ROYCE & ASSOCIATES, LP of NEW YORK, NY is an SEC-registered investment adviser (CRD 107689). Regulatory assets under management: $12.4B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
Showing 25 of 35 people.
| Name | Role | Location |
|---|---|---|
| Matthew Nicholls | MEMBER OF BOARD OF MANAGERS | — |
| Seok Selene Oh | MEMBER OF BOARD OF MANAGERS | — |
| Gwen Louise Shaneyfelt | MEMBER OF BOARD OF MANAGERS | — |
| John Edward Denneen | MEMBER OF BOARD OF MANAGERS, GENERAL COUNSEL, SECRETARY & CHIEF LEGAL AND CHIEF COMPLIANCE OFFICER; MEMBER OF BOARD OF MANAGERS, GENERAL COUNSEL, SECRETARY & CHIEF LEGAL AND CHIEF COMPLIANCE OFFICER, AND LIMITED PARTNER | — |
| Christopher Dewitt Clark | MEMBER OF BOARD OF MANAGERS, AND PRESIDENT AND CHIEF EXECUTIVE OFFICER; MEMBER OF BOARD OF MANAGERS, PRESIDENT AND CHIEF EXECUTIVE OFFICER, AND LIMITED PARTNER | — |
| Lindsey Oshita | MEMBER OF BOARD OF MANAGERS | — |
| Laura Andrea Boydston | MEMBER OF BOARD OF MANAGERS | — |
| SCHEVE TIMOTHY CHARLES | DIRECTOR; MEMBER OF BOARD OF MANAGERS | — |
| FETTING MARK RAYMOND | DIRECTOR; MEMBER OF BOARD OF MANAGERS | — |
| BAIN PETER LANNING | MEMBER OF BOARD OF MANAGERS | — |
| SULLIVAN JOSEPH ANDREW | MEMBER OF BOARD OF MANAGERS | — |
| PLAFKER JED ANDREW | MEMBER OF BOARD OF MANAGERS | — |
| NACHTWEY PETER HAMILTON | MEMBER OF BOARD OF MANAGERS; MEMBER OF BOARD OF MANAGERS AND LIMITED PARTNER; MEMBER OF BOARD OF MANAGERS AND MEMBER | — |
| DALEY CHARLES JAMES | MEMBER OF BOARD OF MANAGERS | — |
| MASON RAYMOND ADAMS | DIRECTOR; MEMBER OF BOARD OF MANAGERS | — |
| ROYCE CHARLES MORGAN | CHAIRMAN OF BOARD OF MANAGERS; CHAIRMAN OF BOARD OF MANAGERS AND LIMITED PARTNER; DIRECTOR, PRESIDENT & TREASURER (+7 more) | — |
| DIEDERICH JOHN DAVID | DIRECTOR & CHIEF OPERATING OFFICER; DIRECTOR, CHIEF OPERATING OFFICER & CHIEF FINANCIAL OFFICER; MEMBER OF BOARD OF MANAGERS, CHIEF OPERATING OFFICER & CHIEF FINANCIAL OFFICER | — |
| DENNEEN JOHN EDWARD | ASSOC. GENERAL COUNSEL, CHIEF COMPLIANCE OFFICER & PRINCIPAL; DEPUTY GENERAL COUNSEL, SECRETARY & CHIEF COMPLIANCE OFFICER; GENERAL COUNSEL, SECRETARY & CHIEF LEGAL AND CHIEF COMPLIANCE OFFICER (+4 more) | — |
| NATTANS JEFFREY ALLEN | MEMBER OF BOARD OF MANAGERS | — |
| DEWHURST RONALD RICHARD | MEMBER OF BOARD OF MANAGERS | — |
| LAROCQUE JOSEPH PATRICK | MEMBER OF BOARD OF MANAGERS; MEMBER OF BOARD OF MANAGERS AND LIMITED PARTNER; MEMBER OF BOARD OF MANAGERS AND MEMBER | — |
| LEMKE THOMAS PAUL | MEMBER OF BOARD OF MANAGERS | — |
| KENNEY JOHN DUFF | MEMBER OF BOARD OF MANAGERS; MEMBER OF BOARD OF MANAGERS AND LIMITED PARTNER; MEMBER OF BOARD OF MANAGERS AND MEMBER | — |
| GEORGE WILLIAM WHITNEY | TRUSTEE OF ABOVE LISTED TRUSTS, VICE PRESIDENT & MANAGING DIRECTOR | — |
| KASHNER HOWARD JOSEPH | GENERAL COUNSEL | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2018-08-27 | regulatory | ON AUGUST 27, 2018, THE SEC ISSUED AN ORDER THAT FOUND THAT LEGG MASON HAD VIOLATED SECTION 13(B)(2)(B) OF THE SECURITIES EXCHANGE ACT OF 1934 BY FAILING TO DEVISE AND MAINTAIN A SYSTEM OF APPROPRIATE INTERNAL ACCOUNTING CONTROLS WITH RESPECT TO THE USE OF INTRODUCING BROKERS AND OTHER INTERMEDIARIE… | Final | — |