HARRIS | OAKMARK of CHICAGO, IL is an SEC-registered investment adviser (CRD 106960). Regulatory assets under management: $109.5B.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Investment cos.
Showing 25 of 67 people.
| Name | Role | Location |
|---|---|---|
| PHILIPPE BRUNO ALBERT SETBON | DIRECTOR OF GENERAL PARTNER | BOSTON, MA |
| Grant Gordon | CO-CHAIRMAN AND DIRECTOR OF GENERAL PARTNER; CO-CHIEF EXECUTIVE OFFICER AND DIRECTOR OF GENERAL PARTNER | Salt Lake City, UT |
| Jodie Lynn Crotteau | CHIEF COMPLIANCE OFFICER | — |
| David Lawrence Giunta | DIRECTOR OF GENERAL PARTNER | — |
| Eric Norman Ward | DIRECTOR OF GENERAL PARTNER | — |
| David Gregory Herro | DEPUTY CHAIRMAN, CHIEF INVESTMENT OFFICER, INTERNATIONAL EQUITY, DIRECTOR OF GP | — |
| William Carl Nygren | VICE PRESIDENT AND CHIEF INVESTMENT OFFICER, U.S. EQUITY | — |
| Anthony Paul Coniaris | CHAIRMAN AND DIRECTOR OF GENERAL PARTNER | — |
| Michael L Manelli | VICE PRESIDENT | — |
| Justin David Hance | VICE PRESIDENT AND DIRECTOR OF INTERNATIONAL RESEARCH | — |
| Christopher Wolfgang Keller | PRESIDENT | — |
| Zachary David Weber | CHIEF FINANCIAL OFFICER AND TREASURER | — |
| Rana Jewel Wright | CHIEF LEGAL AND ADMINISTRATIVE OFFICER, DIRECTOR OF GP | — |
| Eric Si Yuan Liu | VICE PRESIDENT | — |
| Joseph Allessie | CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL AND SECRETARY; GENERAL COUNSEL AND SECRETARY | — |
| Alex Earling Fitch | VICE PRESIDENT AND DIRECTOR OF U.S.RESEARCH; VICE PRESIDENT AND DIRECTOR OF U.S. RESEARCH | — |
| Young Rok Lee | CHIEF OPERATING OFFICER | — |
| HERRO DAVID GREGORY | DEPUTY CHAIRMAN, CHIEF INVESTMENT OFFICER, INTERNATIONAL EQUITY, DIRECTOR OF GP; DIRECTOR OF GENERAL PARTNER; VICE PRESIDENT (+2 more) | — |
| LEVY ROBERT MUSSER | CHAIRMAN, CHIEF INVESTMENT OFFICER & DIRECTOR OF GP; CHAIRMAN, CHIEF INVESTMENT OFFICER, DOMESTIC EQUITY & DIRECTOR OF GP; CHAIRMAN, CHIEF INVESTMENT OFFICER, U.S. EQUITY & DIRECTOR OF GP (+2 more) | — |
| RYLAND G NEAL | DIRECTOR OF GENERAL PARTNER | — |
| ROWSELL KRISTI LINEBURG | PRESIDENT & DIRECTOR OF GP; PRESIDENT, TREASURER, CHIEF FINANCIAL OFFICER & DIRECTOR OF GP; SECRETARY, TREASURER, CHIEF FINANCIAL OFFICER (+1 more) | — |
| VOSS PETER STUART | DIRECTOR OF GENERAL PARTNER | — |
| RAITT JOHN R | CHIEF OPERATING OFFICER & DIRECTOR OF GP; PRESIDENT, CEO & DIRECTOR OF GP; VICE PRESIDENT | — |
| REALI JANET LEE | CHIEF COMPLIANCE OFFICER, VICE PRESIDENT, GENERAL COUNSEL & SECRETARY; VICE PRESIDENT, GENERAL COUNSEL & SECRETARY; VICE PRESIDENT, GENERAL COUNSEL & SECRETARY, DIRECTOR OF GP (+1 more) | — |
| BELLMAN FLOYD JOSEPH | VICE PRESIDENT | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2022-09-06 | regulatory | THE COMMODITY FUTURES TRADING COMMISSION ISSUED AN ORDER FILING AND SETTLING CHARGES AGAINST NATIXIS, A GLOBAL BANK AND SWAP DEALER, FOR FAILURE TO DILIGENTLY SUPERVISE TWO TRADERS ON THE BANK'S NEW YORK-BASED INTEREST RATE DERIVATIVES DESK (IRD DESK) AND ITS EQUITY DERIVATIVES FLOW AND SOLUTION TRA… | Final | $2.8M |
| 2019-06-26 | criminal | ON JUNE 24, 2021, NATIXIS SA ("NATIXIS"), THE FRENCH BANK THAT OWNS OUR PARENT COMPANY, WAS FOUND GUILTY BY A FRENCH CRIMINAL COURT (TRIBUNAL CORRECTIONNEL DE PARIS) OF COMMUNICATING MISLEADING INFORMATION TO THE PUBLIC, BASED ON LANGUAGE REGARDING NATIXIS' EXPOSURE TO THE SUB-PRIME CRISIS IN A 2007… | On Appeal | — |
| 2019-06-26 | criminal | ON JUNE 24, 2021, NATIXIS SA ("NATIXIS"), THE FRENCH BANK THAT OWNS OUR PARENT COMPANY, WAS FOUND GUILTY BY A FRENCH CRIMINAL COURT (TRIBUNAL CORRECTIONNEL DE PARIS) OF COMMUNICATING MISLEADING INFORMATION TO THE PUBLIC, BASED ON LANGUAGE REGARDING NATIXIS' EXPOSURE TO THE SUB-PRIME CRISIS IN A 2007… | Final | — |
| 2017-04-18 | regulatory | AN ENTITY IS REQUIRED TO FILE A NOTIFICATION WITH THE GERMAN FEDERAL FINANCIAL SUPERVISORY AUTHORITY ("BAFIN") WHEN THE ENTITY'S SHAREHOLDINGS OF A SECURITY (LISTED IN AN EEA COUNTRY AND HOME MEMBER STATE IS GERMANY) REACH, EXCEED OR FALL BELOW PRESCRIBED LIMITS. THE BAFIN ALLEGED THAT HARRIS' NOTIF… | Final | $63K |