BLACKROCK INVESTMENT MANAGEMENT, LLC of PRINCETON, NJ is an SEC-registered investment adviser (CRD 108928). Regulatory assets under management: $676.7B.
Compensation: % of AUM, Fixed, Performance.
Clients served: High net worth, Pooled vehicles, Charities, Investment cos.
Showing 25 of 50 people.
| Name | Role | Location |
|---|---|---|
| Robert Lawrence Goldstein | CHIEF OPERATING OFFICER AND SENIOR MANAGING DIRECTOR | New York, NY |
| Charles Choon Sik Park | CHIEF COMPLIANCE OFFICER | — |
| Laurence Douglas Fink | CHIEF EXECUTIVE OFFICER | — |
| Robert Steven Kapito | PRESIDENT | — |
| Christopher Joseph Meade | GENERAL COUNSEL, CHIEF LEGAL OFFICER, AND SENIOR MANAGING DIRECTOR | — |
| Martin Small | CHIEF FINANCIAL OFFICER AND SENIOR MANAGING DIRECTOR | — |
| OTTO CARSTEN | CHIEF COMPLIANCE OFFICER | — |
| FULLERTON BRIAN JAMES | MANAGING DIRECTOR AND CHIEF INVESTMENT OFFICER | — |
| DONOHUE ANDREW JOHN | GENERAL COUNSEL | — |
| MCKENNA KEVIN J | EXECUTIVE VICE PRESIDENT/MANAGING DIRECTOR-FIXED INCOME DIVISION; MANAGING DIRECTOR & CHIEF INVESTMENT OFFICER, FIXED INCOME DIVISION | — |
| HILLER JEFFREY | FIRST VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER, AMERICAS; FIRST VICE PRESIDENT AND DIRECTOR OF COMPLIANCE, AMERICAS | — |
| PORCELLI FRANCIS MICHAEL | PRESIDENT AND CHIEF MARKETING OFFICER | — |
| COSTA CHARLES JOSEPH | HEAD OF QUANTITIVE INVESTMENTS | — |
| STRATFORD JAMES TREWIN | CHIEF COMPLIANCE OFFICER | — |
| COVILLE MARK PETERSON | EVP AND MANAGING DIRECTOR; MANAGING DIRECTOR; MANAGING DIRECTOR & CHIEF OPERATING OFFICER, GLOBAL SECURITIES FINANCING DIVISION | — |
| MARCKIONI FRANK J | MANAGING DIRECTOR AND HEAD OF FIXED INCOME PRODUCT MANAGEMENT, FIXED INCOME DIVISION; VICE PRESIDENT/MANAGING DIRECTOR-FIXED INCOME DIVISION | — |
| SNYDER CURTIS WAYNE | CHIEF FINANCIAL OFFICER | — |
| HABER LAWRENCE D | CHIEF FINANCIAL OFFICER | — |
| PARK CHARLES CHOON SIK | CHIEF COMPLIANCE OFFICER | — |
| FINK LAURENCE DOUGLAS | CHAIRMAN & CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER, CHAIRMAN, DIRECTOR | — |
| SCHLOSSTEIN RALPH LEWIS | PRESIDENT | — |
| BATTISTA BARTHOLOMEW ANGELO | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER & MANAGING DIRECTOR | — |
| KAPITO ROBERT STEVEN | PRESIDENT; PRESIDENT, DIRECTOR | — |
| CONNOLLY ROBERT PETER | GENERAL COUNSEL, SECRETARY; GENERAL COUNSEL, SECRETARY AND MANAGING DIRECTOR | — |
| AUDET PAUL L | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER & MANAGING DIRECTOR | — |
Showing 10 of 24 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-02-03 | civil | ON FEBRUARY 3, 2026, A PUTATIVE SECURITIES CLASS ACTION LAWSUIT WAS FILED IN THE UNITED STATES DISTRICT COURT FOR THE CENTRAL DISTRICT OF CALIFORNIA. THE COMPLAINT NAMES BLACKROCK TCP CAPITAL CORP AND CERTAIN OF ITS CURRENT AND FORMER EXECUTIVE OFFICERS AS DEFENDANTS. THE COMPLAINT PURPORTS TO BE BR… | Pending | — |
