ARIEL INVESTMENTS, LLC

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Ariel Investments is managed by founder John W. Rogers Jr. Ariel Investments has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 90 13F filings, and 889 13G filings Their last reported 13F filing for Q3 2021 included $10,935,115,000 in managed 13F securities and a top 10 holdings concentration of 31.46%. Ariel Investments's largest holding is Madison Square Garden Entertainment Corp with shares held of 5,640,442.

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09/30/2021

13F Activity

  • Market Value $10.935 Billion
  • Prior Market Value $10.635 Billion
  • New Purchases6 stocks
  • Additional Purchases59 stocks
  • Sold out of7 stocks
  • Reduced holdings in39 stocks
  • Top 10 Holdings % 31.46 %
  • Turnover % [1]:11.93%
  • Turnover Alt % [2]: 4.92 %
  • Time Held Top20:15.60 quarters
  • Time Held Top10:15.00 quarters
  • Time Held All:27.87 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

09/30/2021

13F Sector Allocation Over Time

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2021-11-15

Performance for Q3 2021: 5.39%
Performance Last 4 Quarters: 43.06%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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*Shares are split adjusted
This lets you look at individual sub managers or subsidiaries within the 13F filing.

13F Managers

Subsidiaries/Managers included in latest 13F
Name
NORTHERN TRUST CORP

Global (ex. US) Holdings

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Source: Refinitiv

View Last Form Adv Compilation Report on Record

ARIEL INVESTMENTS, LLC
200 EAST RANDOLPH STREET SUITE 2900
CHICAGO IL    60601
Country: United States

Business Phone: 312-726-0140
Fax: 312-726-7473
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm,Investment advisor to an investment company
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 86
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 525,494,000
Total Number of Clients: 204
Amount of client funds and securities by related persons:
Total Number of clients from related persons:
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Insider Transactions in the past year

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ARIEL INVESTMENTS, LLC

ownership team - last updated 2021-07-07
Name Title Start Date Direct/Indirect % Ownership
ROGERS, JOHN, WASHINGTON CHAIRMAN, CO-CEO, CHIEF INVESTMENT OFFICER AND DIRECTOR 05/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01
ARIEL CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01
ARIEL CAPITAL MANAGEMENT INC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2000-05-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2004-02-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01 2005-07-05
ARIEL CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-02-01 2005-07-05
HOBSON, MELLODY, LOUISE CO-CEO, PRESIDENT AND DIRECTOR 05/01/2000 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC DIRECTOR, PRESIDENT direct 2000-05-01
ADVISED ASSETS GROUP INC DIRECTOR direct 2001-01-01 2001-07-23
ARIEL CAPITAL MANAGEMENT INC PRESIDENT direct 2000-05-01 2005-07-05
ADVISED ASSETS GROUP, LLC MANAGER direct 2001-01-01 2007-08-16
ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. OWNER 02/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, INC. MANAGING MEMBER direct 2004-02-01
ARIEL CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-02-01
CREDO CAPITAL MANAGEMENT, LLC OWNER indirect 2004-02-01
BOBRINSKOY, CHARLES, KELLOGG VICE CHAIRMAN 09/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC VICE CHAIRMAN direct 2004-09-01
ARIEL INVESTMENTS, LLC DIRECTOR, VICE CHAIRMAN direct 2004-09-01
FOX, WENDY, D SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2004-10-01
CUSACK, MAREILE, BAYARD SENIOR VICE PRESIDENT, GENERAL COUNSEL 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC VICE PRESIDENT, GENERAL COUNSEL direct 2008-10-01
ARIEL INVESTMENTS, LLC SENIOR VICE PRESIDENT, GENERAL COUNSEL direct 2008-10-01
BHANSALI, RUPAL, JAYESH EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL EQUITIES, PORTFOLIO MANAGER 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL EQUITIES, PORTFOLIO MANAGER direct 2015-12-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2001-04-01 2006-07-14
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2007-01-01 2011-04-25
FIDLER, TIMOTHY EXECUTIVE VICE PRESIDENT, DIRECTOR OF RESEARCH 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, INC. SVP, PORTFOLIO MANAGEMENT, DIRECTOR OF RESEARCH direct 2002-11-01
CREMERS, K J, MARTIJN DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
DUNCAN, ARNE, S DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
JARRETT, VALERIE, B DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
TOOKES, HEATHER, E DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
WOLFF, PAULA DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT INC DIRECTOR direct 1991-05-01 2004-02-27
MERCHANT, FAZAL, FAROOK DIRECTOR 03/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2021-03-01
Romero, Anthony, David DIRECTOR 03/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2021-03-01
KUHRT, KENNETH, EDWIN EXECUTIVE VICE PRESIDENT 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC EXECUTIVE VICE PRESIDENT direct 2021-01-01
Smith, Judy, Arline DIRECTOR 06/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2021-06-01
ARIEL ALTERNATIVES, LLC DIRECTOR indirect 2021-06-01
Calderon, Carlos, Estuardo SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER 06/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 2021-06-01
ARIEL ALTERNATIVES, LLC VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 2021-06-01
ROGERS, JOHN, WASHINGTON SHAREHOLDER ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. 02/01/2004 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01
ARIEL CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01
ARIEL CAPITAL MANAGEMENT INC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2000-05-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2004-02-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01 2005-07-05
ARIEL CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-02-01 2005-07-05

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ARIEL INTERNATIONAL DM/EM LLC United States 805-9425315313 Other Private Fund INTERNATIONAL (DEVELOPED AND EMERGING MARKETS) EQUITY 532,187,235 5,000,000

