WELLINGTON MANAGEMENT COMPANY LLP of BOSTON, MA is an SEC-registered investment adviser (CRD 106595). Regulatory assets under management: $1.4T. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
Showing 25 of 145 people.
| Name | Role | Location |
|---|---|---|
| Gabriel Paul Allen | PARTNER; PARTNER AND EXECUTIVE COMMITTEE MEMBER | — |
| Erin Kimberly Murphy | CHIEF FINANCIAL OFFICER | — |
| Stephen Klar | PRESIDENT | — |
| Jean Marie Hynes | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, PRESIDENT | — |
| Laura Ann Coyne | HEAD OF LEGAL, AMERICAS | — |
| Amy Beth Kramer | CHIEF OPERATING OFFICER | — |
| Gregory Scott Konzal | HEAD OF LEGAL, AMERICAS | — |
| Ihsan K Speede | CHIEF COMPLIANCE OFFICER | — |
| BRAVERMAN PAUL NONE | PARTNER; PARTNER AND CHIEF FINANCIAL OFFICER | — |
| KEADY LORRAINE ALMA | PARTNER | — |
| LODGE GEORGE CABOT | PARTNER | — |
| LUKITSH NANCY THERESE | PARTNER | — |
| NORDIN DIANE CAROL | PARTNER | — |
| TRAQUINA PERRY MARQUES | CHAIRMAN; PARTNER; PARTNER AND CHIEF EXECUTIVE OFFICER (+3 more) | — |
| ADAMS NICHOLAS CHARLES | PARTNER; PARTNER AND EXECUTIVE COMMITTEE MEMBER | — |
| PANNELL SAUL JOSEPH | PARTNER; PARTNER AND EXECUTIVE COMMITTEE MEMBER | — |
| HAMEL PAUL JOSEPH | PARTNER; PARTNER AND EXECUTIVE COMMITTEE MEMBER | — |
| RYAN JOHN ROBERT | PARTNER; PARTNER AND EXECUTIVE COMMITTEE MEMBER | — |
| CLARKE CYNTHIA MARY | CHIEF LEGAL OFFICER; PARTNER AND CHIEF LEGAL OFFICER | — |
| PERELMUTER PHILLIP H | PARTNER; PARTNER AND EXECUTIVE COMMITTEE MEMBER | — |
| NOTELOVITZ SELWYN JUSTIN | CHIEF COMPLIANCE OFFICER; PARTNER AND CHIEF COMPLIANCE OFFICER | — |
| PAPPAS THOMAS LOUIS | PARTNER; PARTNER AND EXECUTIVE COMMITTEE MEMBER | — |
| HOFFMANN JAMES PHILIP | PARTNER; PARTNER AND EXECUTIVE COMMITTEE MEMBER | — |
| BANDTEL KARL EDWARD | PARTNER; PARTNER AND EXECUTIVE COMMITTEE MEMBER | — |
| HYNES JEAN MARIE | CHIEF EXECUTIVE OFFICER; PARTNER; PARTNER AND EXECUTIVE COMMITTEE MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2021-08-12 | regulatory | THE GERMAN FEDERAL FINANCIAL SUPERVISORY AUTHORITY ("BAFIN") SANCTIONED WELLINGTON MANAGEMENT IN RELATION TO THREE INDIVIDUAL ADMINISTRATIVE BREACHES OF LARGE SHAREHOLDER DISCLOSURE REQUIREMENTS. THE BREACHES RELATE TO EVENTS WHICH OCCURRED IN 2016, 2018 AND 2019 RESPECTIVELY. | Final | $183K |
| 2018-06-19 | regulatory | THE FDF ALLEGED THAT WELLINGTON HAD NOT PROVIDED AN ADDITIONAL TABLE THAT PROVIDES A BREAKDOWN OF SHARES AMONG OUR CLIENT ACCOUNTS WITH SIX LARGE SHAREHOLDER DISCLOSURE FILINGS MADE IN 2016 AND 2017 IN ACCORDANCE WITH ART. 151 IN RELATION WITH ART. 120 OF THE FEDERAL ACT ON FINANCIAL MARKET INFRASTR… | Final | $36K |
| 2017-11-28 | regulatory | THE SWEDISH FINANCIAL REGULATORY AUTHORITY ALLEGED THAT WELLINGTON HAD NOT FILED, WITHIN THE SPECIFIED TIME PERIOD, A REPORT REGARDING A NET SHORT POSITION HELD IN A SWEDISH SECURITY. | Final | $1K |
| 2016-09-20 | regulatory | THE FDF ALLEGED THAT WELLINGTON HAD NOT FILED, WITHIN THE SPECIFIED TIME PERIOD, REPORTS THAT ITS COLLECTIVE OWNERSHIP OF A SWISS SECURITY CROSSED AN OWNERSHIP THRESHOLD. | Final | $7K |