OAKTREE CAPITAL MANAGEMENT, L.P. of LOS ANGELES, CA is an SEC-registered investment adviser (CRD 106793). Regulatory assets under management: $183.3B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
Showing 25 of 41 people.
| Name | Role | Location |
|---|---|---|
| SMITH TAFT JAMES | MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER | CHICAGO, IL |
| Scott T Harrison | CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER | Oak Park, MI |
| Bruce Allen Karsh | CO-CHAIRMAN, CHIEF INVESTMENT OFFICER; MANAGER | — |
| Scott Christopher Harrison | CHIEF COMPLIANCE OFFICER; MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER | — |
| Howard Stanley Marks | CO-CHAIRMAN; MANAGER | — |
| Sheldon Michael Stone | MANAGER; PRINCIPAL | — |
| John Bernkopf Frank | MANAGER; VICE CHAIRMAN | — |
| Todd Emmet Molz | CHIEF OPERATING OFFICER | — |
| Rodney Parama Vencatachellum | MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER | — |
| Daniel Dane Levin | MANAGING DIRECTOR AND CHIEF FINANCIAL OFFICER | — |
| Robert J O'Leary | CO-CEO; CO-CHIEF EXECUTIVE OFFICER | — |
| Armen Ryan Panossian | CO-CEO; CO-CHIEF EXECUTIVE OFFICER | — |
| Richard Kwang Pei Ting | GENERAL COUNSEL; MANAGING DIRECTOR AND GENERAL COUNSEL | — |
| KARSH BRUCE ALLEN | CO-CHAIRMAN, CHIEF INVESTMENT OFFICER; CO-CHAIRMAN, PRINCIPAL, CHIEF INVESTMENT OFFICER; CO-CHAIRMAN, PRINCIPAL, CHIEF INVESTMENTS OFFICER (+4 more) | — |
| STONE MICHAEL SHELDON | PRINCIPAL | — |
| MARKS HOWARD STANLEY | CHAIRMAN, PRINCIPAL; CO-CHAIRMAN; CO-CHAIRMAN, PRINCIPAL (+2 more) | — |
| MASSON DAVID RICHARD | MEMBER; PRINCIPAL | — |
| KEELE LARRY | PRINCIPAL | — |
| KAPLAN STEPHEN | PRINCIPAL | — |
| KIRCHHEIMER DAVID MICHAEL | MANAGER; MANAGING DIRECTOR, CHIEF FINANCIAL OFFICER & CHIEF ADMINISTRATIVE OFFICER; MEMBER (+2 more) | — |
| FRANK JOHN BERNKOPF | MANAGER; MANAGING DIRECTOR, GENERAL COUNSEL; MANAGING PRINCIPAL (+4 more) | — |
| CLAYTON KEVIN LOREN | MANAGER; MEMBER; PRINCIPAL | — |
| MOLZ TODD EMMET | CHIEF OPERATING OFFICER; GENERAL COUNSEL & CHIEF ADMINISTRATIVE OFFICER; MANAGING DIRECTOR AND GENERAL COUNSEL (+1 more) | — |
| BERNARD RUSSEL | PRINCIPAL | — |
| LIANG KENNETH CHI CHU | MANAGING DIRECTOR, GENERAL COUNSEL | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2024-09-25 | regulatory | THE SEC FOUND THAT OAKTREE CAPITAL MANAGEMENT, L.P. FAILED TO TIMELY FILE REQUIRED SECTION 16(A) REPORTS AND FAILED TO TIMELY FILE SCHEDULE 13D AND SCHEDULE 13G AMENDMENTS AND THEREFORE VIOLATED AND CAUSED VIOLATIONS OF SECTIONS 13(D) AND 16(A) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES 13D-2… | Final | $375K |
| 2018-07-10 | regulatory | THE SEC ALLEGED THAT IN THREE INSTANCES, OAKTREE PROVIDED ADVISORY SERVICES FOR COMPENSATION FOR TWO YEARS TO A STATE OR LOCAL GOVERNMENTAL INVESTOR AFTER A "COVERED ASSOCIATE" OF OAKTREE MADE A PERSONAL CAMPAIGN CONTRIBUTION TO A CANDIDATE FOR A GOVERNMENTAL POSITION WHICH HAD THE ABILITY TO INFLUE… | Final | $100K |