ARIEL INVESTMENTS, LLC

ownership team - last updated 2021-03-24
Name Title Start Date Direct/Indirect % Ownership
ROGERS, JOHN, WASHINGTON CHAIRMAN, CO-CEO, CHIEF INVESTMENT OFFICER AND DIRECTOR 05/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01
ARIEL CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01
ARIEL CAPITAL MANAGEMENT INC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2000-05-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2004-02-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01 2005-07-05
ARIEL CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-02-01 2005-07-05
HOBSON, MELLODY, LOUISE CO-CEO, PRESIDENT AND DIRECTOR 05/01/2000 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC DIRECTOR, PRESIDENT direct 2000-05-01
ADVISED ASSETS GROUP INC DIRECTOR direct 2001-01-01 2001-07-23
ARIEL CAPITAL MANAGEMENT INC PRESIDENT direct 2000-05-01 2005-07-05
ADVISED ASSETS GROUP, LLC MANAGER direct 2001-01-01 2007-08-16
ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. MANAGING MEMBER 02/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, INC. MANAGING MEMBER direct 2004-02-01
ARIEL CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-02-01
CREDO CAPITAL MANAGEMENT, LLC OWNER indirect 2004-02-01
BOBRINSKOY, CHARLES, KELLOGG DIRECTOR, VICE CHAIRMAN 09/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC VICE CHAIRMAN direct 2004-09-01
ARIEL INVESTMENTS, LLC DIRECTOR, VICE CHAIRMAN direct 2004-09-01
FOX, WENDY, D SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2004-10-01
CUSACK, MAREILE, BAYARD SENIOR VICE PRESIDENT, GENERAL COUNSEL 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC VICE PRESIDENT, GENERAL COUNSEL direct 2008-10-01
ARIEL INVESTMENTS, LLC SENIOR VICE PRESIDENT, GENERAL COUNSEL direct 2008-10-01
LONGORIA, MAUREEN, ELIZABETH SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC VICE PRESIDENT, CONTROLLER direct 2010-09-01
ARIEL INVESTMENTS, LLC VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 2010-09-01
BHANSALI, RUPAL, JAYESH EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL EQUITIES, PORTFOLIO MANAGER 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL EQUITIES, PORTFOLIO MANAGER direct 2015-12-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2001-04-01 2006-07-14
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2007-01-01 2011-04-25
FIDLER, TIMOTHY EXECUTIVE VICE PRESIDENT, DIRECTOR OF RESEARCH 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, INC. SVP, PORTFOLIO MANAGEMENT, DIRECTOR OF RESEARCH direct 2002-11-01
ALVES, PAGET, L DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
CREMERS, K J, MARTIJN DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
DUNCAN, ARNE, S DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
JARRETT, VALERIE, B DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
TOOKES, HEATHER, E DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
VITALE, DAVID, JOHN DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT INC DIRECTOR direct 2000-11-01 2004-02-27
WOLFF, PAULA DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT INC DIRECTOR direct 1991-05-01 2004-02-27
BRUN, LESLIE, ADOLPHE DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HAMILTON LANE ADVISORS LLC CHAIRMAN AND CEO, DIRECTOR direct 1991-05-01 2002-03-14
HAMILTON LANE NEW YORK LLC CHAIRMAN AND CEO OF HAMILTON LANE ADVISORS, LLC direct 1991-05-01 2002-03-15
HAMILTON LANE ADVISORS LLC 59.46% OWNER indirect 1991-05-01 2003-03-12
HAMILTON LANE NEW YORK LLC 44.65% OWNER OF HAMILTON LANE ADVISORS, LLC indirect 1991-05-01 2003-03-13
HAMILTON LANE NEW YORK LLC CHAIRMAN OF HAMILTON LANE ADVISORS, LLC direct 1991-05-01 2003-03-13
HAMILTON LANE ADVISORS LLC CHAIRMAN/DIRECTOR direct 1991-05-01 2004-03-29
HAMILTON LANE ADVISORS LLC 68.1% OWNER indirect 1991-05-01 2005-03-29
HAMILTON LANE ADVISORS LLC CHAIRMAN EMERITUS direct 1991-05-01 2006-03-21
HAMILTON LANE ADVISORS LLC 72.1% OWNER indirect 1991-05-01 2006-03-21
HAMILTON LANE ADVISORS LLC 25.1% OWNER indirect 1991-05-01 2007-03-20
ALMANACK STRATEGIES I, LLC EXECUTIVE OFFICER direct 2014-08-01 2014-11-25
MERCHANT, FAZAL, FAROOK DIRECTOR 03/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2021-03-01
Romero, Anthony, David DIRECTOR 03/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2021-03-01
KUHRT, KENNETH, EDWIN EXECUTIVE VICE PRESIDENT 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC EXECUTIVE VICE PRESIDENT direct 2021-01-01
ROGERS, JOHN, WASHINGTON CHAIRMAN, CO-CEO, CHIEF INVESTMENT OFFICER AND DIRECTOR 05/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01
ARIEL CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01
ARIEL CAPITAL MANAGEMENT INC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2000-05-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2004-02-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01 2005-07-05
ARIEL CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-02-01 2005-07-05
