BROWN BROTHERS HARRIMAN MUTUAL FUND ADVISORY DEPARTMENT of NEW YORK, NY is an SEC-registered investment adviser (CRD 111231). Regulatory assets under management: $7.2B.
Compensation: % of AUM.
Clients served: Investment cos.
Showing 25 of 161 people.
| Name | Role | Location |
|---|---|---|
| Bradley M Langer | PARTNER | New York, NY |
| Paul Francis Gallagher | CHIEF COMPLIANCE OFFICER | — |
| Daniel Joseph Greifenkamp | PRESIDENT | — |
| Neil M Hohmann | PARTNER | — |
| Christian Michael Brunet | PARTNER | — |
| Valentino Dino Carlotti | PARTNER | — |
| Jeffrey Bryan Meskin | PARTNER | — |
| Declan P Coyne | CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATION OFFICER | — |
| Vincent G D'Angelo | CHIEF RISK OFFICER | — |
| Houda Leena Kallash | CHIEF LEGAL OFFICER | — |
| Andrew Paul Hofer | TAXABLE FIXED INCOME MANAGER | — |
| Paul Edmund Kunz | TAXABLE FIXED INCOME MANAGER | — |
| Chris Chia Huei Ling | TAXABLE FIXED INCOME MANAGER | — |
| Radford Werner Klotz | PARTNER | — |
| Jeffrey Alan Schoenfeld | PARTNER | — |
| Richard Howell Witmer | PARTNER | — |
| Charles H Schreiber | CHIEF FINANCIAL OFFICER AND CHIEF ADMINISTRATION OFFICER | — |
| Taylor Stockwell Bodman | PARTNER | — |
| Douglas Aidan Donahue | PARTNER | — |
| Hampton Simpson Lynch | PARTNER | — |
| William Carter Sullivan | PARTNER | — |
| Andrew James Francis Tucker | PARTNER | — |
| William Brophy Tyree | PARTNER | — |
| William Joseph Whelan | PARTNER | — |
| Charles Owen Izard | PARTNER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2014-09-10 | regulatory | IN SEPTEMBER 2014, THE SEC ALLEGED THAT BROWN BROTHERS HARRIMAN & CO. FAILED TO MAKE CERTAIN SECTION 13 AND SECTION 16 FILINGS OF ITS PROPRIETARY AND AFFILIATED EQUITY HOLDINGS UNDER THE SECURITIES EXCHANGE ACT OF 1934 ON A TIMELY BASIS. | Final | $120K |
| 2014-02-04 | regulatory | IN FEBRUARY OF 2014, FINRA ALLEGED THAT THE FIRM FAILED TO ESTABLISH AND IMPLEMENT AN ADEQUATE AML PROGRAM AS REQUIRED BY NASD RULE 3011(A) AND FINRA RULES 3310(A) AND 2010; TO ADEQUATELY SUPERVISE ACTIVITY IN FOREIGN FINANCIAL INSTITUTION ACCOUNTS AS REQUIRED BY NASD RULE 3011(B) AND FINRA RULES 33… | Final | $8.0M |