INVESCO ADVISERS, INC. of ATLANTA, GA is an SEC-registered investment adviser (CRD 105360). Regulatory assets under management: $749.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos, Other.
Showing 25 of 53 people.
| Name | Role | Location |
|---|---|---|
| Terry Gibson VACHERON | CHIEF FINANCIAL OFFICER | Atlanta, GA |
| Laura Allison Dukes | DIRECTOR | — |
| Mark William Gregson | CHIEF ACCOUNTING OFFICER AND CONTROLLER | — |
| Tony Lik Wong | CHAIRMAN, DIRECTOR, PRESIDENT, AND CHIEF EXECUTIVE OFFICER | — |
| Jeffrey Howard Kupor | DIRECTOR | — |
| Todd Kuehl | CHIEF COMPLIANCE OFFICER | — |
| JOHNSON ANDREW P | SENIOR VICE PRESIDENT | — |
| ROGERS JOHN DAVIS | DIRECTOR, CEO, PRESIDENT; DIRECTOR, CEO, PRESIDENT, CHAIRMAN | — |
| HOLLAND KIRK FREDERICK | SENIOR VICE PRESIDENT | — |
| HARTLEY DAVID ALEXANDER | CFO & DIRECTOR; TREASURER AND CHIEF ACCOUNTING OFFICER | — |
| KAWAKAMI BRIAN KEN | CHIEF COMPLIANCE OFFICER | — |
| KUPOR JEFFREY HOWARD | DIRECTOR; GENERAL COUNSEL; SENIOR VICE PRESIDENT (+1 more) | — |
| COOPER JOHN SAMPSON | SENIOR VICE PRESIDENT | — |
| WENDLER GARY KEVIN | SENIOR VICE PRESIDENT | — |
| REJSEK LANCE ALLEN | ANTI-MONEY LAUNDERING COMPLIANCE OFFICER | — |
| ZERR JOHN MARK | SENIOR VICE PRESIDENT | — |
| SPILLANE TODD LAWRENCE | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER AND SR. VP | — |
| STARR LOREN MICHAEL | DIRECTOR; DIRECTOR & CHIEF FINANCIAL OFFICER | — |
| ARMOUR GREGORY MARK | DIRECTOR/CEO/PRESIDENT; DIRECTOR, CO-PRESIDENT & CO-CHIEF EXECUTIVE OFFICER | — |
| ELLIS RODERICK GEORGE HOWARD | TREASURER AND CHIEF ACCOUNTING OFFICER | — |
| ROSS WILBUR LOUIS | SENIOR VICE PRESIDENT | — |
| WARREN DAVID COLVIN | SENIOR VICE PRESIDENT | — |
| INTRALIGI PETER | SENIOR VICE PRESIDENT | — |
| KELLEY KAREN DUNN | DIRECTOR, CO-PRESIDENT, CO-CHIEF EXECUTIVE OFFICER, CO-CHAIRMAN; SENIOR VICE PRESIDENT | — |
| LEVEILLE ROBERT R | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-05-15 | regulatory | THE SEC ALLEGED THAT INVESCO ADVISERS, INC. ("IAI") AND INVESCO DISTRIBUTORS, INC. ("IDI"), AN AFFILIATED BROKER-DEALER OF IAI, 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 RELATING… | Final | $310K |
| 2016-08-24 | regulatory | THE SEC ALLEGED THAT WL ROSS FAILED TO ADEQUATELY DISCLOSE ITS FEE ALLOCATION PRACTICES TO CERTAIN PRIVATE EQUITY FUNDS IT ADVISE (THE "WLR FUNDS") AND THEIR INVESTORS AND THAT AMBIGUOUS LANGUAGE IN ITS PRIVATE EQUITY FUND LIMITED PARTNERSHIP AGREEMENTS RESULTED IN CERTAIN WLR FUNDS PAYING HIGHER MA… | Final | $2.3M |