HOBSON, MELLODY, LOUISE CO-CEO, PRESIDENT AND DIRECTOR 05/01/2000 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC DIRECTOR, PRESIDENT direct 2000-05-01
ADVISED ASSETS GROUP INC DIRECTOR direct 2001-01-01 2001-07-23
ARIEL CAPITAL MANAGEMENT INC PRESIDENT direct 2000-05-01 2005-07-05
ADVISED ASSETS GROUP, LLC MANAGER direct 2001-01-01 2007-08-16
ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. MANAGING MEMBER 02/01/2004 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, INC. MANAGING MEMBER direct 2004-02-01
ARIEL CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-02-01
CREDO CAPITAL MANAGEMENT, LLC OWNER indirect 2004-02-01
BOBRINSKOY, CHARLES, KELLOGG DIRECTOR, VICE CHAIRMAN 09/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC VICE CHAIRMAN direct 2004-09-01
ARIEL INVESTMENTS, LLC DIRECTOR, VICE CHAIRMAN direct 2004-09-01
FOX, WENDY, D SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2004-10-01
CUSACK, MAREILE, BAYARD SENIOR VICE PRESIDENT, GENERAL COUNSEL 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC VICE PRESIDENT, GENERAL COUNSEL direct 2008-10-01
ARIEL INVESTMENTS, LLC SENIOR VICE PRESIDENT, GENERAL COUNSEL direct 2008-10-01
LONGORIA, MAUREEN, ELIZABETH SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC VICE PRESIDENT, CONTROLLER direct 2010-09-01
ARIEL INVESTMENTS, LLC VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 2010-09-01
BHANSALI, RUPAL, JAYESH EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL EQUITIES, PORTFOLIO MANAGER 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL EQUITIES, PORTFOLIO MANAGER direct 2015-12-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2001-04-01 2006-07-14
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2007-01-01 2011-04-25
FIDLER, TIMOTHY EXECUTIVE VICE PRESIDENT, DIRECTOR OF RESEARCH 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, INC. SVP, PORTFOLIO MANAGEMENT, DIRECTOR OF RESEARCH direct 2002-11-01
ALVES, PAGET, L DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
CREMERS, K J, MARTIJN DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
DUNCAN, ARNE, S DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
JARRETT, VALERIE, B DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
TOOKES, HEATHER, E DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
VITALE, DAVID, JOHN DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT INC DIRECTOR direct 2000-11-01 2004-02-27
WOLFF, PAULA DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT INC DIRECTOR direct 1991-05-01 2004-02-27
BRUN, LESLIE, ADOLPHE DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HAMILTON LANE ADVISORS LLC CHAIRMAN AND CEO, DIRECTOR direct 1991-05-01 2002-03-14
HAMILTON LANE NEW YORK LLC CHAIRMAN AND CEO OF HAMILTON LANE ADVISORS, LLC direct 1991-05-01 2002-03-15
HAMILTON LANE ADVISORS LLC 59.46% OWNER indirect 1991-05-01 2003-03-12
HAMILTON LANE NEW YORK LLC 44.65% OWNER OF HAMILTON LANE ADVISORS, LLC indirect 1991-05-01 2003-03-13
HAMILTON LANE NEW YORK LLC CHAIRMAN OF HAMILTON LANE ADVISORS, LLC direct 1991-05-01 2003-03-13
HAMILTON LANE ADVISORS LLC CHAIRMAN/DIRECTOR direct 1991-05-01 2004-03-29
HAMILTON LANE ADVISORS LLC 68.1% OWNER indirect 1991-05-01 2005-03-29
HAMILTON LANE ADVISORS LLC CHAIRMAN EMERITUS direct 1991-05-01 2006-03-21
HAMILTON LANE ADVISORS LLC 72.1% OWNER indirect 1991-05-01 2006-03-21
HAMILTON LANE ADVISORS LLC 25.1% OWNER indirect 1991-05-01 2007-03-20
ALMANACK STRATEGIES I, LLC EXECUTIVE OFFICER direct 2014-08-01 2014-11-25
MERCHANT, FAZAL, FAROOK DIRECTOR 03/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2021-03-01
Romero, Anthony, David DIRECTOR 03/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2021-03-01
KUHRT, KENNETH, EDWIN EXECUTIVE VICE PRESIDENT 01/01/2021 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC EXECUTIVE VICE PRESIDENT direct 2021-01-01
ROGERS, JOHN, WASHINGTON SHAREHOLDER ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. 02/01/2004 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01
ARIEL CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01
ARIEL CAPITAL MANAGEMENT INC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2000-05-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2004-02-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01 2005-07-05
ARIEL CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-02-01 2005-07-05
ROGERS, JOHN, WASHINGTON SHAREHOLDER ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. 02/01/2004 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01
ARIEL CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01
ARIEL CAPITAL MANAGEMENT INC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2000-05-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2004-02-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01 2005-07-05
ARIEL CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-02-01 2005-07-05

