BNY MELLON INVESTMENT ADVISER, INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 105642). Regulatory assets under management: $419.5B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: Investment cos.
Showing 25 of 69 people.
| Name | Role | Location |
|---|---|---|
| Bushra Mannan | DIRECTOR | New York, NY |
| James Windels | DIRECTOR | New York, NY |
| Sullivan Michael | CHIEF LEGAL OFFICER | New York, NY |
| David John Dipetrillo | VICE PRESIDENT & DIRECTOR | — |
| Kenneth James Bradle | VICE PRESIDENT & DIRECTOR | — |
| Gregory John Pasquale | CHIEF FINANCIAL OFFICER | — |
| Peter Michael Sullivan | CHIEF LEGAL OFFICER | — |
| Irene Despina Papadoulis | DIRECTOR | — |
| Susan Kay Maroni | SECRETARY | — |
| John William Hunter | CHIEF COMPLIANCE OFFICER | — |
| John Squillace | CHIEF COMPLIANCE OFFICER | — |
| ROSENBERG CRAIG MICHAEL | CHIEF LEGAL OFFICER | — |
| CANTER STEPHEN EDWARD | CHAIRMAN OF THE BOARD AND CHIEF EXECUTIVE OFFICER; CHAIRMAN OF THE BOARD, CHIEF EXECUTIVE OFFICER AND CHIEF OPERATING OFFICER; CHAIR OF THE BOARD, CHIEF EXECUTIVE OFFICER AND CHIEF OPERATING OFFICER (+4 more) | — |
| SABO RICHARD WALTER | DIRECTOR | — |
| BYERS STEPHEN ROBERT | CHIEF INVESTMENT OFFICER, VICE CHAIR AND DIRECTOR; CHIEF INVESTMENT OFFICER, VICE CHAIRMAN AND DIRECTOR; DIRECTOR OF INVESTMENTS AND SENIOR VICE PRESIDENT | — |
| EGGERS THOMAS FREDERICK | CHIEF EXECUTIVE OFFICER, PRESIDENT AND DIRECTOR; DIRECTOR; DIRECTOR AND VICE CHAIRMAN - INSTITUTIONAL (+2 more) | — |
| LITTLE JONATHAN MICHAEL | CHAIRMAN | — |
| HARRIS MITCHELL EVAN | DIRECTOR | — |
| O'HANLEY RONALD PHILIP | DIRECTOR; VICE CHAIR AND DIRECTOR; VICE CHAIRMAN (+1 more) | — |
| WENNERHOLM SCOTT EDWARD | DIRECTOR | — |
| CONDRON CHRISTOPHER MARK | CHAIRMAN OF THE BOARD; CHIEF EXECUTIVE OFFICER; DIRECTOR | — |
| ELLIOTT STEVEN GRAHAM | DIRECTOR | — |
| JACOBS MARK NEIL | EXECUTIVE VICE PRESIDENT; EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY; GENERAL COUNSEL (+2 more) | — |
| OFFICER JOHN DAVID | CHIEF OPERATING OFFICER, VICE CHAIR AND DIRECTOR; VICE CHAIR AND DIRECTOR; VICE CHAIRMAN AND DIRECTOR | — |
| LAMERE DAVID FREDERICK | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-05-23 | regulatory | ON MAY 23, 2022, THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ENTERED A SETTLEMENT ORDER, RELATING TO ALLEGED MATERIAL MISSTATEMENTS AND OMISSIONS BY BNY MELLON INVESTMENT ADVISER, INC. ("BNYMIA") CONCERNING THE CONSIDERATION OF ENVIRONMENTAL, SOCIAL, AND GOVERNANCE ("ESG") PRINCIPLES TO MAKE INVE… | Final | $1.5M |
| 2017-11-29 | regulatory | ON 21 FEBRUARY 2019, THE UK FINANCIAL CONDUCT AUTHORITY ("FCA") FOUND THAT NEWTON INVESTMENT MANAGEMENT LIMITED ("NIM"), THROUGH THE ACTIONS OF A FORMER EMPLOYEE IN 2014 AND 2015, SHARED INFORMATION WITH THREE OTHER UK INVESTMENT ADVISERS IN RELATION TO TWO INITIAL PUBLIC OFFERINGS AND ONE PLACING B… | Final | — |
