BLACKROCK ADVISORS, LLC

BLACKROCK ADVISORS, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 106614). Regulatory assets under management: $1.1T.

Registration

Business model

Compensation: % of AUM.

Clients served: Pooled vehicles, Investment cos.

Officers, owners & control persons (33)

Showing 25 of 33 people.

NameRoleLocation
Robert Lawrence GoldsteinCHIEF OPERATING OFFICER; DIRECTORNew York, NY
Charles Choon Sik ParkCHIEF COMPLIANCE OFFICER
Laurence Douglas FinkCHIEF EXECUTIVE OFFICER
Robert Steven KapitoPRESIDENT
Christopher Joseph MeadeGENERAL COUNSEL AND CHIEF LEGAL OFFICER
Martin SmallCHIEF FINANCIAL OFFICER; DIRECTOR
PARK CHARLES CHOON SIKCHIEF COMPLIANCE OFFICER
MORAN KEVEN PATRICKMANAGING DIRECTOR AND DIRECTOR; MANAGING DIRECTOR, TREASURER AND DIRECTOR
FINK LAURENCE DOUGLASCHAIRMAN; CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER & CHAIRMAN (+3 more)
SCHLOSSTEIN RALPH LEWISPRESIDENT AND DIRECTOR
BATTISTA BARTHOLOMEW ANGELOCHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR; DIRECTOR, REGULATORY COMPLIANCE (+2 more)
KAPITO ROBERT STEVENDIRECTOR; PRESIDENT; PRESIDENT AND MANAGING DIRECTOR (+3 more)
CONNOLLY ROBERT PETERGENERAL COUNSEL, SECRETARY; GENERAL COUNSEL, SECRETARY AND MANAGING DIRECTOR
GABBAY HENRYMANAGING DIRECTOR, CHIEF ADMINISTRATIVE OFFICER, PORTFOLIO COMPLIANCE; MANAGING DIRECTOR, PORTFOLIO COMPLIANCE
CAROLAN LAURENCE JAMESMANAGING DIRECTOR AND DIRECTOR
AUDET PAUL LCHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR; DIRECTOR
BULLER STEVEN ECHIEF FINANCIAL OFFICER
KLINGERT KEVIN MICHAELMANAGING DIRECTOR AND DIRECTOR
NEVIN THOMAS HUNTERMANAGING DIRECTOR AND DIRECTOR
PETACH ANN MARIECHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR
HALLAC CHARLES SHAULCHIEF ADMINISTRATIVE OFFICER & MANAGING DIRECTOR; CHIEF OPERATING OFFICER; CO-PRESIDENT (+1 more)
WALTCHER DANIEL RASSISTANT SECRETARY; ASSISTANT SECRETARY, DIRECTOR; DEPUTY GENERAL COUNSEL (+1 more)
KAPITO ROBERT SPRESIDENT AND MANAGING DIRECTOR
GOLDSTEIN ROBERT LAWRENCECHIEF OPERATING OFFICER; DIRECTOR
AUDET PAUL LOUISDIRECTOR

Disclosures (148)

Showing 10 of 23 distinct disclosure events.

