GOLDMAN SACHS ASSET MANAGEMENT, L.P. of NEW YORK, NY is an SEC-registered investment adviser (CRD 107738). Regulatory assets under management: $2.6T. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance, Other.
Clients served: High net worth, Pooled vehicles, Pensions, Charities, Investment cos.
Showing 25 of 32 people.
| Name | Role | Location |
|---|---|---|
| Judith Leah Shandling | CHIEF COMPLIANCE OFFICER | — |
| David Seth Plutzer | CHIEF LEGAL OFFICER | — |
| Marc Otto Nachmann | CHIEF EXECUTIVE OFFICER | — |
| William Charles Bousquette | CHIEF OPERATING OFFICER | — |
| PORGES ELLEN | GENERAL COUNSEL, INVESTMENT MANAGEMENT DIVISION (CHIEF LEGAL OFFICER) | — |
| RICHMAN MICHAEL J | CHIEF COMPLIANCE OFFICER | — |
| SOTIR THEODORE THOMAS | CHIEF ADMINISTRATIVE OFFICER, (CHIEF OPERATIONS OFFICER) | — |
| BRASCO THOMAS CHRISTOPHER | CHIEF FINANCIAL OFFICER | — |
| KRAUS PETER STEVEN | CO-HEAD, INVESTMENT MANAGEMENT DIVISION (CHIEF EXECUTIVE OFFICER) | — |
| SCHWARTZ ERIC STUART | CO-HEAD, INVESTMENT MANAGEMENT DIVISION (CHIEF EXECUTIVE OFFICER) | — |
| FORST EDWARD CODD | CO-HEAD, INVESTMENT MANAGEMENT DIVISION; HEAD, INVESTMENT MANAGEMENT DIVISION (CHIEF EXECUTIVE OFFICER) | — |
| SPILKER MARC ADAM | CHIEF OPERATING OFFICER, INVESTMENT MANAGEMENT DIVISION; CO-HEAD, INVESTMENT MANAGEMENT DIVISION (CO-CHIEF EXECUTIVE OFFICER) | — |
| TAYLOR MEGAN MEHLHOPE | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER, INVESTMENT MANAGEMENT DIVISION | — |
| LIEBERMAN LISETTE MARLA | CHIEF COMPLIANCE OFFICER | — |
| LANE JOHN SCOTT | CHIEF OPERATING OFFICER, INVESTMENT MANAGEMENT DIVISION; CO-CHIEF OPERATING OFFICER, INVESTMENT MANAGEMENT DIVISION; CO-HEAD, ASSET MANAGEMENT DIVISION (CO-CHIEF EXECUTIVE OFFICER) (+2 more) | — |
| ONEILL TIMOTHY JOSEPH | CO-HEAD, CONSUMER INVESTMENT MANAGEMENT DIVISION (CO-CHIEF EXECUTIVE OFFICER); CO-HEAD, INVESTMENT MANAGEMENT DIVISION (CO-CHIEF EXECUTIVE OFFICER) | — |
| SHANDLING JUDITH L | CHIEF COMPLIANCE OFFICER | — |
| FORST EDWARD C | CO-HEAD, INVESTMENT MANAGEMENT DIVISION (CO-CHIEF EXECUTIVE OFFICER) | — |
| MCGUINNESS STEPHEN JOHN | CO-CHIEF OPERATING OFFICER, INVESTMENT MANAGEMENT DIVISION | — |
| O'CONNOR GAVIN GERARD | CHIEF OPERATING OFFICER | — |
| SHANDLING JUDITH LEAH | CHIEF COMPLIANCE OFFICER | — |
| PORGES ELLEN RANDY | GENERAL COUNSEL, CONSUMER INVESTMENT MANAGEMENT DIVISION (CHIEF LEGAL OFFICER); GENERAL COUNSEL, INVESTMENT MANAGEMENT DIVISION (CHIEF LEGAL OFFICER) | — |
| ARTHUR JACQUELINE DUPREE | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER, ASSET MANAGEMENT DIVISION; CHIEF OPERATING OFFICER, CONSUMER INVESTMENT MANAGEMENT DIVISION | — |
| STEIN LAURENCE | CHIEF OPERATING OFFICER | — |
| PLUTZER DAVID SETH | CHIEF LEGAL OFFICER; GENERAL COUNSEL, ASSET MANAGEMENT DIVISION (CHIEF LEGAL OFFICER) | — |
Showing 10 of 19 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-05-09 | regulatory | EFFECTIVE AS OF MAY 4, 2026, SWEDEN'S FINANSINSPEKTIONEN (THE "SFSA") ISSUED A FINE, EQUIVALENT TO APPROXIMATELY US $162,600.00, AGAINST THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") BASED ON A FINDING THAT, DURING THE PERIOD BETWEEN MARCH 20, 2024 AND APRIL 9, 2025, GS GROUP FAILED TO TIMELY REPORT CH… | Final | $163K |
