Wellington Management Japan Pte. Ltd.
- Regulatory AUM
- $17.7B
- Discretionary
- $17.0B
- Clients
- 49
- Avg AUM / client
- $362M
- Accounts
- 49
- Employees
- 65
AUM over time
Annual snapshots from Form ADV filings · as of Mar 31, 2026
Asset allocation (SMA assets by investment type)
as of Mar 31, 2026Share of SMA assets by investment vehicle type, as filed in Form ADV Item 5.K. Dollar figures are percentages applied to total regulatory AUM.
Who they serve
| Client type | Clients | AUM | % of AUM |
|---|---|---|---|
| Banking or thrift institutions | 12 | $10.3B | 58.1% |
| Pooled investment vehicles (non-investment companies) | 7 | $2.0B | 11.3% |
| Pension and profit sharing plans | 15 | $560M | 3.15% |
| Other investment advisers | 2 | $910M | 5.13% |
| Sovereign wealth funds and foreign official institutions | 13 | $4.0B | 22.3% |
People (12)
| Name | Role / title | Credentials | With firm since | Ownership |
|---|---|---|---|---|
| Havlicek, Desmond, Anthony | Director | Jun 2016 (10y) | Less than 5% | |
| Au, Kar On Karen | Chief Compliance Officer | Mar 2019 (7y) | Less than 5% | |
| Chisholm, Elizabeth, Menai | Director | Jun 2019 (7y) | Less than 5% | |
| Mulhern, Charles, John | Director | Jun 2019 (7y) | Less than 5% | |
| Eikenberry, David, Keith | Director | Dec 2019 (7y) | Less than 5% | |
| Perumal, Janet, Anandhi | Director | Dec 2019 (7y) | Less than 5% | |
| Kofman, Nataliya | Director | Oct 2021 (5y) | Less than 5% | |
| Shim, Pui, San | Director | Nov 2023 (3y) | Less than 5% | |
| Samouilhan, Nicholas, Lawrence | Director | Dec 2023 (3y) | Less than 5% | |
| Lopez, Scott, Matthew | Director | Oct 2024 (2y) | Less than 5% | |
| Sharp Paul, Andrew, David | Director | Oct 2024 (2y) | Less than 5% | |
| Tang, Hoi Yee Karen | Director | Oct 2024 (2y) | Less than 5% |
Entity owners (Schedule A/B)
| Entity | Title / status | Since | Sch. | Ownership |
|---|---|---|---|---|
| Wellington Management Global Holdings, Ltd. | Shareholder | Sep 1998 | A | 75% or more |
| Wellington Management Group Llp | Managing Partner | May 2014 | B | ≈ 31.64% – 100% via Wellington Group Holdings Llp |
| Wellington Group Holdings Llp | Managing Partner | May 2014 | B | ≈ 42.19% – 100% via Wellington Investment Advisors Holdings Llp |
| Wellington Investment Advisors Holdings Llp | Shareholder | Jan 2015 | B | ≈ 56.25% – 100% via Wellington Management Global Holdings, Ltd. |
Undisclosed: 0% – 25% of the firm is not attributable from the filed Schedule A bands.
Estimated effective ownership (look-through of filed bands):
- Wellington Management Group Llp: 75% – 100% of Wellington Group Holdings Llp × 75% – 100% of Wellington Investment Advisors Holdings Llp × 75% – 100% of Wellington Management Global Holdings, Ltd. × 75% – 100% direct ≈ 31.64% – 100% of the firm
- Wellington Group Holdings Llp: 75% – 100% of Wellington Investment Advisors Holdings Llp × 75% – 100% of Wellington Management Global Holdings, Ltd. × 75% – 100% direct ≈ 42.19% – 100% of the firm
- Wellington Investment Advisors Holdings Llp: 75% – 100% of Wellington Management Global Holdings, Ltd. × 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.
Documents (1 archived)
| Form | Period | Size | |
|---|---|---|---|
| Form ADV (full filing) | 03/31/2026 | 2.53 MB | View · PDF · Source ↗ |
Archived copies of the firm's regulatory filings, versioned by content hash.
Disciplinary disclosures
Allegations: 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. Status: Final Sanction Detail: THE AMOUNT OF THE SETTLEMENT WAS CHF7,000 (APPROXIMATELY USD7,000.) Summary: WE CONSENTED TO THE FINE IN FULL SETTLEMENT OF THE MATTER. THERE WERE NO ADDITIONAL CONDITIONS IMPOSED.
Allegations: 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. Status: Final Sanction Detail: THE AMOUNT OF THE ADMINISTRATIVE CHARGE WAS EUR 165,000 Summary: WE CONSENTED TO THE FINE IN FULL SETTLEMENT OF THE MATTER. THERE WERE NO ADDITIONAL CONDITIONS IMPOSED.
Allegations: 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. Status: Final Sanction Detail: THE AMOUNT OF THE SETTLEMENT WAS CHF 31,550 (APPROXIMATELY USD 35,500) Summary: WELLINGTON CONSENTED TO THE FINE IN FULL SETTLEMENT OF THE MATTER. THERE WERE NO ADDITIONAL CONDITIONS IMPOSED.
Disclosure text reproduced verbatim from the firm's own Form ADV filings.
How they charge
- • Percentage of assets under management
- • Fixed fees
- • Performance-based fees
Services
- • Portfolio management for individuals/small businesses
- • Portfolio management for pooled investment vehicles
- • Portfolio management for businesses/institutional clients
Custody
Reported custodians
- Brown Brothers Harriman & Co. $10.3B (58% of AUM) Mar 2026
- The Master Trust Bank Of Japan, Ltd $1.9B (11% of AUM) Mar 2026
- Japan Trustee Services Bank, Ltd. $1.8B (10% of AUM) Mar 2026
Amounts as reported in ADV Item 5.K.(3) (custodians holding 10%+ of SMA assets).
Firm reports having custody of client funds or securities (Item 9.A).
Source
All data on this page comes from this firm's Form ADV filings, reproduced without modification. Latest filing: Mar 31, 2026.
View current Form ADV (SEC/IAPD) ↗