| 2025-01-09 | regulatory | ON JANUARY 9, 2025, THE COMISIÓN NACIONAL BANCARIA Y DE VALORES ("CNBV") IMPOSED A FINE OF APPROXIMATELY $123,000 USD (MNX $2,501,720) REGARDING THE ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING PROGRAM AT BLACKROCK'S MEXICO CITY OFFICE. SPECIFICALLY, THE CNBV FOUND THAT BLACKROCK MEXICO DID… | Final | $123K |
| 2025-01-09 | regulatory | ON JANUARY 9, 2025, THE COMISION NACIONAL BANCARIA Y DE VALORES ("CNBV") IMPOSED A FINE OF APPROXIMATELY $123,000 USD (MNX $2,501,720) REGARDING THE ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING PROGRAM AT BLACKROCK'S MEXICO CITY OFFICE. SPECIFICALLY, THE CNBV FOUND THAT BLACKROCK MEXICO DID… | Final | $123K |
| 2024-11-27 | civil | ON NOVEMBER 27, 2024, TEXAS ATTORNEY GENERAL KEN PAXTON AND ATTORNEYS GENERAL FROM 10 OTHER STATES (ALABAMA, ARKANSAS, INDIANA, IOWA, KANSAS, MISSOURI, MONTANA, NEBRASKA, WEST VIRGINIA, AND WYOMING) FILED A COMPLAINT AGAINST BLACKROCK, VANGUARD, AND STATE STREET (THE "MANAGERS") ALLEGING THAT THE MA… | Pending | — |
| 2024-08-22 | regulatory | ON AUGUST 22, 2024, THE INDIANA SECURITIES COMMISSIONER (THE "COMMISSIONER") ISSUED A CEASE AND DESIST ORDER (THE "ORDER") AGAINST BLACKROCK, INC. AND SEVERAL OF ITS ADVISORY AFFILIATES, (COLLECTIVELY, "BLACKROCK"). THE ORDER ALLEGES THAT BLACKROCK HAS MADE MISLEADING STATEMENTS ABOUT HOW WE MANAGE… | Pending | — |
| 2024-03-27 | regulatory | ON MARCH 27, 2024, BLACKROCK, INC., BLACKROCK INVESTMENTS, LLC, BLACKROCK ADVISORS, LLC, BLACKROCK FUND ADVISORS, AND ISHARES TRUST (COLLECTIVELY, "BLACKROCK") WERE SERVED WITH A SUMMARY CEASE AND DESIST ORDER AND NOTICE OF INTENT TO IMPOSE ADMINISTRATIVE PENALTY FROM THE MISSISSIPPI SECRETARY OF ST… | Pending | — |
| 2024-03-27 | regulatory | ON MARCH 27, 2024, BLACKROCK, INC., BLACKROCK INVESTMENTS, LLC, BLACKROCK ADVISORS, LLC, BLACKROCK FUND ADVISORS, AND ISHARES TRUST (COLLECTIVELY, "BLACKROCK") WERE SERVED WITH A SUMMARY CEASE AND DESIST ORDER AND NOTICE OF INTENT TO IMPOSE ADMINISTRATIVE PENALTY FROM THE MISSISSIPPI SECRETARY OF ST… | Final | — |
| 2023-12-18 | civil | ON DECEMBER 18, 2023, THE TENNESSEE ATTORNEY GENERAL ("AG") SUED BLACKROCK, INC. IN TENNESSEE STATE COURT FOR ALLEGED VIOLATIONS OF TENNESSEE'S CONSUMER PROTECTION STATUTE IN CONNECTION WITH OUR ESG PRACTICES. THE COMPLAINT GENERALLY ALLEGES THAT BLACKROCK HAS MADE MISLEADING STATEMENTS IN FUND PROS… | Final | — |
| 2023-12-18 | civil | ON DECEMBER 18, 2023, THE TENNESSEE ATTORNEY GENERAL ("AG") SUED BLACKROCK, INC. IN TENNESSEE STATE COURT FOR ALLEGED VIOLATIONS OF TENNESSEE'S CONSUMER PROTECTION STATUTE IN CONNECTION WITH BLACKROCK'S ESG PRACTICES. THE COMPLAINT GENERALLY ALLEGES THAT BLACKROCK HAS MADE MISLEADING STATEMENTS IN F… | Pending | — |
| 2023-06-06 | regulatory | FAILURE TO COMPLY WITH CERTAIN REGULATIONS APPLICABLE TO THE MANAGEMENT OF MUTUAL FUNDS AND THE PROVISION OF INVESTMENT ADVISORY SERVICES IN BLACKROCK'S MEXICO CITY OFFICE. | Final | $164K |