| 2017-06-26 | regulatory | THE FEDERAL RESERVE ALLEGED VIOLATIONS OF REGULATION Y OF THE BOARD OF GOVERNORS (12 C.F.R. § 225) FOR ITS REGULATORY ACCOUNTING TREATMENT OF CERTAIN ASSETS OF VARIABLE INTEREST ENTITIES (THE "VIES"). | Final | $3.0M |
| 2017-06-26 | regulatory | THE FEDERAL RESERVE ALLEGED VIOLATIONS OF REGULATION Y OF THE BOARD OF GOVERNORS (12 C.F.R. ? 225) FOR ITS REGULATORY ACCOUNTING TREATMENT OF CERTAIN ASSETS OF VARIABLE INTEREST ENTITIES (THE "VIES"). | Final | $3.0M |
| 2017-01-12 | regulatory | THE SEC STAFF ALLEGED VIOLATIONS OF SECTIONS 13(B)(2)(A) & (B) OF THE SECURITIES EXCHANGE ACT OF 1934 FOR BOOKS AND RECORDS AND INTERNAL REGULATORY ACCOUNTING CONTROL DEFICIENCIES IN CONNECTION WITH THE CALCULATION OF RISK-BASED REGULATORY CAPITAL RATIOS PRESENTED IN ANNUAL AND QUARTERLY REPORTS FIL… | Final | $6.6M |
| 2015-08-18 | regulatory | THE SEC STAFF ALLEGED VIOLATIONS OF THE U.S. FOREIGN CORRUPT PRACTICES ACT IN CONNECTION WITH THE PROVISION OF A LIMITED NUMBER OF INTERNSHIPS TO RELATIVES OF SOVEREIGN WEALTH FUND OFFICIALS. | Final | $14.8M |
| 2012-03-12 | civil | THIS LAWSUIT ALLEGES THAT THE BANK OF NEW YORK MELLON CORPORATION ("BNY MELLON") IMPROPERLY CHARGED AND REPORTED PRICES FOR STANDING INSTRUCTION FOREIGN EXCHANGE ("FX") TRANSACTIONS EXECUTED IN CONNECTION WITH CUSTODY SERVICES PROVIDED BY BNY MELLON. PLAINTIFFS ASSERT CLAIMS FOR BREACH OF CONTRACT,… | Final | — |
| 2011-10-04 | civil | THE LAWSUIT ALLEGES THAT THE BANK OF NEW YORK MELLON (THE "BANK") IMPROPERLY CHARGED AND REPORTED PRICES FOR STANDING INSTRUCTION FOREIGN EXCHANGE ("FX") TRANSACTIONS EXECUTED IN CONNECTION WITH CUSTODY SERVICES PROVIDED BY THE BANK. THE REGISTRANT IS NOT A DEFENDANT TO THIS ACTION. | Final | — |
| 2011-06-01 | civil | THIS IS A PUTATIVE CLASS ACTION ALLEGING THAT BNY MELLON IMPROPERLY CHARGED AND REPORTED PRICES FOR STANDING INSTRUCTION FOREIGN EXCHANGE TRANSACTIONS EXECUTED IN CONNECTION WITH CUSTODY SERVICES PROVIDED BY BNY MELLON. PLAINTIFF ASSERTS BREACH OF FIDUCIARY DUTY, BREACH OF CONTRACT, AND UNJUST ENRIC… | Final | — |
| — | regulatory | — | — | — |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| SF OVERNIGHT SHORT TERM INVESTMENT ONSHORE FUND, LLC | Other Private Fund | Delaware | 42 | $5.8B | $1K |
| NCS GROUP TRUST GLOBAL FUND | Other Private Fund | Illinois | 41 | $2.9B | $5.0M |
| NCS GROUP TRUST INTERNATIONAL FUND | Other Private Fund | Illinois | 26 | $1.1B | $5.0M |
| NCS INTERNATIONAL FUND LLC | Other Private Fund | Delaware | 34 | $658.5M | $5.0M |
| NCS GLOBAL FUND LLC | Other Private Fund | Delaware | 29 | $406.8M | $5.0M |
| City | State | Employees | Phone |
|---|---|---|---|
| PITTSBURGH | PA | 4 | (800) 626-6721 |
| NEW YORK | NY | 3 | (800) 242-8671 |
| SAN FRANCISCO | CA | 2 | (415) 975-3531 |
| LAKE MARY | FL | 1 | (407) 598-9125 |
| BOSTON | MA | 1 | (617) 350-6100 |