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ARIEL INTERNATIONAL DM/EM LLC United States 805-9425315313 Other Private Fund INTERNATIONAL (DEVELOPED AND EMERGING MARKETS) EQUITY 532,187,235 5,000,000

ARIEL INVESTMENTS, LLC

ownership team - last updated 2020-08-13
Name Title Start Date Direct/Indirect % Ownership
ROGERS, JOHN, WASHINGTON CHAIRMAN, CO-CEO, CHIEF INVESTMENT OFFICER AND DIRECTOR 05/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01
ARIEL CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01
ARIEL CAPITAL MANAGEMENT INC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2000-05-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2004-02-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01 2005-07-05
ARIEL CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-02-01 2005-07-05
HOBSON, MELLODY, LOUISE CO-CEO, PRESIDENT AND DIRECTOR 05/01/2000 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC DIRECTOR, PRESIDENT direct 2000-05-01
ADVISED ASSETS GROUP INC DIRECTOR direct 2001-01-01 2001-07-23
ARIEL CAPITAL MANAGEMENT INC PRESIDENT direct 2000-05-01 2005-07-05
ADVISED ASSETS GROUP, LLC MANAGER direct 2001-01-01 2007-08-16
ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. MANAGING MEMBER 02/01/2004 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, INC. MANAGING MEMBER direct 2004-02-01
ARIEL CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-02-01
CREDO CAPITAL MANAGEMENT, LLC OWNER indirect 2004-02-01
BOBRINSKOY, CHARLES, KELLOGG DIRECTOR, VICE CHAIRMAN 09/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC VICE CHAIRMAN direct 2004-09-01
ARIEL INVESTMENTS, LLC DIRECTOR, VICE CHAIRMAN direct 2004-09-01
FOX, WENDY, D SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2004-10-01
CUSACK, MAREILE, BAYARD SENIOR VICE PRESIDENT, GENERAL COUNSEL 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC VICE PRESIDENT, GENERAL COUNSEL direct 2008-10-01
ARIEL INVESTMENTS, LLC SENIOR VICE PRESIDENT, GENERAL COUNSEL direct 2008-10-01
LONGORIA, MAUREEN, ELIZABETH SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC VICE PRESIDENT, CONTROLLER direct 2010-09-01
ARIEL INVESTMENTS, LLC VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 2010-09-01
BHANSALI, RUPAL, JAYESH EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL EQUITIES, PORTFOLIO MANAGER 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL EQUITIES, PORTFOLIO MANAGER direct 2015-12-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2001-04-01 2006-07-14
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2007-01-01 2011-04-25
FIDLER, TIMOTHY EXECUTIVE VICE PRESIDENT, DIRECTOR OF RESEARCH 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, INC. SVP, PORTFOLIO MANAGEMENT, DIRECTOR OF RESEARCH direct 2002-11-01
ALVES, PAGET, L DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
CREMERS, K J, MARTIJN DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
DUNCAN, ARNE, S DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
JARRETT, VALERIE, B DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
SOLOMON, ROBERT, IRVING DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT INC DIRECTOR direct 1989-05-01 2004-02-27
TOOKES, HEATHER, E DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
VITALE, DAVID, JOHN DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT INC DIRECTOR direct 2000-11-01 2004-02-27
WOLFF, PAULA DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT INC DIRECTOR direct 1991-05-01 2004-02-27
BRUN, LESLIE, ADOLPHE DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HAMILTON LANE ADVISORS LLC CHAIRMAN AND CEO, DIRECTOR direct 1991-05-01 2002-03-14
HAMILTON LANE NEW YORK LLC CHAIRMAN AND CEO OF HAMILTON LANE ADVISORS, LLC direct 1991-05-01 2002-03-15
HAMILTON LANE ADVISORS LLC 59.46% OWNER indirect 1991-05-01 2003-03-12
HAMILTON LANE NEW YORK LLC 44.65% OWNER OF HAMILTON LANE ADVISORS, LLC indirect 1991-05-01 2003-03-13
HAMILTON LANE NEW YORK LLC CHAIRMAN OF HAMILTON LANE ADVISORS, LLC direct 1991-05-01 2003-03-13
HAMILTON LANE ADVISORS LLC CHAIRMAN/DIRECTOR direct 1991-05-01 2004-03-29
HAMILTON LANE ADVISORS LLC 68.1% OWNER indirect 1991-05-01 2005-03-29
HAMILTON LANE ADVISORS LLC CHAIRMAN EMERITUS direct 1991-05-01 2006-03-21
HAMILTON LANE ADVISORS LLC 72.1% OWNER indirect 1991-05-01 2006-03-21
HAMILTON LANE ADVISORS LLC 25.1% OWNER indirect 1991-05-01 2007-03-20
ALMANACK STRATEGIES I, LLC EXECUTIVE OFFICER direct 2014-08-01 2014-11-25
ROGERS, JOHN, WASHINGTON SHAREHOLDER ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. 02/01/2004 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01
ARIEL CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01
ARIEL CAPITAL MANAGEMENT INC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2000-05-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2004-02-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01 2005-07-05
ARIEL CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-02-01 2005-07-05

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ARIEL INTERNATIONAL DM/EM LLC United States 805-9425315313 Other Private Fund INTERNATIONAL (DEVELOPED AND EMERGING MARKETS) EQUITY 406,600,435 5,000,000

