APERIO GROUP, LLC of SAUSALITO, CA is an SEC-registered investment adviser (CRD 111616). Regulatory assets under management: $152.1B.
Compensation: % of AUM, Fixed.
Clients served: High net worth, Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| Charles Choon Sik Park | CHIEF COMPLIANCE OFFICER | — |
| Joseph George Devico | MANAGING DIRECTOR, CO-HEAD US WEALTH ADVISORY BUSINESS | — |
| Leshem Ran | HEAD, BLACKROCK SMA SOLUTIONS | — |
| Jaime Tolli Snoy | MANAGING DIRECTOR, CO-HEAD US WEALTH ADVISORY BUSINESS | — |
| GREENWOOD PAUL RICHARD | DIRECTOR | — |
| SOLLI PAUL | CHIEF MARKETING AND STRATEGY OFFICER; MANAGING MEMBER; MANAGING MEMBER, PARTNER (+1 more) | — |
| GEDDES PATRICK | CHIEF EXECUTIVE OFFICER; MANAGING MEMBER; MANAGING MEMBER, CHIEF EXECUTIVE OFFICER (+3 more) | — |
| NEWMAN ROBERT | MANAGING MEMBER; MANAGING MEMBER, CHIEF COMPLIANCE OFFICER; MANAGING MEMBER, PARTNER (+3 more) | — |
| LAMPARD GUY ARTHUR | MANAGING MEMBER; MANAGING MEMBER, PARTNER; PARTNER | — |
| NUTI MARK J | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER, CHIEF COMPLIANCE OFFICER | — |
| PARK CHARLES CHOON SIK | CHIEF COMPLIANCE OFFICER | — |
| MICHAELS ELIZABETH G | CO-HEAD, APERIO GROUP; MEMBER | — |
| CARVER TIMOTHY JACOB | DIRECTOR | — |
| DALEY JOHN MICHAEL | DIRECTOR | — |
| OSBORNE ANGELA MAREN | CHIEF OPERATING OFFICER | — |
| HING LAWRENCE STEWART | CHIEF COMPLIANCE OFFICER | — |
| HAND PETER L | MEMBER | — |
| SMALL RYAN MARTIN | HEAD OF US WEALTH ADVISORY, BLACKROCK | — |
| ERICKSON TRENT Andrew | DIRECTOR | — |
| Ran Leshem | CO-HEAD, APERIO GROUP; HEAD, BLACKROCK SMA SOLUTIONS | — |
| Arnold Nicholas Franklin | HEAD OF APERIO LEGAL; SENIOR LEGAL COUNSEL | — |
| SNOY JAIME TOLLI | MANAGING DIRECTOR, CO-HEAD US WEALTH ADVISORY BUSINESS | — |
| DEVICO JOSEPH GEORGE | MANAGING DIRECTOR, CO-HEAD US WEALTH ADVISORY BUSINESS | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-03-11 | regulatory | APERIO WAS FOUND TO HAVE ENGAGED IN A SHORT SALE OF KOREAN LISTED SHARES DUE TO INCORRECT SETTLEMENT DETAILS PROVIDED TO IT BY THE CUSTODIAN, WHICH CAUSED THE SALE ORDER TO BE PLACED FOR AN INCORRECT ACCOUNT. | Final | $4K |
| 2021-07-19 | regulatory | ON DATES IN 2017 AND IN 2018, BLACKROCK, INC. WAS LATE IN MAKING CERTAIN THRESHOLD FILINGS WITH THE SWISS REGULATOR. THESE LATE FILINGS WERE CAUSED BY TWO SEPARATE ISSUES: (1) INCORRECT SHARE ISSUE INFORMATION PROVIDED TO BLACKROCK BY ITS THIRD PARTY VENDOR; AND, (2) BLACKROCK'S OUTGOING EMAIL QUARA… | Final | $50K |
| 2021-01-22 | regulatory | THE CME CONCLUDED THAT BLACKROCK VIOLATED CHICAGO BOARD OF TRADE (CBOT) RULE 562, WHICH PROHIBITS FIRMS FROM HOLDING POSITIONS ON THE CME LARGER THAN THE LIMITS PROSCRIBED BY THE CME RULES. | Final | $120K |
| 2020-03-02 | regulatory | ON OCTOBER 24, 2023, THE SEC ANNOUNCED AN AGREEMENT WITH BLACKROCK ADVISORS, LLC ("BAL") TO SETTLE FINDINGS RELATING TO MISSTATEMENTS IN ANNUAL AND SEMI-ANNUAL REPORTS OF A MUTUAL FUND FOR WHICH BAL SERVES AS THE REGISTERED INVESTMENT ADVISER. THE SEC FOUND THAT THE REPORTS INACCURATELY DESCRIBED TH… | Final | $2.5M |
| 2017-01-17 | regulatory | THE U.S. SECURITIES AND EXCHANGE COMMISSION ("SEC") FOUND THAT A HISTORIC VERSION OF BLACKROCK INC.'S ("BLACKROCK") FORM EMPLOYEE SEPARATION AND RELEASE AGREEMENT ("AGREEMENT") VIOLATED DODD FRANK'S WHISTLEBLOWER PROVISIONS, (RULE 21F-17 UNDER THE SECURITIES AND EXCHANGE ACT OF 1934). THE AGREEMENT,… | Final | $340K |
| 2015-05-26 | regulatory | ON SEPTEMBER 12, 2013, BLACKROCK, INC. BROUGHT TO THE ATTENTION OF THE FINANCIAL SUPERVISORY AUTHORITY OF FINLAND ("FINNISH FSA") THAT BLACKROCK, INC. HAD NOT FILED, WITHIN THE SPECIFIED TIME PERIOD, A NOTIFICATION THAT THE INDIRECT AGGREGATE SHAREHOLDING IN A FINNISH ISSUER, OUTOTEC OYJ, CROSSED A… | Final | — |
| 2015-04-29 | regulatory | ON OCTOBER 31, 2014, BLACKROCK, INC. BROUGHT TO THE ATTENTION OF THE FINANCIAL SUPERVISORY AUTHORITY OF SWEDEN ("SWEDISH FSA") THAT BLACKROCK, INC. HAD NOT FILED, WITHIN THE SPECIFIED TIME PERIOD, A NOTIFICATION THAT ITS INDIRECT AGGREGATE SHAREHOLDING IN A SWEDISH ISSUER, ASSA ABLOY AB, CROSSED A C… | Final | $121K |
| 2014-07-15 | regulatory | THE FINANCIAL SUPERVISORY AUTHORITY OF SWEDEN (THE "SFSA") ALLEGED THAT BLACKROCK, INC. VIOLATED LOCAL SWEDISH LAW BY NOT FILING IN SWEDEN, WITHIN A PRESCRIBED TIME, REPORTS THAT ITS COLLECTIVE SHAREHOLDINGS IN LUNDIN MINING CORPORATION (A CANADIAN COMPANY WITH A PRIMARY LISTING ON TORONTO STOCK EXC… | Final | $138K |
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