GAM USA INC. of NEW YORK, NY is an SEC-registered investment adviser (CRD 110458). Regulatory assets under management: $1.5B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Charities, Investment cos.
Showing 25 of 40 people.
| Name | Role | Location |
|---|---|---|
| Aida Snjezana Samarzija | CHIEF COMPLIANCE OFFICER | — |
| Maria Lourdes Tinio | TREASURER / DIRECTOR | — |
| Nicholas S Tan | DIRECTOR | — |
| Ian Andrew Walker | DIRECTOR | — |
| Timothy Cameron Rainsford | DIRECTOR | — |
| Chris Beevor | DIRECTOR | — |
| RANCICH JOHN MICHAEL | TREASURER | — |
| HARTE FRANCIS MICHAEL | TREASURER | — |
| GOLDSCHMIDT JAMES ANTHONY | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | — |
| BRODHEIM DEBORAH ANN | SENIOR VICE PRESIDENT, PRIVATE CLIENTS AND PORTFOLIO MANAGEMENT; VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | — |
| ARROYO EVELYN PAULINA | VICE PRESIDENT, DIRECTOR OF PRIVATE ACCOUNTS | — |
| DURSHT KENNETH ADAM | CHIEF COMPLIANCE OFFICER; DIRECTOR, GENERAL COUNSEL AND SECRETARY; GENERAL COUNSEL AND SECRETARY | — |
| MCPHEE JAIME MELISSA | ASSOCIATE COUNSEL, CHIEF COMPLIANCE OFFICER AND ASSISTANT SECRETARY | — |
| GIEGER JOSEPH FRED | DIRECTOR; MANAGING DIRECTOR, AMERICAS | — |
| HOVENCAMP KRISTIN W | DIRECTOR-INSTITUTIONAL | — |
| RIGGIN TERESA BUNN | DIRECTOR; SENIOR VICE PRESIDENT | — |
| BESSEL MICHAEL JOSEPH | ASSOCIATE GENERAL COUNSEL AND COMPLIANCE MANAGER; ASSOCIATE GENERAL COUNSEL, ASSISTANT SECRETARY AND CHIEF COMPLIANCE OFFICER; ASSOCIATE GENERAL COUNSEL, SECRETARY AND CHIEF COMPLIANCE OFFICER | — |
| BLANCHFIELD KEVIN JOHN | DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER; DIRECTOR, MANAGING DIRECTOR, CHIEF OPERATING OFFICER, CHIEF FINANCIAL OFFICER | — |
| ANDERSON DAVID ALAN | DIRECTOR; DIRECTOR, MANAGING DIRECTOR - CLIENTS - AMERICAS | — |
| POSCHADEL BURKHARD | DIRECTOR | — |
| ABATE JAMES ALBERT | INVESTMENT DIRECTOR | — |
| BROWNELL CRAIG WILLIAM | DIRECTOR, INSTITUTIONAL DIVISION | — |
| LONG RICHARD ERIC | VICE PRESIDENT - DIRECTOR OF PRIVATE ACCOUNTS | — |
| LENHARDT BENJAMIN FRANKLIN | DIRECTOR | — |
| INGRAM SHARON ANN | CHIEF COMPLIANCE OFFICER; DIRECTOR | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2019-10-01 | regulatory | SIX EXCHANGE REGULATION AG ("SIX"), THE SWISS LISTING AUTHORITY UPHELD SANCTIONS AGAINST GAM HOLDING AG RELATING TO BREACHING IFRS ACCOUNTING STANDARDS IN CONNECTION WITH ITS ACQUISITION OF CANTAB CAPITAL PARTNERS LLP ("CANTAB") IN 2016. IN CONNECTION WITH THIS ACQUISITION, GAM HOLDING ENTERED INTO… | Final | $425K |