INVESCO PRIVATE CAPITAL, INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 107584). Regulatory assets under management: $860.4M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: Pooled vehicles, Charities, Investment cos, Other.
Showing 25 of 46 people.
| Name | Role | Location |
|---|---|---|
| Terry Gibson VACHERON | DIRECTOR | Atlanta, GA |
| Scott Baskind | PRESIDENT, MANAGING DIRECTOR | New York, NY |
| Tony Lik Wong | CHAIRMAN, DIRECTOR | — |
| Joshua Evan Levit | CHIEF COMPLIANCE OFFICER | — |
| Courtney Ryan Popelka | CHIEF FINANCIAL OFFICER | — |
| ROGERS JOHN DAVIS | CHAIRMAN, AND DIRECTOR; DIRECTOR/CHAIRMAN | — |
| HARTLEY DAVID ALEXANDER | DIRECTOR | — |
| KAWAKAMI BRIAN KEN | CHIEF COMPLIANCE OFFICER | — |
| KUPOR JEFFREY HOWARD | GENERAL COUNSEL, SECRETARY | — |
| SPILLANE TODD LAWRENCE | CHIEF COMPLIANCE OFFICER | — |
| STOECKLE GREGORY | CHAIRMAN & PRESIDENT; SENIOR VICE PRESENT | — |
| ARMOUR GREGORY MARK | CHAIRMAN AND DIRECTOR; DIRECTOR | — |
| RILEY MARGARET ANN | CHIEF FINANCIAL OFFICER; DIRECTOR, CHIEF FINANCIAL OFFICER; TREASURER & CHIEF FINANCIAL OFFICER | — |
| EVANS JOHNSTON LIVINGSTON | MANAGING DIRECTOR; PRESIDENT | — |
| ELLIS RODERICK GEORGE HOWARD | DIRECT0R | — |
| ROSS WILBUR LOUIS | CHAIRMAN; CHAIRMAN AND DIRECTOR; CHAIRMAN, PRESIDENT AND DIRECTOR | — |
| MARKWALTER JOHN SHEEHAN | PRESIDENT; SENIOR MANAGING DIRECTOR | — |
| SAXENA PARAG | DIRECTOR, PRESIDENT & CEO; MANAGING DIRECTOR, PRES. & CEO (03/00) | — |
| LEGE ANNETTE JANECKA | DIRECTOR | — |
| TSOUDIS NICHOLAS | CHIEF COMPLIANCE OFFICER | — |
| GIBBONS MICHAEL JOHN | CHIEF FINANCIAL OFFICER | — |
| TRAPANI SCOTT ALAN | CHIEF COMPLIANCE OFFICER | — |
| TRAPANI SCOTT A | CHIEF COMPLIANCE OFFICER | — |
| AGUILAR LUIS ALBERTO | CHIEF LEGAL/COMPLIANCE OFFICER & ASST. SECRETARY; CHIEF LEGAL/COMPLIANCE OFFICER,DIRECTOR, & SECRETARY | — |
| KEELER FRANK JANEWAY | DIRECTOR, CHAIRMAN | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-05-15 | regulatory | THE SEC ALLEGED THAT INVESCO ADVISERS, INC. ("IAI") AND INVESCO DISTRIBUTORS, INC. ("IDI") FAILED TO ADEQUATELY PRESERVE CERTAIN ELECTRONIC COMMUNICATIONS PURSUANT TO APPLICABLE RECORDKEEPING PROVISIONS OF FEDERAL SECURITIES LAW. | Final | $35.0M |
| 2022-11-28 | regulatory | THE SEC ALLEGED THAT INVESCO ADVISERS, INC. ("IAI") LACKED COMPREHENSIVE POLICIES AND PROCEDURES TO DETERMINE THE PERCENTAGE OF COMPANY-WIDE ASSETS UNDER MANAGEMENT ("AUM") THAT WAS ESG INTEGRATED. THE SEC ALSO ALLEGED THAT IAI MADE MISLEADING STATEMENTS CONCERNING THE COMPANY-WIDE PERCENTAGE OF AUM… | Final | $17.5M |
| 2020-07-30 | regulatory | INVESCO LTD AND AIM INTERNATIONAL MUTUAL FUNDS FAILED TO SUBMIT VOTING RIGHTS NOTIFICATIONS TO BAFIN AND THE ISSUERS BY THE REQUIRED DEADLINE. BAFIN ISSUED A NOTICE OF HEARING ON JULY 30, 2020 TO INVESCO LTD ALLEGING THAT VIOLATIONS OF THE VOTING RIGHTS REQUIREMENTS OCCURED ON 26 OCCASSIONS RELATING… | Final | $310K |
| 2016-08-24 | regulatory | THE SEC ALLEGED THAT WL ROSS FAILED TO ADEQUATELY DISCLOSE ITS FEE ALLOCATION PRACTICES TO CERTAIN PRIVATE EQUITY FUNDS IT ADVISED (THE "WLR FUNDS") AND THEIR INVESTORS AND THAT AMBIGUOUS LANGUAGE IN ITS PRIVATE EQUITY FUND LIMITED PARTNERSHIP AGREEMENTS RESULTED IN CERTAIN WLR FUNDS PAYING HIGHER M… | Final | $2.3M |
| 2005-08-30 | regulatory | ALLEGEDLY, AIM AND ADI FAILED TO DISCLOSE THAT THEY HAD ENTERED INTO CERTAIN ARRANGEMENTS PERMITTING MARKET TIMING OF SUCH FUNDS, THEREBY BREACHING THEIR FIDUCIARY DUTIES TO THE FUNDS. | Pending | — |
| — | civil | — | — | — |
| — | regulatory | — | — | — |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| INVESCO VENTURE ALPHA FUND II, L.P. | Private Equity Fund | Delaware | 288 | $500.2M | $10.0M |
| INVESCO VENTURE ALPHA FUND, LP | Private Equity Fund | Delaware | 12 | $343.8M | $5.0M |
| INVESCO PARTNERSHIP FUND VI, LP | Private Equity Fund | Delaware | 8 | $6.5M | $5.0M |
| INVESCO U.S. VENTURE PARTNERSHIP FUND VI, L.P. | Private Equity Fund | Delaware | 6 | $4.3M | $5.0M |
| City | State | Employees | Phone |
|---|---|---|---|
| SAN FRANCISCO | CA | 3 | 4154453344 |
| SAN FRANCISCO | CA | 3 | 4154453344 |