT COMPANY'S POLICY ON GIFTS AND ENTERTAINMENT. THE SETTLEMENT ORDER FINDS THAT ISS DID NOT ESTABLISH, MAINTAIN OR ENFORCE SUFFICIENT POLICIES AND PROCEDURES TO PREVENT THIS CONDUCT, BUT NOTED THAT ONCE THE CONDUCT WAS DISCOVERED, ISS TOOK A NUMBER OF REMEDIAL ACTIONS TO STRENGTHEN ITS POLICIES, PROCEDURES AND COMPLIANCE TRAINING.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Subscription fees
- • Fixed fees
- • Other fees
- • PER PROXY ANALYSIS AND PROXY VOTE; ASSET-BASED ON ESG PRODS.
Services
- • Pension consulting services
- • Publication of periodicals or newsletters
- • Security ratings or pricing 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: Jul 28, 2026.
View current Form ADV (SEC/IAPD) ↗