ARIEL INVESTMENTS, LLC

ownership team - last updated 2020-06-24
Name Title Start Date Direct/Indirect % Ownership
ROGERS, JOHN, WASHINGTON CHAIRMAN, CO-CEO, CHIEF INVESTMENT OFFICER AND DIRECTOR 05/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01
ARIEL CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01
ARIEL CAPITAL MANAGEMENT INC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2000-05-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2004-02-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01 2005-07-05
ARIEL CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-02-01 2005-07-05
HOBSON, MELLODY, LOUISE CO-CEO, PRESIDENT AND DIRECTOR 05/01/2000 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC DIRECTOR, PRESIDENT direct 2000-05-01
ADVISED ASSETS GROUP INC DIRECTOR direct 2001-01-01 2001-07-23
ARIEL CAPITAL MANAGEMENT INC PRESIDENT direct 2000-05-01 2005-07-05
ADVISED ASSETS GROUP, LLC MANAGER direct 2001-01-01 2007-08-16
ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. MANAGING MEMBER 02/01/2004 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, INC. MANAGING MEMBER direct 2004-02-01
ARIEL CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-02-01
CREDO CAPITAL MANAGEMENT, LLC OWNER indirect 2004-02-01
BOBRINSKOY, CHARLES, KELLOGG DIRECTOR, VICE CHAIRMAN 09/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC VICE CHAIRMAN direct 2004-09-01
ARIEL INVESTMENTS, LLC DIRECTOR, VICE CHAIRMAN direct 2004-09-01
FOX, WENDY, D SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2004-10-01
CUSACK, MAREILE, BAYARD SENIOR VICE PRESIDENT, GENERAL COUNSEL 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC VICE PRESIDENT, GENERAL COUNSEL direct 2008-10-01
ARIEL INVESTMENTS, LLC SENIOR VICE PRESIDENT, GENERAL COUNSEL direct 2008-10-01
LONGORIA, MAUREEN, ELIZABETH SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC VICE PRESIDENT, CONTROLLER direct 2010-09-01
ARIEL INVESTMENTS, LLC VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 2010-09-01
BHANSALI, RUPAL, JAYESH EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL EQUITIES, PORTFOLIO MANAGER 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL EQUITIES, PORTFOLIO MANAGER direct 2015-12-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2001-04-01 2006-07-14
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2007-01-01 2011-04-25
FIDLER, TIMOTHY EXECUTIVE VICE PRESIDENT, DIRECTOR OF RESEARCH 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, INC. SVP, PORTFOLIO MANAGEMENT, DIRECTOR OF RESEARCH direct 2002-11-01
ALVES, PAGET, L DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
CREMERS, K J, MARTIJN DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
DUNCAN, ARNE, S DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
JARRETT, VALERIE, B DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
SOLOMON, ROBERT, IRVING DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT INC DIRECTOR direct 1989-05-01 2004-02-27
TOOKES, HEATHER, E DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
VITALE, DAVID, JOHN DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT INC DIRECTOR direct 2000-11-01 2004-02-27
WOLFF, PAULA DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT INC DIRECTOR direct 1991-05-01 2004-02-27
BRUN, LESLIE, ADOLPHE DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HAMILTON LANE ADVISORS LLC CHAIRMAN AND CEO, DIRECTOR direct 1991-05-01 2002-03-14
HAMILTON LANE NEW YORK LLC CHAIRMAN AND CEO OF HAMILTON LANE ADVISORS, LLC direct 1991-05-01 2002-03-15
HAMILTON LANE ADVISORS LLC 59.46% OWNER indirect 1991-05-01 2003-03-12
HAMILTON LANE NEW YORK LLC 44.65% OWNER OF HAMILTON LANE ADVISORS, LLC indirect 1991-05-01 2003-03-13
HAMILTON LANE NEW YORK LLC CHAIRMAN OF HAMILTON LANE ADVISORS, LLC direct 1991-05-01 2003-03-13
HAMILTON LANE ADVISORS LLC CHAIRMAN/DIRECTOR direct 1991-05-01 2004-03-29
HAMILTON LANE ADVISORS LLC 68.1% OWNER indirect 1991-05-01 2005-03-29
HAMILTON LANE ADVISORS LLC CHAIRMAN EMERITUS direct 1991-05-01 2006-03-21
HAMILTON LANE ADVISORS LLC 72.1% OWNER indirect 1991-05-01 2006-03-21
HAMILTON LANE ADVISORS LLC 25.1% OWNER indirect 1991-05-01 2007-03-20
ALMANACK STRATEGIES I, LLC EXECUTIVE OFFICER direct 2014-08-01 2014-11-25
ROGERS, JOHN, WASHINGTON SHAREHOLDER ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. 02/01/2004 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01
ARIEL CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01
ARIEL CAPITAL MANAGEMENT INC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2000-05-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2004-02-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01 2005-07-05
ARIEL CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-02-01 2005-07-05

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ARIEL INTERNATIONAL DM/EM LLC United States 805-9425315313 Other Private Fund INTERNATIONAL (DEVELOPED AND EMERGING MARKETS) EQUITY 406,600,435 5,000,000

ARIEL INVESTMENTS, LLC

ownership team - last updated 2020-03-26
Name Title Start Date Direct/Indirect % Ownership

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ARIEL INTERNATIONAL DM/EM LLC United States 805-9425315313 Other Private Fund INTERNATIONAL (DEVELOPED AND EMERGING MARKETS) EQUITY 406,600,435 5,000,000