InitiatedTypeAllegationsStatusAmount
2026-02-03civilON FEBRUARY 3, 2026, A PUTATIVE SECURITIES CLASS ACTION LAWSUIT WAS FILED IN THE UNITED STATES DISTRICT COURT FOR THE CENTRAL DISTRICT OF CALIFORNIA. THE COMPLAINT NAMES BLACKROCK TCP CAPITAL CORP AND CERTAIN OF ITS CURRENT AND FORMER EXECUTIVE OFFICERS AS DEFENDANTS. THE COMPLAINT PURPORTS TO BE BR…Pending
2025-01-09regulatoryON JANUARY 9, 2025, THE COMISION NACIONAL BANCARIA Y DE VALORES ("CNBV") IMPOSED A FINE OF APPROXIMATELY $123,000 USD (MNX $2,501,720) REGARDING THE ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING PROGRAM AT BLACKROCK'S MEXICO CITY OFFICE. SPECIFICALLY, THE CNBV FOUND THAT BLACKROCK MEXICO DID…Final$123K
2025-01-09regulatoryON JANUARY 9, 2025, THE COMISIÓN NACIONAL BANCARIA Y DE VALORES ("CNBV") IMPOSED A FINE OF APPROXIMATELY $123,000 USD (MNX $2,501,720) REGARDING THE ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING PROGRAM AT BLACKROCK'S MEXICO CITY OFFICE. SPECIFICALLY, THE CNBV FOUND THAT BLACKROCK MEXICO DID…Final$123K
2024-11-27civilON NOVEMBER 27, 2024, TEXAS ATTORNEY GENERAL KEN PAXTON AND ATTORNEYS GENERAL FROM 10 OTHER STATES (ALABAMA, ARKANSAS, INDIANA, IOWA, KANSAS, MISSOURI, MONTANA, NEBRASKA, WEST VIRGINIA, AND WYOMING) FILED A COMPLAINT AGAINST BLACKROCK, VANGUARD, AND STATE STREET (THE "MANAGERS") ALLEGING THAT THE MA…Pending
2024-08-22regulatoryON AUGUST 22, 2024, THE INDIANA SECURITIES COMMISSIONER (THE "COMMISSIONER") ISSUED A CEASE AND DESIST ORDER (THE "ORDER") AGAINST BLACKROCK, INC. AND SEVERAL OF ITS ADVISORY AFFILIATES, (COLLECTIVELY, "BLACKROCK"). THE ORDER ALLEGES THAT BLACKROCK HAS MADE MISLEADING STATEMENTS ABOUT HOW WE MANAGE…Pending
2024-03-27regulatoryON MARCH 27, 2024, BLACKROCK, INC., BLACKROCK INVESTMENTS, LLC, BLACKROCK ADVISORS, LLC, BLACKROCK FUND ADVISORS, AND ISHARES TRUST (COLLECTIVELY, "BLACKROCK") WERE SERVED WITH A SUMMARY CEASE AND DESIST ORDER AND NOTICE OF INTENT TO IMPOSE ADMINISTRATIVE PENALTY FROM THE MISSISSIPPI SECRETARY OF ST…Pending
2024-03-27regulatoryON MARCH 27, 2024, BLACKROCK, INC., BLACKROCK INVESTMENTS, LLC, BLACKROCK ADVISORS, LLC, BLACKROCK FUND ADVISORS, AND ISHARES TRUST (COLLECTIVELY, "BLACKROCK") WERE SERVED WITH A SUMMARY CEASE AND DESIST ORDER AND NOTICE OF INTENT TO IMPOSE ADMINISTRATIVE PENALTY FROM THE MISSISSIPPI SECRETARY OF ST…Final
2023-12-18civilON DECEMBER 18, 2023, THE TENNESSEE ATTORNEY GENERAL ("AG") SUED BLACKROCK, INC. IN TENNESSEE STATE COURT FOR ALLEGED VIOLATIONS OF TENNESSEE'S CONSUMER PROTECTION STATUTE IN CONNECTION WITH OUR ESG PRACTICES. THE COMPLAINT GENERALLY ALLEGES THAT BLACKROCK HAS MADE MISLEADING STATEMENTS IN FUND PROS…Final
2023-12-18civilON DECEMBER 18, 2023, THE TENNESSEE ATTORNEY GENERAL ("AG") SUED BLACKROCK, INC. IN TENNESSEE STATE COURT FOR ALLEGED VIOLATIONS OF TENNESSEE'S CONSUMER PROTECTION STATUTE IN CONNECTION WITH BLACKROCK'S ESG PRACTICES. THE COMPLAINT GENERALLY ALLEGES THAT BLACKROCK HAS MADE MISLEADING STATEMENTS IN F…Pending
2023-06-06regulatoryFAILURE TO COMPLY WITH CERTAIN REGULATIONS APPLICABLE TO THE MANAGEMENT OF MUTUAL FUNDS AND THE PROVISION OF INVESTMENT ADVISORY SERVICES IN BLACKROCK'S MEXICO CITY OFFICEFinal$164K

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