# GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL

GOLDMAN SACHS ASSET MANAGEMENT INTERNATIONAL of LONDON is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 107715
- Type: SEC-registered investment adviser
- SEC file number: 801-38157
- Location: PLUMTREE COURT, 25 SHOE LANE, LONDON, EC4A 4AU
- Phone: 44-207-774-1000
- Latest filing: 2026-05-22
- Regulatory AUM: $621.0B
- Discretionary AUM: $621.0B
- Non-discretionary AUM: $49.0M
- Clients: 611
- Accounts: 4,296

## Business model

- Compensation: % of AUM, Performance, Other
- Clients served: High net worth, Pooled vehicles, Pensions, Charities, Investment cos

## Officers, owners & control persons (69)

_Showing 25 of 69 people._

| Name | Role | Location |
| --- | --- | --- |
| Allen A Mark | DIRECTOR | Los Angeles, CA |
| Judith Leah Shandling | CHIEF COMPLIANCE OFFICER - US MATTERS | — |
| Katherine Nmn Uniacke | CHAIRMAN AND DIRECTOR | — |
| David Seth Plutzer | GENERAL COUNSEL, ASSET MANAGEMENT DIVISION (CHIEF LEGAL OFFICER) | — |
| Karen Nmn Sharpe | DIRECTOR | — |
| Kristy Jean Jago | CHIEF OPERATING OFFICER, DIRECTOR | — |
| Petra Lorna Monteiro | DIRECTOR AND CHIEF FINANCIAL OFFICER | — |
| Rebecca Shelley Fuller | DIRECTOR | — |
| James H Reynolds | CHIEF EXECUTIVE OFFICER, DIRECTOR; DIRECTOR | — |
| Fadi Abuali | CHIEF EXECUTIVE OFFICER | — |
| Kristy Jean Owen-Jardine | DIRECTOR | — |
| Satish Bapat | DIRECTOR AND CHIEF OPERATING OFFICER | — |
| TAYLOR DAVID H | DIRECTOR | — |
| MCNULTY WILLIAM PATRICK | DIRECTOR | — |
| FORD DAVID BARKER | CHIEF EXECUTIVE OFFICER; DIRECTOR | — |
| PORGES ELLEN | GENERAL COUNSEL, INVESTMENT MANAGEMENT DIVISION (CHIEF LEGAL OFFICER) | — |
| RICHMAN MICHAEL J | CHIEF COMPLIANCE OFFICER | — |
| SOTIR THEODORE THOMAS | DIRECTOR; DIRECTOR AND CHIEF ADMINISTRATIVE OFFICER (CHIEF OPERATIONS OFFICER) | — |
| BRASCO THOMAS CHRISTOPHER | CHIEF FINANCIAL OFFICER | — |
| KRAUS PETER STEVEN | CO-HEAD, INVESTMENT MANAGEMENT DIVISION (CHIEF EXECUTIVE OFFICER); CO-HEAD, INVESTMENT MANAGEMENT DIVISION (CO-CHIEF EXECUTIVE OFFICER) | — |
| SCHWARTZ ERIC STUART | CO-HEAD, INVESTMENT MANAGEMENT DIVISION (CHIEF EXECUTIVE OFFICER) | — |
| EARLE GLENN P | DIRECTOR | — |
| FITZGERALD STEPHEN CHARLES | DIRECTOR | — |
| GNODDE RICHARD JOHN | DIRECTOR | — |
| FLETCHER ALEXANDER WILLIAMS | DIRECTOR | — |