ARIEL INVESTMENTS, LLC

ownership team - last updated 2019-08-05
Name Title Start Date Direct/Indirect % Ownership
ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. MANAGING MEMBER 02/01/2004 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, INC. MANAGING MEMBER direct 2004-02-01
ARIEL CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-02-01
CREDO CAPITAL MANAGEMENT, LLC OWNER indirect 2004-02-01
ROGERS, JOHN, WASHINGTON CHAIRMAN, CO-CEO, CHIEF INVESTMENT OFFICER AND DIRECTOR 05/01/2000 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01
ARIEL CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01
ARIEL CAPITAL MANAGEMENT INC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2000-05-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2004-02-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01 2005-07-05
ARIEL CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-02-01 2005-07-05
HOBSON, MELLODY, LOUISE CO-CEO, PRESIDENT AND DIRECTOR 05/01/2000 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC DIRECTOR, PRESIDENT direct 2000-05-01
ADVISED ASSETS GROUP INC DIRECTOR direct 2001-01-01 2001-07-23
ARIEL CAPITAL MANAGEMENT INC PRESIDENT direct 2000-05-01 2005-07-05
ADVISED ASSETS GROUP, LLC MANAGER direct 2001-01-01 2007-08-16
BOBRINSKOY, CHARLES, KELLOGG DIRECTOR, VICE CHAIRMAN 09/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC VICE CHAIRMAN direct 2004-09-01
ARIEL INVESTMENTS, LLC DIRECTOR, VICE CHAIRMAN direct 2004-09-01
FOX, WENDY, D SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2004-10-01
CUSACK, MAREILE, BAYARD SENIOR VICE PRESIDENT, GENERAL COUNSEL 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC VICE PRESIDENT, GENERAL COUNSEL direct 2008-10-01
ARIEL INVESTMENTS, LLC SENIOR VICE PRESIDENT, GENERAL COUNSEL direct 2008-10-01
LONGORIA, MAUREEN, ELIZABETH SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC VICE PRESIDENT, CONTROLLER direct 2010-09-01
ARIEL INVESTMENTS, LLC VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 2010-09-01
BHANSALI, RUPAL, JAYESH EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL EQUITIES, PORTFOLIO MANAGER 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL EQUITIES, PORTFOLIO MANAGER direct 2015-12-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2001-04-01 2006-07-14
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2007-01-01 2011-04-25
FIDLER, TIMOTHY EXECUTIVE VICE PRESIDENT, DIRECTOR OF RESEARCH 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, INC. SVP, PORTFOLIO MANAGEMENT, DIRECTOR OF RESEARCH direct 2002-11-01
LUSSOW, JOHN PAUL, HAROLD SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER direct 2019-04-01
ALVES, PAGET, L DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
CREMERS, K J, MARTIJN DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
DUNCAN, ARNE, S DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
JARRETT, VALERIE, B DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
SOLOMON, ROBERT, IRVING DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT INC DIRECTOR direct 1989-05-01 2004-02-27
TOOKES, HEATHER, E DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR direct 2019-07-01
VITALE, DAVID, JOHN DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT INC DIRECTOR direct 2000-11-01 2004-02-27
WOLFF, PAULA DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT INC DIRECTOR direct 1991-05-01 2004-02-27
BRUN, LESLIE, ADOLPHE DIRECTOR 07/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
HAMILTON LANE ADVISORS LLC CHAIRMAN AND CEO, DIRECTOR direct 1991-05-01 2002-03-14
HAMILTON LANE NEW YORK LLC CHAIRMAN AND CEO OF HAMILTON LANE ADVISORS, LLC direct 1991-05-01 2002-03-15
HAMILTON LANE ADVISORS LLC 59.46% OWNER indirect 1991-05-01 2003-03-12
HAMILTON LANE NEW YORK LLC 44.65% OWNER OF HAMILTON LANE ADVISORS, LLC indirect 1991-05-01 2003-03-13
HAMILTON LANE NEW YORK LLC CHAIRMAN OF HAMILTON LANE ADVISORS, LLC direct 1991-05-01 2003-03-13
HAMILTON LANE ADVISORS LLC CHAIRMAN/DIRECTOR direct 1991-05-01 2004-03-29
HAMILTON LANE ADVISORS LLC 68.1% OWNER indirect 1991-05-01 2005-03-29
HAMILTON LANE ADVISORS LLC CHAIRMAN EMERITUS direct 1991-05-01 2006-03-21
HAMILTON LANE ADVISORS LLC 72.1% OWNER indirect 1991-05-01 2006-03-21
HAMILTON LANE ADVISORS LLC 25.1% OWNER indirect 1991-05-01 2007-03-20
ALMANACK STRATEGIES I, LLC EXECUTIVE OFFICER direct 2014-08-01 2014-11-25
ROGERS, JOHN, WASHINGTON SHAREHOLDER ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. 02/01/2004 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01
ARIEL CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01
ARIEL CAPITAL MANAGEMENT INC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2000-05-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2004-02-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01 2005-07-05
ARIEL CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-02-01 2005-07-05

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ARIEL INTERNATIONAL DM/EM LLC United States 805-9425315313 Other Private Fund INTERNATIONAL (DEVELOPED AND EMERGING MARKETS) EQUITY 227,705,856 5,000,000

