Caterpillar Investment Management Ltd (Peoria)

Name: Caterpillar Investment Management Ltd
Address: 411 Hamilton Blvd., Suite 1200, Peoria, IL, 61602 3106
Telephone: 309-675-5159

Caterpillar Investment Management Ltd is a large advisory firm based in Peoria. It manages $3.88 billion of regulatory assets for 26 client accounts. It has been registered with the SEC as an adviser since 2001.

Caterpillar Investment Management provides portfolio management for investment companies, portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, pension consulting services, and selection of other advisers. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Caterpillar Investment Management: assets under management

The assets under management (AUM) of Caterpillar Investment Management Ltd is $3.88 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 28% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.88 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $149.2 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Caterpillar Investment Management Ltd for their services and products based on a percentage of assets under management and fixed fees. Flat-fee based compensation is the most transparent and the one you can safely predict in advance. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Caterpillar Investment Management Ltd

David Leroy Bomberger has been acting as President since 1 Jun 1999. Fredrick Leroy Kaufman joined the executive team most recently as the President/Treasurer/Director.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Caterpillar Inc.	Parent corp.	1 Dec 1991	75% - 100%	37-0602744
Fredrick Leroy Kaufman	Treasurer	1 Dec 1991	Other	2249571
F. Lynn Mcpheeters	Director	1 Aug 1996	Other	4350939
Kenneth J. Zika	Director	1 May 1999	Other	4350934
David Leroy Bomberger	President/director	1 Jun 1999	Other	3030677
Kevin E Colgan	Director	1 Jul 2001	Other	4425766
Fredrick Leroy Kaufman	Treasurer/director	1 Mar 2003	Other	2249571
Bryon Lee Koepke	Chief compliance officer	1 Sep 2004	Other	2654641
Matthew J. Patterson	Chief compliance officer	1 Mar 2005	Other	4925079
Robert Bruce Grove	Director	1 Oct 2005	Other	5050216
Matthew J. Patterson	Director/chief compliance officer	1 Jan 2006	Other	4925079
Fredrick Leroy Kaufman	President/treasurer/director	1 Jun 2006	Other	2249571
Bryon Lee Koepke	Chief compliance officer, secretary	1 Jun 2006	Other	2654641

Based in Peoria

The principal office where Caterpillar Investment Management Ltd performs its advisory services is located at 411 Hamilton Blvd., Suite 1200, Peoria, IL 61602 3106, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 309-675-5159 or by fax 309-675-6991. The normal business hours are 8:00 am to 4:30 pm on Monday - Friday. You can find more information about the New York firm at www.cat.com/services/caterpillar_investment_management_ltd/caterpillar_investment_management_ltd.html.