• Separately Managed Accounts ()
  • Overview
Equities
  • Strategy Name Sub Asset Class Investment Firm Holdings Literature

    Separately Managed Accounts (SMAs) are offered by BNY Mellon Securities Corporation in its capacity as a registered investment adviser.

    Investors should consider the investment objectives, risks, charges and expenses of an SMA carefully before investing.

    This material has been provided for informational purposes only and should not be construed as investment advice or a recommendation of any particular investment product, strategy, investment manager or account arrangement, and should not serve as a primary basis for investment decisions. Prospective investors should consult a legal, tax or financial professional in order to determine whether any investment product, strategy or service is appropriate for their particular circumstances.

    BNY Mellon Securities Corporation (“BNYMSC”), Newton Investment Management North America, LLC (“NIMNA”) and Newton Investment Management Limited (NIM) are the investment managers of record with respect to certain of the BNY Mellon SMA strategies described above. Additionally, NIMNA, NIM and Walter Scott & Partners Limited (“Walter Scott”) provide certain investment advisory services to BNYMSC in instances where BNYMSC is the investment manager of record. BNYMSC, NIMNA, NIM and Walter Scott are registered investment advisers and BNY Mellon Investment Management companies.

    "Newton" and/or the "Newton Investment Management" brand refers to the following group of affiliated companies: Newton Investment Management Limited (NIM) and Newton Investment Management North America, LLC (NIMNA). NIM is incorporated in the United Kingdom (Registered in England no. 1371973) and is authorized and regulated by the Financial Conduct Authority in the conduct of investment business. Both Newton firms are registered with the Securities and Exchange Commission (SEC) in the United States of America as an investment adviser under the Investment Advisers Act of 1940. Newton is a subsidiary of The Bank of New York Mellon Corporation.

    Walter Scott & Partners Limited (“Walter Scott”) is an investment management firm authorized and regulated in the United Kingdom by the Financial Conduct Authority in the conduct of investment business. Walter Scott is a subsidiary of The Bank of New York Mellon Corporation.

    Fayez Sarofim & Co. (“Sarofim”) is an SEC-registered investment adviser and a wholly owned subsidiary of The Sarofim Group, Inc. Sarofim, among other services, provides advisory services for equity portfolios under various agreements related to wrap-fee programs, and is introduced to wrap-fee program sponsors primarily through the efforts of BNYMSC under the terms of a solicitation agreement between Sarofim and BNYMSC. With respect to such wrap-fee programs, BNYMSC acts as the account administrator and serves as the liaison between Sarofim and the program sponsors and the program sponsors’ clients, and receives in consequence a portion of the fee charged by the program sponsor for its account administration services. BNYMSC plays a similar role with respect to the Unified Managed Account (UMA) programs for which Sarofim provides investment management or supervisory services. For such UMA programs, BNYMSC functions on behalf of Sarofim as the primary administrative contact with program sponsors and acts as account administrator, and receives in consequence a portion of the fee charged by the program sponsor for providing such services. In addition to such administrative services, BNYMSC provides certain promotional and marketing services on behalf of Sarofim. Sarofim is an independent firm, and not affiliated with BNYMSC or BNY Mellon.

    All investments involve risk including loss of principal. Asset allocation and diversification do not ensure a profit or protect against a loss. There is no assurance any investment strategy will be successful.

    Portfolio holdings are subject to change at any time. The holdings listed should not be considered recommendations to buy or sell a security.

    Not all strategies listed may be available at all participating firms and may not be appropriate for all investors.

    MARK-287591-2022-07-22