ARIEL INVESTMENTS, LLC

ownership team - last updated 2019-03-21
Name Title Start Date Direct/Indirect % Ownership
ROGERS, JOHN, WASHINGTON DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER 05/01/2000 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01
ARIEL CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01
ARIEL CAPITAL MANAGEMENT INC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2000-05-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2004-02-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01 2005-07-05
ARIEL CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-02-01 2005-07-05
HOBSON, MELLODY, LOUISE DIRECTOR, PRESIDENT 05/01/2000 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC DIRECTOR, PRESIDENT direct 2000-05-01
ADVISED ASSETS GROUP INC DIRECTOR direct 2001-01-01 2001-07-23
ARIEL CAPITAL MANAGEMENT INC PRESIDENT direct 2000-05-01 2005-07-05
ADVISED ASSETS GROUP, LLC MANAGER direct 2001-01-01 2007-08-16
KOSIER, MERRILLYN, JEAN EXECUTIVE VICE PRESIDENT; CHIEF MARKETING OFFICER, MUTUAL FUNDS 11/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC EXECUTIVE VICE PRESIDENT; CHIEF MARKETING OFFICER, MUTUAL FUNDS direct 2002-11-01
ARIEL CAPITAL MANAGEMENT INC SVP, DIRECTOR OF MUTUAL FUND MARKETING direct 1999-06-01 2002-10-01
ARIEL CAPITAL MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT, DIRECTOR OF MUTUAL FUND MARKETING direct 2002-11-01 2007-06-06
ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. MANAGING MEMBER 02/01/2004 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, INC. MANAGING MEMBER direct 2004-02-01
ARIEL CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-02-01
CREDO CAPITAL MANAGEMENT, LLC OWNER indirect 2004-02-01
BOBRINSKOY, CHARLES, KELLOGG DIRECTOR, VICE CHAIRMAN 09/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC VICE CHAIRMAN direct 2004-09-01
ARIEL INVESTMENTS, LLC DIRECTOR, VICE CHAIRMAN direct 2004-09-01
FOX, WENDY, D SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2004-10-01
CUSACK, MAREILE, BAYARD SENIOR VICE PRESIDENT, GENERAL COUNSEL 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC VICE PRESIDENT, GENERAL COUNSEL direct 2008-10-01
ARIEL INVESTMENTS, LLC SENIOR VICE PRESIDENT, GENERAL COUNSEL direct 2008-10-01
LONGORIA, MAUREEN, ELIZABETH SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC VICE PRESIDENT, CONTROLLER direct 2010-09-01
ARIEL INVESTMENTS, LLC VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 2010-09-01
BHANSALI, RUPAL, JAYESH EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL EQUITIES, PORTFOLIO MANAGER 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL EQUITIES, PORTFOLIO MANAGER direct 2015-12-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2001-04-01 2006-07-14
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2007-01-01 2011-04-25
FIDLER, TIMOTHY EXECUTIVE VICE PRESIDENT, DIRECTOR OF RESEARCH 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, INC. SVP, PORTFOLIO MANAGEMENT, DIRECTOR OF RESEARCH direct 2002-11-01
LUSSOW, JOHN PAUL, HAROLD SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER 04/01/2019 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC SENIOR VICE PRESIDENT, CHIEF OPERATING OFFICER direct 2019-04-01
ROGERS, JOHN, WASHINGTON SHAREHOLDER ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. 02/01/2004 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01
ARIEL CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01
ARIEL CAPITAL MANAGEMENT INC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2000-05-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2004-02-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01 2005-07-05
ARIEL CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-02-01 2005-07-05

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ARIEL INTERNATIONAL DM/EM LLC United States 805-9425315313 Other Private Fund INTERNATIONAL (DEVELOPED AND EMERGING MARKETS) EQUITY 227,705,856 5,000,000

ARIEL INVESTMENTS, LLC

ownership team - last updated 2018-12-14
Name Title Start Date Direct/Indirect % Ownership
ROGERS, JOHN, WASHINGTON DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER 05/01/2000 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01
ARIEL CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01
ARIEL CAPITAL MANAGEMENT INC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2000-05-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2004-02-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01 2005-07-05
ARIEL CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-02-01 2005-07-05
HOBSON, MELLODY, LOUISE DIRECTOR, PRESIDENT 05/01/2000 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC DIRECTOR, PRESIDENT direct 2000-05-01
ADVISED ASSETS GROUP INC DIRECTOR direct 2001-01-01 2001-07-23
ARIEL CAPITAL MANAGEMENT INC PRESIDENT direct 2000-05-01 2005-07-05
ADVISED ASSETS GROUP, LLC MANAGER direct 2001-01-01 2007-08-16
KOSIER, MERRILLYN, JEAN EXECUTIVE VICE PRESIDENT; CHIEF MARKETING OFFICER, MUTUAL FUNDS 11/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC EXECUTIVE VICE PRESIDENT; CHIEF MARKETING OFFICER, MUTUAL FUNDS direct 2002-11-01
ARIEL CAPITAL MANAGEMENT INC SVP, DIRECTOR OF MUTUAL FUND MARKETING direct 1999-06-01 2002-10-01
ARIEL CAPITAL MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT, DIRECTOR OF MUTUAL FUND MARKETING direct 2002-11-01 2007-06-06
ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. MANAGING MEMBER 02/01/2004 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, INC. MANAGING MEMBER direct 2004-02-01
ARIEL CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-02-01
CREDO CAPITAL MANAGEMENT, LLC OWNER indirect 2004-02-01
BOBRINSKOY, CHARLES, KELLOGG DIRECTOR, VICE CHAIRMAN 09/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC VICE CHAIRMAN direct 2004-09-01
ARIEL INVESTMENTS, LLC DIRECTOR, VICE CHAIRMAN direct 2004-09-01
FOX, WENDY, D SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2004-10-01
CUSACK, MAREILE, BAYARD SENIOR VICE PRESIDENT, GENERAL COUNSEL 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC VICE PRESIDENT, GENERAL COUNSEL direct 2008-10-01
ARIEL INVESTMENTS, LLC SENIOR VICE PRESIDENT, GENERAL COUNSEL direct 2008-10-01
LONGORIA, MAUREEN, ELIZABETH SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC VICE PRESIDENT, CONTROLLER direct 2010-09-01
ARIEL INVESTMENTS, LLC VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 2010-09-01
BHANSALI, RUPAL, JAYESH EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL EQUITIES, PORTFOLIO MANAGER 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL EQUITIES, PORTFOLIO MANAGER direct 2015-12-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2001-04-01 2006-07-14
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2007-01-01 2011-04-25
FIDLER, TIMOTHY EXECUTIVE VICE PRESIDENT, DIRECTOR OF RESEARCH 12/01/2018 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, INC. SVP, PORTFOLIO MANAGEMENT, DIRECTOR OF RESEARCH direct 2002-11-01
ROGERS, JOHN, WASHINGTON SHAREHOLDER ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. 02/01/2004 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01
ARIEL CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01
ARIEL CAPITAL MANAGEMENT INC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2000-05-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2004-02-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01 2005-07-05
ARIEL CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-02-01 2005-07-05

