SECURITY CAPITAL RESEARCH & MANAGEMENT INCORPORATED of CHICAGO, IL is an SEC-registered investment adviser (CRD 106201). Regulatory assets under management: $3.3B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Pensions.
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| Name | Role | Location |
|---|---|---|
| Sullivan Michael | DIRECTORY | New York, NY |
| SMITH TAFT JAMES | CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR | CHICAGO, IL |
| Steven Mark Greenspan | DIRECTOR | New York, NY |
| Ronan Padraig O'Comhrai | CHIEF LEGAL OFFICER | — |
| Anthony Russo Manno | CEO, PRESIDENT, DIRECTOR & MANAGING DIRECTOR | — |
| Michael Joseph Heller | DIRECTOR, MANAGING DIRECTOR & CHIEF FINANCIAL OFFICER | — |
| Craig Patrick Livingston | CHIEF COMPLIANCE OFFICER / VICE PRESIDENT | — |
| Danilo Anonuevo Sanjose | DIRECTOR, MANAGING DIRECTOR | — |
| Jay X Villanueva | DIRECTOR/MANAGING DIRECTOR | — |
| BEDELL KEVIN W | MANAGING DIRECTOR; SENIOR VICE PRESIDENT | — |
| MANNO ANTHONY R | CEO, PRESIDENT & DIRECTOR; CEO, PRESIDENT, DIRECTOR & MANAGING DIRECTOR; PRESIDENT, DIRECTOR & MANAGING DIRECTOR | — |
| ROSENBAUM DAVID ERIC | MANAGING DIRECTOR; SENIOR VICE PRESIDENT | — |
| STATZ KENNETH DALE | MANAGING DIRECTOR | — |
| NOVICK DAVID TODD | GENERAL COUNSEL | — |
| RICHTER SCOTT EDWARD | CHIEF LEGAL OFFICER; SECRETARY; SECRETARY / MANAGING DIRECTOR | — |
| AZELBY JOSEPH KENNETH | DIRECTOR | — |
| GILIBERTO SALVATORE MICHAEL | DIRECTOR | — |
| GREENSPAN STEVEN M | DIRECTOR | — |
| PLATT RUSSELL CHRISTOPHER | MANAGING DIRECTOR | — |
| LANGLEY BEVERLY JEAN | CHIEF COMPLIANCE OFFICER | — |
| O'COMHRAI RONAN PADRAIG | CHIEF LEGAL OFFICER | — |
| CANNING SUSAN | SECRETARY | — |
| METTELMAN NINA D | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/VICE PRESIDENT | — |
| CURLEY FRANCIS XAVIER | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR | — |
| MADSEN RICHARD T | DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-07-22 | regulatory | NEGLIGENT BREACH OF SUPERVISORY AND ORGANIZATIONAL DUTIES IN CONNECTION WITH INFRINGEMENTS OF SECTION 21 OF THE GERMAN SECURITIES TRADING ACT. | Final | $1.8M |
| 2020-09-29 | criminal | — | Final | — |
| 2020-09-29 | regulatory | THE CFTC ENTERED AN ORDER RESOLVING AN ACTION AGAINST JPMORGAN CHASE & CO., AN AFFILIATED BANK (THE "BANK") AND AN AFFILIATED BROKER-DEALER (THE "BROKER-DEALER") (COLLECTIVELY, "JPM"). ACCORDING TO THE ORDER, FROM AT LEAST 2008 THROUGH 2016, NUMEROUS TRADERS ON THE PRECIOUS METALS AND U.S. TREASURIE… | Final | $436.4M |
| 2017-01-03 | regulatory | THE INVESTIGATION CONCERNED ALLEGED MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE MARKETING, SALE AND DISTRIBUTION OF AUCTION RATE SECURITIES. | Final | $98K |
| 2016-11-17 | regulatory | ON NOVEMBER 17, 2016, JPMORGAN CHASE & CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB") RESULTING IN THE FRB ISSUING AN ORDER ("ORDER"). THE ORDER FINDS THAT FROM AT LEAST 2008 THROUGH 2013, JPMC'S ASIA-PACIFIC REGION INVESTMENT BANKING GROUP O… | Final | $61.9M |
| 2016-11-17 | regulatory | ON NOVEMBER 17, 2016, JPMORGAN CHASE & CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") UNDER WHICH JPMC CONSENTED TO THE ENTRY OF AN ORDER (THE "ORDER") THAT FINDS THAT JPMC VIOLATED SECTIONS 13(B)(2)(A), 13(B)(2)(B) AND 30A OF THE SECURITIES EXCHANGE ACT O… | Final | — |
| 2015-05-20 | criminal | ON MAY 20, 2015, THE DOJ FILED A CRIMINAL INFORMATION IN THE DISTRICT COURT CHARGING JPMC WITH A ONE COUNT CRIME CHARGE IN VIOLATION OF THE SHERMAN ANTITRUST ACT, 15 U.S.C. ? 1 (THE "INFORMATION"). THE INFORMATION CHARGES THAT, FROM JULY 2010 UNTIL AT LEAST JANUARY 2013, JPMC, THROUGH ONE OF ITS EUR… | Final | — |
| 2015-05-20 | regulatory | ON MAY 20, 2015, THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB") ISSUED AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY AGAINST JPMORGAN CHASE & CO. ("JPMC") RELATING TO ITS FOREIGN EXCHANGE ("FX") ACTIVITIES ("ORDER") FROM 2008 THROUGH 2013. THE ORDER STAT… | Final | $342.0M |
| 2014-09-10 | regulatory | THE SEC FOUND THAT SECURITY CAPITAL WAS A CAUSE OF VIOLATIONS OF SECTION 16 (A) OF THE SECURITIES EXCHANGE ACT AND RULE 16A-3 THEREUNDER BY SECURITY CAPITAL PREFERRED GROWTH INCORPORATED (SCPG), A PRIVATE FUND THAT SECURITY CAPITAL MANAGES AND FOR WHICH SECURITY CAPITAL WAS AND IS RESPONSIBLE FOR MA… | Final | $88K |
| 2014-06-17 | regulatory | THE INVESTIGATION CONCERNED ALLEGED MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE MARKETING, SALE AND DISTRIBUTION OF AUCTION RATE SECURITIES. | Final | $101K |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| PREFERRED GROWTH LLC | Other Private Fund | Delaware | 18 | $670.5M | $10.0M |
| VA INCOME OPPORTUNITY INVESTORS LLC | Other Private Fund | Virginia | 2 | $226.5M | — |
| PREFERRED GROWTH-T LLC | Other Private Fund | Delaware | 12 | $15.7M | $10.0M |