Ariel Investments, LLC (“Ariel”), a Delaware limited liability company, is a federally registered investment adviser regulated by the U.S. Securities and Exchange Commission. Ariel is a money management firm headquartered in Chicago, Illinois, and has offices in New York, New York, and Sydney, NSW, Australia. Ariel offers investment strategies that seek long-term capital appreciation by investing primarily in equity securities. Ariel utilizes a bottom-up, fundamental analysis to select quality company stocks. Taking a long-term view and applying independent thinking to investment decisions, Ariel spans the market cap spectrum from micro to large and covers the globe with international and global offerings.
About Ariel Products
Ariel is currently offering its global strategy through separately managed accounts to institutional investors in certain other regions outside the U.S. Ariel is regulated by the U.S. Securities and Exchange Commission under U.S. laws, which differ from the laws of other countries. Ariel is not currently licensed or registered in any other country, and Ariel intends to limit its activities to remain exempt from any requirements to register or obtain a license in other countries. The materials on this web site should not be considered a solicitation for business outside the U.S.
Ariel (Australian Registered Body Number (“ARBN”) 605 418 120) is exempt from the requirement to hold an Australian Financial Services licence.
Ariel is not registered as an Investment Business Operator and may not enter into a discretionary investment management agreement with any customers. The term “customers” does not refer to licensed investment management operators and trust banks.
Ariel is currently not licensed under the Financial Investment Services and Capital Markets Act of Korea as a cross-border discretionary investment management company.
New Zealand Investors
The separately managed account products managed by Ariel are available only to wholesale investors within the meaning of the Financial Markets Conduct Act 2013. This includes:
- Selected institutional clients whose primary business is the investment of money, or
- Persons who meet the prescribed investment activity criteria or who exceed certain prescribed asset and turnover thresholds, or
- A person who has completed a prescribed certificate attesting as to their experience in buying or selling investment products.
Ariel Investments, LLC is not currently licensed to enter into contracts with investors in Singapore.
United Kingdom Investors
Ariel does not carry on discretionary management activities in the United Kingdom. It is not authorised or regulated to conduct investment business in the United Kingdom, and its services will not be covered by the UK Financial Services Compensation Scheme or UK Financial Ombudsman Scheme.
Ariel Investments, LLC is not currently licensed in Taiwan. Any solicitation is meant only for the addressee to whom it was directly delivered and should not be further distributed.
Middle East Investors
Ariel Investments, LLC, a Delaware limited liability company, is a money management firm headquartered in Chicago, Illinois, with offices in New York and Sydney. Ariel Investments, LLC is a federally registered investment adviser regulated by the US Securities and Exchange Commission under US laws.
This material neither constitutes a public offer of securities in the Sultanate of Oman as contemplated by the Commercial Companies Law of Oman (Royal Decree 4/74) or the Capital Market Law of Oman (Royal Decree 80/98), nor does it constitute an offer to sell, or the solicitation of any offer to buy Non-Omani securities in the Sultanate of Oman as contemplated by Article 139 of the Executive Regulations to the Capital Market Law (issued vide CMA Decision 1/2009). Additionally, this material is not intended to lead to the conclusion of any contract of whatsoever nature within the territory of the Sultanate of Oman.
Ariel Investments, LLC is not currently licensed in Brunei. Any solicitation is meant only for the addressee to whom it was directly delivered and should not be further distributed.
Hong Kong Investors
Any solicitation is meant only for the addressee to whom it was directly delivered and should not be further distributed.