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ARIEL INTERNATIONAL DM/EM LLC United States 805-9425315313 Other Private Fund INTERNATIONAL (DEVELOPED AND EMERGING MARKETS) EQUITY 58,027,813 5,000,000

ARIEL INVESTMENTS, LLC

ownership team - last updated 2017-09-15
Name Title Start Date Direct/Indirect % Ownership
BHANSALI, RUPAL, JAYESH EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL EQUITIES, PORTFOLIO MANAGER 12/01/2015 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC EXECUTIVE VICE PRESIDENT, CHIEF INVESTMENT OFFICER, INTERNATIONAL & GLOBAL EQUITIES, PORTFOLIO MANAGER direct 2015-12-01
MACKAY SHIELDS LLC MANAGING DIRECTOR direct 2001-04-01 2006-07-14
MACKAY SHIELDS LLC SENIOR MANAGING DIRECTOR direct 2007-01-01 2011-04-25
LONGORIA, MAUREEN, ELIZABETH VICE PRESIDENT, CHIEF FINANCIAL OFFICER 09/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC VICE PRESIDENT, CONTROLLER direct 2010-09-01
ARIEL INVESTMENTS, LLC VICE PRESIDENT, CHIEF FINANCIAL OFFICER direct 2010-09-01
CUSACK, MAREILE, BAYARD SENIOR VICE PRESIDENT, GENERAL COUNSEL 10/01/2008 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC VICE PRESIDENT, GENERAL COUNSEL direct 2008-10-01
ARIEL INVESTMENTS, LLC SENIOR VICE PRESIDENT, GENERAL COUNSEL direct 2008-10-01
FOX, WENDY, D VICE PRESIDENT, CHIEF COMPLIANCE OFFICER 10/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC VICE PRESIDENT, CHIEF COMPLIANCE OFFICER direct 2004-10-01
BOBRINSKOY, CHARLES, KELLOGG DIRECTOR, VICE CHAIRMAN 09/01/2004 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC VICE CHAIRMAN direct 2004-09-01
ARIEL INVESTMENTS, LLC DIRECTOR, VICE CHAIRMAN direct 2004-09-01
ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. MANAGING MEMBER 02/01/2004 Direct 50 - 75%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, INC. MANAGING MEMBER direct 2004-02-01
ARIEL CAPITAL MANAGEMENT, LLC MANAGING MEMBER indirect 2004-02-01
CREDO CAPITAL MANAGEMENT, LLC OWNER indirect 2004-02-01
KOSIER, MERRILLYN, JEAN EXECUTIVE VICE PRESIDENT; CHIEF MARKETING OFFICER, MUTUAL FUNDS 11/01/2002 Direct less than 5%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC EXECUTIVE VICE PRESIDENT; CHIEF MARKETING OFFICER, MUTUAL FUNDS direct 2002-11-01
ARIEL CAPITAL MANAGEMENT INC SVP, DIRECTOR OF MUTUAL FUND MARKETING direct 1999-06-01 2002-10-01
ARIEL CAPITAL MANAGEMENT, LLC EXECUTIVE VICE PRESIDENT, DIRECTOR OF MUTUAL FUND MARKETING direct 2002-11-01 2007-06-06
HOBSON, MELLODY, LOUISE DIRECTOR, PRESIDENT 05/01/2000 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ARIEL CAPITAL MANAGEMENT, LLC DIRECTOR, PRESIDENT direct 2000-05-01
ADVISED ASSETS GROUP INC DIRECTOR direct 2001-01-01 2001-07-23
ARIEL CAPITAL MANAGEMENT INC PRESIDENT direct 2000-05-01 2005-07-05
ADVISED ASSETS GROUP, LLC MANAGER direct 2001-01-01 2007-08-16
ROGERS, JOHN, WASHINGTON DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER 05/01/2000 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01
ARIEL CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01
ARIEL CAPITAL MANAGEMENT INC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2000-05-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2004-02-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01 2005-07-05
ARIEL CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-02-01 2005-07-05
ROGERS, JOHN, WASHINGTON SHAREHOLDER ARIEL CAPITAL MANAGEMENT HOLDINGS, INC. 02/01/2004 Indirect 50 - 75%
Fund Name Position direct/indirect start date end date
ARIEL INVESTMENTS, LLC DIRECTOR, CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01
ARIEL CAPITAL MANAGEMENT, LLC SHAREHOLDER indirect 2004-02-01
ARIEL CAPITAL MANAGEMENT INC CHAIRMAN AND CHIEF EXECUTIVE OFFICER direct 2000-05-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, INC. SHAREHOLDER indirect 2004-02-01 2005-01-25
ARIEL CAPITAL MANAGEMENT, LLC CHAIRMAN, CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER direct 2000-05-01 2005-07-05
ARIEL CAPITAL MANAGEMENT, LLC MEMBER indirect 2004-02-01 2005-07-05

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
ARIEL INTERNATIONAL DM/EM LLC United States 805-9425315313 Other Private Fund INTERNATIONAL (DEVELOPED AND EMERGING MARKETS) EQUITY 40,027,111 5,000,000

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