# J.P. MORGAN INVESTMENT MANAGEMENT INC.

J.P. MORGAN INVESTMENT MANAGEMENT INC. of NEW YORK, NY is an SEC-registered investment adviser. This firm reports disciplinary history on Form ADV.

## Registration

- CRD: 107038
- Type: SEC-registered investment adviser
- SEC file number: 801-21011
- Location: 270 PARK AVENUE, NEW YORK, NY, 10017-2014
- Phone: (800) 343-1113
- Latest filing: 2026-06-30
- Regulatory AUM: $3.5T
- Discretionary AUM: $3.5T
- Non-discretionary AUM: $25.0B
- Clients: 3,194
- Accounts: 132,150

## Business model

- Compensation: % of AUM, Fixed, Performance
- Clients served: High net worth, Pooled vehicles, Pensions, Charities, Investment cos

## Officers, owners & control persons (85)

_Showing 25 of 85 people._

| Name | Role | Location |
| --- | --- | --- |
| Sullivan Michael | DIRECTOR/CFO/MANAGING DIRECTOR; DIRECTOR/MANAGING DIRECTOR/CFO; DIRECTOR / TREASURER / CFO (+3 more) | New York, NY |
| SMITH TAFT JAMES | CHIEF COMPLIANCE OFFICER/MANAGING DIRECTOR; CHIEF COMPLIANCE OFFICER/MD; CHIEF COMPLIANCE OFFICER/ VP | CHICAGO, IL |
| Peter Victor Bonanno | GENERAL COUNSEL, ASSET MANAGEMENT | New York, NY |
| George Crosby White Gatch | DIRECTOR/CHAIRMAN | — |
| Paul Anthony Quinsee | DIRECTOR/HEAD OF GLOBAL EQUITIES | — |
| Andrew Richard Powell | DIRECTOR / AM CAO / HEAD OF GLOBAL CLIENT SERVICE / SENIOR BUSINESS MANAGER | — |
| John Thomas Donohue | DIRECTOR / PRESIDENT / CEO / HEAD OF GLOBAL LIQUIDITY | — |
| Joy Catherine Dowd | DIRECTOR | — |
| Robert Charles Michele | DIRECTOR /HEAD OF GLOBAL FIXED INCOME, CURRENCY & COMMODITIES | — |
| Anton Cyriel Pil | DIRECTOR / HEAD OF GLOBAL ALTERNATIVES | — |
| Katherine Gail Manghillis | SECRETARY | — |
| Jedediah Isiah M Laskowitz | DIRECTOR / HEAD OF GLOBAL PRIVATE MARKETS AND CUSTOMIZED SOLUTIONS | — |
| John L Oliva | CHIEF COMPLIANCE OFFICER | — |
| Andrea L Lisher | DIRECTOR / HEAD OF AMERICAS, CLIENT | — |
| Benjamin Hesse | DIRECTOR / CHIEF FINANCIAL OFFICER / TREASURER | — |
| RICHTER SCOTT EDWARD | CHIEF LEGAL OFFICER; MANAGING DIRECTOR/SECRETARY; SECRETARY (+2 more) | — |
| AZELBY JOSEPH KENNETH | DIRECTOR/CIO-GLOBAL HEAD OF REAL ESTATE/MANAGING DIRECTOR; DIRECTOR/MANAGING DIRECTOR; DIRECTOR/MANAGING DIRECTOR/CIO-GLOBAL HEAD OF REAL ESTATE | — |
| OLIVA JOHN L | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER \\ MANAGING DIRECTOR | — |
| OLIVA JOHN LEO | CHIEF COMPLIANCE OFFICER | — |
| SPENCER SCOTT ANDREW | CHIEF INVESTMENT OFFICER OF US RETAIL BUSINESS/MANAGING DIRECTOR | — |
| KASS DENNIS MILES | DIRECTOR/MANAGING DIRECTOR | — |
| UNREIN LAWRENCE MARK | DIRECTOR/CIO- AND GLOBAL HEAD OF PRIVATE EQUITY/MANAGING DIRECTOR; DIRECTOR/CIO-GLOBAL HEAD OF PRIVATE EQUITY/MANAGING DIRECTOR; DIRECTOR/HEAD OF GLOBAL PRIVATE EQUITY / MANAGING DIRECTOR (+2 more) | — |
| GUERNSEY EVE | PRESIDENT/DIRECTOR/MANAGING DIRECTOR | — |
| SCIBETTA PAUL LOUIS | HEAD OF LEGAL FOR ASSET MANAGEMENT IN THE AMERICAS/MD; HEAD OF LEGAL FOR ASSET MANAGEMENT IN THE AMERICAS/MD/CHHIEF FIDUCIARY OFFICER; HEAD OF LEGAL FOR ASSET MANAGEMENT IN THE AMERICAS/MD/CHIEF FIDUCIARY OFFICER (+1 more) | — |
| SCHAPPERT KEITH MORGAN | PRESIDENT/DIRECTOR/MD | — |


