INVESCO INVESTMENT ADVISERS LLC of DOWNERS GROVE, IL is an SEC-registered investment adviser (CRD 104885). Regulatory assets under management: $4.4B.
Compensation: % of AUM.
Showing 25 of 64 people.
| Name | Role | Location |
|---|---|---|
| Terry Gibson VACHERON | CHIEF FINANCIAL OFFICER | Atlanta, GA |
| Thomas Owen | PRESIDENT & DIRECTOR; PRESIDENT & MANAGING DIRECTOR | Dallas, TX |
| Thomas Stuart | DIRECTOR, MANAGING DIRECTOR | North Salt Lake, UT |
| Thomas V David | ACTING PRESIDENT; PRESIDENT; PRESIDENT, CHIEF OPERATING OFFICER & MANAGING DIRECTOR | Pepper Pike, OH |
| THOMAS D STUART | DIRECTOR, MANAGING DIRECTOR | NORTH SALT LAKE, UT |
| Mark William Gregson | CHIEF ACCOUNTING OFFICER | — |
| Thomas Nicholas Owen | PRESIDENT & DIRECTOR; PRESIDENT & MANAGING DIRECTOR | — |
| Adam Henkel | MANAGER (DIRECTOR) | Downers Grove, IL |
| Brian Christopher Hartigan | PRESIDENT, MANAGER (DIRECTOR) | — |
| Melanie Ringold | SECRETARY | — |
| Thomas Valentine David | ACTING PRESIDENT; PRESIDENT; PRESIDENT, CHIEF OPERATING OFFICER & MANAGING DIRECTOR | — |
| Glenn Brightman | MANAGER (DIRECTOR) | — |
| Trisha Bell Hancock | CHIEF COMPLIANCE OFFICER | — |
| Craig S Falduto | MANAGER (DIRECTOR), VICE PRESIDENT | — |
| MILLER G WILLIAM | PRESIDENT, MANAGING DIRECTOR & DIRECTOR | — |
| POWERS SCOTT FRANCIS | DIRECTOR, CEO, CHAIRMAN; DIRECTOR, MANAGING DIRECTOR,CEO, CHAIRMAN | — |
| HARTLEY DAVID ALEXANDER | TREASURER AND CHIEF FINANCIAL OFFICER | — |
| KUPOR JEFFREY HOWARD | SECRETARY, GENERAL COUNSEL | — |
| OTTO CARSTEN | EXECUTIVE DIRECTOR & CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR & CHIEF COMPLIANCE OFFICER | — |
| COOPER JOHN SAMPSON | SENIOR VICE PRESIDENT | — |
| WENDLER GARY KEVIN | DIRECTOR | — |
| ZERR JOHN MARK | DIRECTOR; DIRECTOR, SECRETARY, GENERAL COUNSEL | — |
| HILLER JEFFREY | MANAGING DIRECTOR, CHIEF COMPLIANCE OFFICER | — |
| BADLER SARA LOUISE | EXECUTIVE DIRECTOR, GENERAL COUNSEL, SECRETARY | — |
| FRANK ALEXANDER CHARLES | TREASURER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-05-15 | regulatory | THE SEC ALLEGED THAT INVESCO ADVISERS, INC. ("IAI") AND INVESCO DISTRIBUTORS, INC. ("IDI") FAILED TO ADEQUATELY PRESERVE CERTAIN ELECTRONIC COMMUNICATIONS PURSUANT TO APPLICABLE RECORDKEEPING PROVISIONS OF FEDERAL SECURITIES LAW. | Final | $35.0M |
| 2022-11-28 | regulatory | THE SEC ALLEGED THAT INVESCO ADVISERS, INC. ("IAI") LACKED COMPREHENSIVE POLICIES AND PROCEDURES TO DETERMINE THE PERCENTAGE OF COMPANY-WIDE ASSETS UNDER MANAGEMENT ("AUM") THAT WAS ESG INTEGRATED. THE SEC ALSO ALLEGED THAT IAI MADE MISLEADING STATEMENTS CONCERNING THE COMPANY-WIDE PERCENTAGE OF AUM… | Final | $17.5M |
| 2020-07-30 | regulatory | INVESCO LTD AND AIM INTERNATIONAL MUTUAL FUNDS FAILED TO SUBMIT VOTING RIGHTS NOTIFICATIONS TO BAFIN AND THE ISSUERS BY THE REQUIRED DEADLINE. BAFIN ISSUED A NOTICE OF HEARING ON JULY 30, 2020 TO INVESCO LTD. ALLEGING THAT VIOLATIONS OF THE VOTING RIGHTS REQUIREMENTS OCCURED ON 26 OCCASSIONS RELATIN… | Final | $310K |