## Disclosures (113)

_Showing 10 of 17 distinct disclosure events._

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2025-05-09 | regulatory | EFFECTIVE AS OF MAY 4, 2026, SWEDEN'S FINANSINSPEKTIONEN (THE "SFSA") ISSUED A FINE, EQUIVALENT TO APPROXIMATELY US $162,600.00, AGAINST THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") BASED ON A FINDING THAT, DURING THE PERIOD BETWEEN MARCH 20, 2024 AND APRIL 9, 2025, GS GROUP FAILED TO TIMELY REPORT CH… | Final | $163K |
| 2024-09-25 | regulatory | ON SEPTEMBER 25, 2024, THE GOLDMAN SACHS GROUPS, INC. ("GS GROUP") ENTERED INTO AN ORDER INSTITUTING CEASE AND DESIST PROCEEDINGS WITH THE SECURITIES AND EXCHANGE COMMISSION (THE "SEC" AND THE ORDER, THE "SEC ORDER"), WHICH ALLEGED THAT GS GROUP AND CERTAIN OF ITS AFFILIATES FAILED TO TIMELY FILE RE… | Final | $300K |
| 2022-11-14 | regulatory | ON MAY 19, 2023, MS. SHANDLING WAS MADE AWARE OF AN ORDER BY THE SUPREME COURT OF THE STATE OF NEW YORK APPELLATE DIVISION, FIRST JUDICIAL DEPARTMENT (THE "COURT"), DATED NOVEMBER 14, 2022, SUSPENDING MS. SHANDLING FOR FAILURE TO FILE A BIENNIAL REGISTRATION AS A RETIRED ATTORNEY PER JUDICIARY LAW ?… | Final | — |
| 2021-02-24 | regulatory | ON FEBRUARY 24, 2021, FINANSTILSYNET, THE FINANCIAL SUPERVISORY AUTHORITY OF NORWAY CONCLUDED THAT GOLDMAN SACHS GROUP, INC., GOLDMAN SACHS INTERNATIONAL, AND GOLDMAN SACHS & CO. LLC VIOLATED THE NOTIFICATION REQUIREMENT UNDER SECTION 3-14 OF THE NORWEGIAN SECURITIES TRADING ACT, CF. REGULATION (EU)… | Final | $42K |
| 2020-10-22 | regulatory | ON OCTOBER 22, 2020, THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") ENTERED INTO AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY WITH THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (THE "FEDERAL RESERVE", AND THE ORDER, THE "FEDERAL RESERVE ORDER"), WHICH ALLEGED GS G… | Final | $154.0M |
| 2020-10-22 | regulatory | ON OCTOBER 22, 2020, THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") ENTERED INTO A CONSENT ORDER FOR A CIVIL MONEY PENALTY WITH THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES (THE "DFS", AND THE CONSENT ORDER, THE "DFS ORDER"), WHICH ALLEGED VIOLATIONS OF THE NEW YORK BANKING LAW ("BANKING LAW") AR… | Final | $150.0M |
| 2020-10-22 | regulatory | ON OCTOBER 22, 2020, THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") ENTERED INTO AN ORDER INSTITUTING CEASE AND DESIST PROCEEDINGS WITH THE SECURITIES AND EXCHANGE COMMISSION (THE "SEC" AND THE ORDER, THE "SEC ORDER"), WHICH ALLEGED GS GROUP FAILED TO REASONABLY MAINTAIN A SUFFICIENT SYSTEM OF INTERNAL… | Final | $400.0M |
| 2020-10-22 | criminal | AS DESCRIBED IN THE INFORMATION, FROM 2009 TO 2014, GS GROUP AND ITS AFFILIATES, THROUGH CERTAIN OF ITS EMPLOYEES AND AGENTS, KNOWINGLY AND WILLFULLY CONSPIRED AND AGREED WITH OTHERS TO CORRUPTLY PROVIDE PAYMENTS AND THINGS OF VALUE IN EXCHANGE FOR OBTAINING AND RETAINING BUSINESS. PURSUANT TO THE D… | Pending | — |
| 2019-09-20 | regulatory | ON SEPTEMBER 20, 2019 THE SWEDISH FINANCIAL SUPERVISORY AUTHORITY (FINANSINSPEKTIONEN - "SFSA") IMPOSED AN ADMINISTRATIVE FINE ON THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") IN THE AMOUNT OF 70,000 SWEDISH KRONA (SEK) (APPROXIMATELY USD 7,200). SFSA ALLEGES A VIOLATION BY GS GROUP OF CHAPTER 6, SECTI… | Final | $7K |
| 2018-05-01 | regulatory | THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES (THE "DFS") HAS ALLEGED THAT: (A) CERTAIN FOREIGN EXCHANGE ("FX") TRADERS AT CERTAIN AFFILIATES OF THE GOLDMAN SACHS GROUP, INC. AND GOLDMAN SACHS BANK USA (TOGETHER, "GOLDMAN SACHS") ENGAGED IN IMPROPER CONDUCT OVER THE PERIOD 2008 THROUGH EARLY 2… | Final | $54.8M |