## Disclosures (115)

_Showing 10 of 15 distinct disclosure events._

| Initiated | Type | Allegations | Status | Amount |
| --- | --- | --- | --- | --- |
| 2024-10-31 | regulatory | ON OCTOBER 31, 2024, J.P. MORGAN INVESTMENT MANAGEMENT, INC. ("JPMIM") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") RESULTING IN THE SEC ISSUING AN ADMINISTRATIVE ORDER (THE "ORDER"). WITHOUT ADMITTING OR DENYING THE FINDINGS IN THE ORDER, JPMIM CONSENTED TO THE ENTR… | Final | $5.0M |
| 2024-10-31 | regulatory | ON OCTOBER 31, 2024, J.P. MORGAN INVESTMENT MANAGEMENT, INC. ("JPMIM") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") RESULTING IN THE SEC ISSUING AN ADMINISTRATIVE ORDER (THE "ORDER"). WITHOUT ADMITTING OR DENYING THE FINDINGS IN THE ORDER, JPMIM CONSENTED TO THE ENTR… | Final | $1.0M |
| 2021-07-22 | regulatory | NEGLIGENT BREACH OF SUPERVISORY AND ORGANIZATIONAL DUTIES IN CONNECTION WITH INFRINGEMENTSOF SECTION 21 OF THE GERMAN SECURITIES TRADING ACT. | Final | $1.8M |
| 2020-09-29 | regulatory | THE CFTC ENTERED AN ORDER RESOLVING AN ACTION AGAINST JPMORGAN CHASE & CO., AN AFFILIATED BANK (THE "BANK") AND AN AFFILIATED BROKER-DEALER (THE "BROKER-DEALER") (COLLECTIVELY, "JPM"). ACCORDING TO THE ORDER, FROM AT LEAST 2008 THROUGH 2016, NUMEROUS TRADERS ON THE PRECIOUS METALS AND U.S. TREASURIE… | Final | $436.4M |
| 2020-09-29 | criminal | — | Final | — |
| 2019-01-15 | regulatory | THE SECURITIES AND EXCHANGE BOARD OF INDIA ("SEBI") ALLEGED THAT JF ASSET MANAGEMENT LIMITED ("JFAML") (NOW KNOWN AS JPMORGAN ASSET MANAGEMENT (ASIA PACIFIC) LIMITED) VIOLATED REGULATION 19(2) OF THE SECURITIES CONTRACTS (REGULATION) (STOCK EXCHANGES AND CLEARING CORPORATIONS) REGULATIONS, 2012 RESC… | Final | $8K |
| 2018-02-05 | regulatory | ON FEBRUARY 5, 2018, THE TAIWAN FINANCIAL SUPERVISORY COMMISSION ("FSC") ISSUED A PUBLIC NOTICE OF ITS IMPOSITION OF A SANCTION OF RECTIFICATION AND AN ADMINISTRATIVE PENALTY ("SANCTION") AGAINST JPMORGAN ASSET MANAGEMENT (TAIWAN) LIMITED ("JPMAM TAIWAN") BECAUSE JPMAM TAIWAN, HAD NOT EFFECTIVELY ES… | Final | $41K |
| 2017-01-03 | regulatory | THE INVESTIGATION CONCERNED ALLEGED MISREPRESENTATIONS AND OMISSIONS IN CONNECTION WITH THE MARKETING, SALE AND DISTRIBUTION OF AUCTION RATE SECURITIES. | Final | $98K |
| 2016-11-17 | regulatory | ON NOVEMBER 17, 2016, JPMORGAN CHASE & CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM ("FRB") RESULTING IN THE FRB ISSUING AN ORDER ("ORDER"). THE ORDER FINDS THAT FROM AT LEAST 2008 THROUGH 2013, JPMC'S ASIA-PACIFIC REGION INVESTMENT BANKING GROUP O… | Final | $61.9M |
| 2016-11-17 | regulatory | ON NOVEMBER 17, 2016, JPMORGAN CHASE & CO. ("JPMC") ENTERED INTO A SETTLEMENT WITH THE SECURITIES AND EXCHANGE COMMISSION ("SEC") UNDER WHICH JPMC CONSENTED TO THE ENTRY OF AN ORDER (THE "ORDER") THAT FINDS THAT JPMC VIOLATED SECTIONS 13(B)(2)(A), 13(B)(2)(B) AND 30A OF THE SECURITIES EXCHANGE ACT O… | Final | — |


## Related pages

- Form ADV Part 2 brochure: https://search.stillhousedata.com/firm/107038/brochure
- Similar advisers: https://search.stillhousedata.com/firm/107038/similar
- Related entities: https://search.stillhousedata.com/firm/107038/related
- SEC IAPD (source of record): https://adviserinfo.sec.gov/firm/summary/107038

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