BMO ASSET MANAGEMENT CORP. of CHICAGO, IL is an SEC-registered investment adviser (CRD 106466). Regulatory assets under management: $6.2B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 75 people.
| Name | Role | Location |
|---|---|---|
| Gregory Brett Andrew | CHIEF COMPLIANCE OFFICER | Austin, TX |
| Michael Arthur Miranda | DIRECTOR; PRESIDENT; PRESIDENT AND CHAIR | — |
| Sean Rooney | CHIEF FINANCIAL OFFICER | Melville, NY |
| George Patrick Lace | CHIEF FINANCIAL OFFICER | — |
| Dean Allan Folias | CHIEF COMPLIANCE OFFICER | — |
| Janie Marie Cervera | DIRECTOR | — |
| James Patrick Duff | DIRECTOR | — |
| Patricia Beth Weitzman | DIRECTOR | — |
| COXE DONALD GORDON MAXWELL | CHAIRMAN,DIRECTOR; DIRECTOR | — |
| OUELLETTE GILLES G | DIRECTOR | — |
| LESZINSKE WILLIAM O | DIRECTOR | — |
| COOPER BARRY MERRITT | CHAIRMAN; DIRECTOR | — |
| JOHNSON RANDALL JOHN | TREASURER; TREASURER, CHIEF FINANCIAL OFFICER | — |
| KANE TIMOTHY RAYMOND | ASSISTANT SECRETARY; SECRETARY | — |
| SMITH MARILYN | INTERIM CHIEF COMPLIANCE OFFICER | — |
| THONN WILLIAM EUGENE | DIRECTOR | — |
| KREI KENNETH CHARLES | DIRECTOR | — |
| LESZINSKE WILLIAM | DIRECTOR, PRESIDENT & CHIEF INVESTMENT OFFICER | — |
| TIWARI ATUL | DIRECTOR | — |
| DOWNE WILLIAM ARTHUR | DIRECTOR | — |
| MEIKEL BRIAN WILLIAM | CHIEF COMPLIANCE OFFICER | — |
| HAMILTON JAMES ALEXANDER | CHIEF FINANCIAL OFFICER | — |
| NEAL CAROL ANN | DIRECTOR | — |
| RICHARDS DAVID CHAPMAN | SECRETARY | — |
| FOLIAS DEAN ALLAN | CHIEF COMPLIANCE OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-07-17 | regulatory | ON APRIL 19, 2024, THE FSS NOTIFIED BAMC THAT IT WAS INVESTIGATING BAMC PURSUANT TO ARTICLE 21(1) OF THE ADMINISTRATIVE PROCEDURES ACT AND ARTICLE 36(1) OF THE REGULATIONS ON INVESTIGATION OF CAPITAL MARKETS (THE "FSCMA"). THE FSS ALLEGED THAT BAMC VIOLATED THE KOREAN SHORT SALE REGULATIONS WHEN BAM… | Final | $18K |
| 2023-08-01 | regulatory | THE U.S. COMMODITY FUTURE TRADING COMMISSION ("CFTC") ALLEGED THAT, FROM AT LEAST 2019 THROUGH THE DATE OF THE ORDER, BANK OF MONTREAL ("BMO") (I) FAILED TO KEEP CERTAIN REQUIRED RECORDS IN VIOLATION OF SECTIONS 4S(F)(1)(C) AND 4S(G)(1) AND (3) OF THE COMMODITY EXCHANGE ACT ("CEA") AND CFTC REGULATI… | Final | $35.0M |
| 2019-09-27 | regulatory | ON SEPTEMBER 27, 2019, BMO ASSET MANAGEMENT CORP. AND ITS AFFILIATE, BMO HARRIS FINANCIAL ADVISORS, INC. (BHFA) (BOTH, THE "SETTLING PARTIES") ENTERED INTO A SETTLEMENT WITH THE U.S. SECURITIES AND EXCHANGE COMMISSION (SEC). THE SEC ORDER MADE FINDINGS, WHICH THE SETTLING PARTIES NEITHER ADMITTED NO… | Final | $8.3M |
| — | regulatory | — | — | — |
Securitized Asset Fund: 8 · Other Private Fund: 8
Showing 15 of 16 funds by gross asset value.
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| GREAT LAKES CLO FUND VII, LTD. | Securitized Asset Fund | Cayman Islands | 15 | $401.4M | $250K |
| GREAT LAKES CLO FUND VIII, LTD. | Securitized Asset Fund | Cayman Islands | 15 | $401.3M | $250K |
| GREAT LAKES CLO IX, LTD | Securitized Asset Fund | Cayman Islands | 15 | $396.6M | $250K |
| GREAT LAKES CLO VI, LLC | Securitized Asset Fund | Delaware | 15 | $370.6M | $1.0M |
| GREAT LAKES CLO 2019-1, LTD. | Securitized Asset Fund | Cayman Islands | 15 | $334.7M | $250K |
| GREAT LAKES MML FUND IV, LLC | Other Private Fund | Delaware | 5 | $322.5M | $1.0M |
| GREAT LAKES CLO V, LTD. | Securitized Asset Fund | Cayman Islands | 15 | $287.4M | $1.0M |
| GREAT LAKES KOREA FUND III, LLC | Other Private Fund | Delaware | 3 | $201.0M | $1.0M |
| GREAT LAKES BC FUND, LP | Other Private Fund | Delaware | 1 | $200.0M | $1.0M |
| GREAT LAKES KOREA HAN RIVER, LLC | Other Private Fund | Delaware | 1 | $103.2M | $1.0M |
| GREAT LAKES CLO 2015-1, LTD. | Securitized Asset Fund | Cayman Islands | 15 | $93.3M | $250K |
| GREAT LAKES CLO 2014-1, LTD. | Securitized Asset Fund | Cayman Islands | 15 | $71.4M | $250K |
| GREAT LAKES FUND II, LLC | Other Private Fund | Delaware | 2 | $71.2M | $1.0M |
| GREAT LAKES MML FUND IV SIDE CAR, LLC | Other Private Fund | Delaware | 1 | $70.1M | $1.0M |
| GREAT LAKES SEOUL CLEAR STREAM, LLC | Other Private Fund | Delaware | 1 | $61.6M | $1.0M |