## Private funds (31)

Mix: Liquidity Fund 6 · Other Private Fund 15 · Hedge Fund 10

_Showing 15 of 31 funds by gross asset value._

| Fund | Type | Formed | Owners | GAV | Min investment |
| --- | --- | --- | --- | --- | --- |
| GOLDMAN SACHS US$ TREASURY LIQUID RESERVES FUND | Liquidity Fund | Ireland | 2,201 | $60.1B | $1.0M |
| GOLDMAN SACHS US$ LIQUID RESERVES FUND | Liquidity Fund | Ireland | 4,265 | $51.7B | $1.0M |
| GOLDMAN SACHS EURO LIQUID RESERVES FUND | Liquidity Fund | Ireland | 1,036 | $30.5B | $1.0M |
| GOLDMAN SACHS STERLING LIQUID RESERVES FUND | Liquidity Fund | Ireland | 2,140 | $24.9B | $1.0M |
| GOLDMAN SACHS EUROPE CORE EQUITY PORTFOLIO | Other Private Fund | Luxembourg | 524 | $7.0B | $2K |
| GOLDMAN SACHS INDIA EQUITY PORTFOLIO | Other Private Fund | Luxembourg | 922 | $5.1B | $2K |
| GOLDMAN SACHS EMERGING MARKETS CORE EQUITY PORTFOLIO | Other Private Fund | Luxembourg | 689 | $3.7B | $2K |
| GOLDMAN SACHS GLOBAL SMALL CAP CORE EQUITY PORTFOLIO | Other Private Fund | Luxembourg | 317 | $2.7B | $2K |
| GOLDMAN SACHS EMERGING MARKETS DEBT PORTFOLIO | Hedge Fund | Luxembourg | 413 | $2.6B | $2K |
| GOLDMAN SACHS TACTICAL TILT OVERLAY PORTFOLIO | Hedge Fund | Luxembourg | 1,575 | $2.6B | $250K |
| GOLDMAN SACHS GLOBAL FUTURE TECHNOLOGY LEADERS EQUITY PORTFOLIO | Other Private Fund | Luxembourg | 250 | $1.8B | $2K |
| GOLDMAN SACHS CHINA A-SHARES EQUITY PORTFOLIO | Other Private Fund | Ireland | 328 | $1.4B | $1.0M |
| GOLDMAN SACHS GLOBAL FIXED INCOME PLUS PORTFOLIO (HEDGED) | Hedge Fund | Luxembourg | 170 | $1.4B | $2K |
| GOLDMAN SACHS GLOBAL FUTURE GENERATIONS EQUITY PORTFOLIO | Other Private Fund | Luxembourg | 629 | $1.2B | $2K |
| GOLDMAN SACHS GLOBAL HIGH YIELD PORTFOLIO | Hedge Fund | Luxembourg | 613 | $1.2B | $2K |


## Fund service providers (2)

- custodian: GOLDMAN SACHS US$ FUND
- custodian: US DOLLAR MONEY FUND VA

## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/107715/brochure
- Similar advisers: https://search.stillhousedata.com/firm/107715/similar
- Related entities: https://search.stillhousedata.com/firm/107715/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/107715

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Source: public SEC Form ADV data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.