| 2024-09-25 | regulatory | ON SEPTEMBER 25, 2024, THE GOLDMAN SACHS GROUPS, INC. ("GS GROUP") ENTERED INTO AN ORDER INSTITUTING CEASE AND DESIST PROCEEDINGS WITH THE SECURITIES AND EXCHANGE COMMISSION (THE "SEC" AND THE ORDER, THE "SEC ORDER"), WHICH ALLEGED THAT GS GROUP AND CERTAIN OF ITS AFFILIATES FAILED TO TIMELY FILE RE… | Final | $300K |
| 2022-11-22 | regulatory | ON NOVEMBER 22, 2022, THE SECURITIES AND EXCHANGE COMMISSION ("SEC") ENTERED AN ORDER INSTITUTING CEASE AND DESIST PROCEEDINGS AGAINST GSAMLP. THE SEC FOUND THAT FROM APRIL 2017 TO FEBRUARY 2020, GSAMLP FAILED TO ADOPT AND IMPLEMENT POLICIES AND PROCEDURES REASONABLY DESIGNED TO PREVENT VIOLATIONS O… | Final | $4.0M |
| 2022-11-14 | regulatory | ON MAY 19, 2023, MS. SHANDLING WAS MADE AWARE OF AN ORDER BY THE SUPREME COURT OF THE STATE OF NEW YORK APPELLATE DIVISION, FIRST JUDICIAL DEPARTMENT (THE "COURT"), DATED NOVEMBER 14, 2022, SUSPENDING MS. SHANDLING FOR FAILURE TO FILE A BIENNIAL REGISTRATION AS A RETIRED ATTORNEY PER JUDICIARY LAW ?… | Final | — |
| 2021-02-24 | regulatory | ON FEBRUARY 24, 2021, FINANSTILSYNET, THE FINANCIAL SUPERVISORY AUTHORITY OF NORWAY CONCLUDED THAT GOLDMAN SACHS GROUP, INC., GOLDMAN SACHS INTERNATIONAL, AND GOLDMAN SACHS & CO. LLC VIOLATED THE NOTIFICATION REQUIREMENT UNDER SECTION 3-14 OF THE NORWEGIAN SECURITIES TRADING ACT, CF. REGULATION (EU)… | Final | $42K |
| 2020-10-22 | criminal | AS DESCRIBED IN THE INFORMATION, FROM 2009 TO 2014, GS GROUP AND ITS AFFILIATES, THROUGH CERTAIN OF ITS EMPLOYEES AND AGENTS, KNOWINGLY AND WILLFULLY CONSPIRED AND AGREED WITH OTHERS TO CORRUPTLY PROVIDE PAYMENTS AND THINGS OF VALUE IN EXCHANGE FOR OBTAINING AND RETAINING BUSINESS. PURSUANT TO THE D… | Pending | — |
| 2020-10-22 | regulatory | ON OCTOBER 22, 2020, THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") ENTERED INTO A CONSENT ORDER FOR A CIVIL MONEY PENALTY WITH THE NEW YORK STATE DEPARTMENT OF FINANCIAL SERVICES (THE "DFS", AND THE CONSENT ORDER, THE "DFS ORDER"), WHICH ALLEGED VIOLATIONS OF THE NEW YORK BANKING LAW ("BANKING LAW") AR… | Final | $150.0M |
| 2020-10-22 | regulatory | ON OCTOBER 22, 2020, THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") "ON OCTOBER 22, 2020, THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") ENTERED INTO AN ORDER TO CEASE AND DESIST AND ORDER OF ASSESSMENT OF A CIVIL MONEY PENALTY WITH THE BOARD OF GOVERNORS OF THE FEDERAL RESERVE SYSTEM (THE "FEDERAL RESERVE"… | Final | $154.0M |
| 2020-10-22 | regulatory | ON OCTOBER 22, 2020, THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") ENTERED INTO AN ORDER INSTITUTING CEASE AND DESIST PROCEEDINGS WITH THE SECURITIES AND EXCHANGE COMMISSION (THE "SEC" AND THE ORDER, THE "SEC ORDER"), WHICH ALLEGED GS GROUP FAILED TO REASONABLY MAINTAIN A SUFFICIENT SYSTEM OF INTERNAL… | Final | $400.0M |
| 2019-09-20 | regulatory | ON SEPTEMBER 20, 2019 THE SWEDISH FINANCIAL SUPERVISORY AUTHORITY (FINANSINSPEKTIONEN - "SFSA") IMPOSED AN ADMINISTRATIVE FINE ON THE GOLDMAN SACHS GROUP, INC. ("GS GROUP") IN THE AMOUNT OF 70,000 SWEDISH KRONA (SEK) (APPROXIMATELY USD 7,200). SFSA ALLEGES A VIOLATION BY GS GROUP OF CHAPTER 6, SECTI… | Final | $7K |