Institutional Shareholder Services Inc.
Registered investment adviser · Rockville, MD · CRD #111940
Form ADV data as of 2026-09-01Regulatory assets
$0
Total accounts
0
Employees
3,350
Disclosure events
2
Firm details
- Website: https://www.protectshareholders.com/
- Telephone: 301-556-0500
- SEC file number: 801-55092
- Most recent Form ADV filing: 2026-08-07
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm reports 1 disclosure question answered Yes, covering 2 reported events. Form ADV Item 11 covers charges and pending proceedings as well as findings, so a Yes answer is not itself a finding of wrongdoing. The underlying detail is filed with the SEC.
- Currently subject to a civil proceeding that could result in a disclosure under 11.H.(1)
Assets and accounts
| Provides continuous and regular supervisory or management services | No |
| Discretionary regulatory assets under management | $0 |
| Non-discretionary regulatory assets under management | $0 |
| Total regulatory assets under management | $0 |
| Discretionary accounts | 0 |
| Non-discretionary accounts | 0 |
| Total accounts | 0 |
People
| Total employees (excluding clerical) | 3,350 |
| Employees performing investment advisory functions (including research) | 1,762 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 0 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 5 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Affiliated related persons
Reported conflicts of interest
Form ADV Items 8 asks advisers to disclose arrangements that may create a conflict with client interests. This firm answered Yes to:
- Buys or sells for itself securities it also recommends to clients
- Compensates a non-employee for client referrals
- Provides employee compensation specifically for obtaining clients
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Banking or thrift institutions | 186 | $0 |
| Investment companies | 45 | $0 |
| Pooled investment vehicles (other than investment companies and BDCs) | 307 | $0 |
| Pension and profit sharing plans (not the participants or government plans) | 174 | $0 |
| Charitable organizations | 45 | $0 |
| State or municipal government entities (including government pension plans) | 19 | $0 |
| Other investment advisers | 1,047 | $0 |
| Insurance companies | 80 | $0 |
| Sovereign wealth funds and foreign official institutions | 12 | $0 |
| Corporations or other businesses not listed above | 78 | $0 |
| Other | 253 | $0 |