LASALLE ST. INVESTMENT ADVISORS, L.L.C. of ELMHURST, IL is an SEC-registered investment adviser (CRD 109701). Regulatory assets under management: $5.7B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Hourly, Fixed.
Clients served: Individuals, High net worth, Pensions.
| Name | Role | Location |
|---|---|---|
| Daniel John Schlesser | CFO/SEC./TREAS. | — |
| Vincent Edward Incerto | CHIEF COMPLIANCE OFFICER | — |
| Michael Mitchell Drozd | CHIEF INVESTMENT OFFICER | — |
| MCDERMOTT JOHN WILLIAM | PRESIDENT | — |
| SCHLESSER DANIEL JOHN | CFO/SEC./TREAS. | — |
| BAHULEYAN SAJU | CHIEF COMPLIANCE OFFICER; COMPLIANCE OFFICER | — |
| CARSTENSEN JAY CHRISTIAN | CIO | — |
| PETRONELLA NICHOLAS MICHAEL | CHIEF COMPLIANCE OFFICER | — |
| BARLOW SCOTT EDWARD | CHIEF COMPLIANCE OFFICER; COMPLIANCE OFFICER | — |
| BARLOW SCOTT | CHIEF COMPLIANCE OFFICER | — |
| ARROYO KARIN GIOVANNA | CHIEF COMPLIANCE OFFICER | — |
| GARWOOD KIRSTEN YELENA | CHIEF COMPLIANCE OFFICER | — |
| OLIYAR ANASTASIYA | CHIEF COMPLIANCE OFFICER | — |
| BALDWIN JAMES CLAYTON | CHIEF INVESTMENT OFFICER | — |
| INCERTO VINCENT EDWARD | CHIEF COMPLIANCE OFFICER | — |
| DROZD MICHAEL MITCHELL | CHIEF INVESTMENT OFFICER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-03-11 | regulatory | FAILURE TO ADEQUITLY DISCLOSE TO CLIENTS CONFLICTS OF INTEREST RELATED TO 12B-1 FEES AND SELECTION OF MUTUAL FUND SHARE CLASSES. | Final | $435K |
| — | regulatory | — | — | — |