# NEWTON INVESTMENT MANAGEMENT NORTH AMERICA LLC

NEWTON INVESTMENT MANAGEMENT NORTH AMERICA LLC of BOSTON, MA is an SEC-registered investment adviser.

## Registration

- CRD: 312937
- Type: SEC-registered investment adviser
- SEC file number: 801-120501
- Location: ONE BOSTON PLACE, 201 WASHINGTON STREET, BOSTON, MA, 02108-4408
- Phone: (617) 248-3000
- Latest filing: 2026-05-29
- Regulatory AUM: $59.2B
- Discretionary AUM: $58.9B
- Non-discretionary AUM: $257.4M
- Clients: 88
- Accounts: 160

## Business model

- Compensation: % of AUM, Fixed, Performance
- Clients served: Pooled vehicles, Investment cos

## Officers, owners & control persons (23)

| Name | Role | Location |
| --- | --- | --- |
| Judy Marlinski | MANAGER | Smithfield, RI |
| Michael Anthony Germano | CHIEF EXECUTIVE OFFICER & MANAGER; CHIEF OPERATING OFFICER & MANAGER | — |
| Parker Webb Wertz | CHIEF FINANCIAL OFFICER | — |
| Jaime Rene Utano | CHIEF COMPLIANCE OFFICER | — |
| John Randolph Miller | MANAGER | — |
| Brock Alan Campbell | CHIEF EXECUTIVE OFFICER | — |
| Kimberly Mackenzie-Perman | MANAGER | — |
| David Christopher Leduc | MANAGER | — |
| Sharon French | MANAGER | Jersey City, NJ |
| Judy Anne Marlinski | MANAGER | — |
| John Robert Porter | MANAGER | — |
| Jaime Utano | CHIEF COMPLIANCE OFFICER | — |
| DOWNS ANDREW | MANAGER | — |
| UTANO JAIME | CHIEF COMPLIANCE OFFICER | — |
| SMITS HANNEKE NMI | MANAGER | — |
| MILLER WAYNE RANDOLPH | MANAGER | — |
| FRENCH SHARON | MANAGER | — |
| GERMANO MICHAEL ANTHONY | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER & MANAGER | — |
| WERTZ PARKER Webb | CHIEF FINANCIAL OFFICER | — |
| ROACH ELIZABETH ANNE | CHIEF COMPLIANCE OFFICER | — |
| KING CHRISTINA SUJIN | MANAGER | — |
| MUNRO EUAN GEORGE | MANAGER | — |
| MARLINSKI JUDY | MANAGER | — |


## Disclosures (43)

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2017-11-29 | regulatory | ON 21 FEBRUARY 2019, THE UK FINANCIAL CONDUCT AUTHORITY ("FCA") FOUND THAT NEWTON INVESTMENT MANAGEMENT LIMITED ("NIM"), THROUGH THE ACTIONS OF A FORMER EMPLOYEE IN 2014 AND 2015, SHARED INFORMATION WITH THREE OTHER UK INVESTMENT ADVISERS IN RELATION TO TWO INITIAL PUBLIC OFFERINGS AND ONE PLACING B… | Final | — |
| 2017-06-26 | regulatory | THE FEDERAL RESERVE ALLEGED VIOLATIONS OF REGULATION Y OF THE BOARD OF GOVERNORS (12 C.F.R. ? 225) FOR ITS REGULATORY ACCOUNTING TREATMENT OF CERTAIN ASSETS OF VARIABLE INTEREST ENTITIES (THE "VIES"). | Final | $3.0M |
| 2017-06-26 | regulatory | THE FEDERAL RESERVE ALLEGED VIOLATIONS OF REGULATION Y OF THE BOARD OF GOVERNORS (12 C.F.R. § 225) FOR ITS REGULATORY ACCOUNTING TREATMENT OF CERTAIN ASSETS OF VARIABLE INTEREST ENTITIES (THE "VIES"). | Final | $3.0M |
| 2017-01-12 | regulatory | THE SEC STAFF ALLEGED VIOLATIONS OF SECTIONS 13(B)(2)(A) & (B) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR BOOKS AND RECORDS AND INTERNAL REGULATORY ACCOUNTING CONTROL DEFICIENCIES IN CONNECTION WITH THE CALCULATION OF RISK-BASED REGULATORY CAPITAL RATIOS PRESENTED IN ANNUAL AND QUARTERLY REPORTS FIL… | Final | $6.6M |
| 2015-08-18 | regulatory | THE SEC STAFF ALLEGED VIOLATIONS OF THE U.S. FOREIGN CORRUPT PRACTICES ACT IN CONNECTION WITH THE PROVISION OF A LIMITED NUMBER OF INTERNSHIPS TO RELATIVES OF SOVEREIGN WEALTH FUND OFFICIALS. | Final | $14.8M |
| 2012-03-12 | civil | THIS LAWSUIT ALLEGES THAT THE BANK OF NEW YORK MELLON CORPORATION ("BNY MELLON") IMPROPERLY CHARGED AND REPORTED PRICES FOR STANDING INSTRUCTION FOREIGN EXCHANGE ("FX") TRANSACTIONS EXECUTED IN CONNECTION WITH CUSTODY SERVICES PROVIDED BY BNY MELLON. PLAINTIFFS ASSERT CLAIMS FOR BREACH OF CONTRACT,… | Final | — |
| 2011-10-04 | civil | THE LAWSUIT ALLEGES THAT THE BANK OF NEW YORK MELLON (THE "BANK") IMPROPERLY CHARGED AND REPORTED PRICES FOR STANDING INSTRUCTION FOREIGN EXCHANGE ("FX") TRANSACTIONS EXECUTED IN CONNECTION WITH CUSTODY SERVICES PROVIDED BY THE BANK. THE REGISTRANT IS NOT A DEFENDANT TO THIS ACTION. | Final | — |
| 2011-06-01 | civil | THIS IS A PUTATIVE CLASS ACTION ALLEGING THAT BNY MELLON IMPROPERLY CHARGED AND REPORTED PRICES FOR STANDING INSTRUCTION FOREIGN EXCHANGE TRANSACTIONS EXECUTED IN CONNECTION WITH CUSTODY SERVICES PROVIDED BY BNY MELLON. PLAINTIFF ASSERTS BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, AND UNJUST ENRIC… | Final | — |
| 2010-11-04 | regulatory | THIS REGULATORY ACTION RELATES TO THE LATE FILING OF CERTAIN SHAREHOLDING REPORTS. BUNDESANSTALT FÜR FINANZDIENSTLEISTUNGSAUFSICHT (THE "BAFIN"), THE FINANCIAL SUPERVISORY AUTHORITY IN GERMANY, ALLEGED THAT THE BANK OF NEW YORK MELLON CORPORATION ("BNY MELLON") VIOLATED CERTAIN SUPERVISORY DUTIES UN… | Final | $33K |
| — | regulatory | — | — | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/312937/brochure
- Similar advisers: https://search.stillhousedata.com/firm/312937/similar
- Related entities: https://search.stillhousedata.com/firm/312937/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/312937

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Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.