About Ariel
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.
Country-Specific Disclosures
Australia Investors
Ariel (Australian Registered Body Number (“ARBN”) 605 418 120) is exempt from the requirement to hold an Australian Financial Services license.
Brunei Investors
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.
Canada Investors
Ariel relies on the international adviser exemption in Canada pursuant to Section 8.26 of National Instrument 31-103. Ariel is domiciled in Chicago, Illinois, and none of its affiliates are domiciled in Canada. Pursuant to NI 31-103, you are hereby informed that all or substantially all of the assets of Ariel may be situated outside of Canada; and, accordingly, there may be more difficulty enforcing legal rights against the firm in the event of any claim against it, as compared to firms which are situated inside Canada. Ariel has appointed as its agent of process in Canada: Borden Ladner Gervais LLP, Bay Adelaide Centre, East Tower, 22 Adelaide Street West, Toronto, ON M5H 4E3, Attention: Ronald M. Kosonic.
Hong Kong Investors
Any solicitation is meant only for the addressee to whom it was directly delivered and should not be further distributed.
Japan Investors
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.
Korea Investors
Ariel is currently not licensed under the Financial Investment Services and Capital Markets Act of Korea as a cross-border discretionary investment management company.
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.
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.
This is not a product disclosure statement under New Zealand Law and does not constitute a regulated offer under the Financial Markets Conduct Act 2013.
Oman Investors
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.
Saudi Arabia Investors
Neither this material nor any investment interest in the separate account have been approved, disapproved or passed on in any way by the Capital Market Authority or any other governmental authority in the Kingdom of Saudi Arabia, nor has the separate account received authorisation or licensing from the Capital Market Authority or any other governmental authority in the Kingdom of Saudi Arabia to market or sell the investment interests in the separate account within the Kingdom of Saudi Arabia. This material does not constitute and may not be used for the purpose of an offer or invitation. No services relating to the separate account, including the receipt of applications and the allotment or redemption of investment interests, may be rendered by the separate account or its investment adviser within the Kingdom of Saudi Arabia.
Singapore Investors
Ariel is not authorized or recognized by the Monetary Authority of Singapore and is not authorized to conduct business with the retail public. Any written materials provided by Ariel do not constitute a prospectus. Ariel is not currently licensed to enter into contracts with investors in Singapore.
Taiwan Investors
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.
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.
