PARAMETRIC PORTFOLIO ASSOCIATES LLC of SEATTLE, WA is an SEC-registered investment adviser (CRD 114310). Regulatory assets under management: $684.8B.
Compensation: % of AUM, Fixed.
Clients served: High net worth, Pooled vehicles, Investment cos.
Showing 25 of 40 people.
| Name | Role | Location |
|---|---|---|
| Ranjit Kapila | CO-PRESIDENT, CHIEF TECHNOLOGY OFFICER AND HEAD OF OPERATIONS | Seattle, WA |
| Thomas Bernard Lee | CO-PRESIDENT, CHIEF INVESTMENT OFFICER | — |
| Cindy Masako Kim | CHIEF COMPLIANCE OFFICER | — |
| Benjamin Patrick Hammes | HEAD OF DERIVATIVES ADVISORY COMPLIANCE | — |
| Melissa Gross Fell | CHIEF ADMINISTRATIVE OFFICER | — |
| RICHARDSON ROSS WILLIAM | MANAGER | — |
| WHELAN VINCENT JOSEPH | MANAGER | — |
| HANSEN JACK LEGARE | CHIEF INVESTMENT OFFICER - MINNEAPOLIS; CIO - MINNEAPOLIS INVESTMENT CENTER | — |
| LEE THOMAS BERNARD | CHIEF INVESTMENT OFFICER; CO-PRESIDENT, CHIEF INVESTMENT OFFICER | — |
| LEE STEPHEN THOMAS | CHIEF INVESTMENT OFFICER | — |
| STEIN DAVID MORRIS | MANAGER; MANAGER CIO; MANAGER, CO-CIO - SEATTLE INVESTMENT CENTER (11/2014) (+1 more) | — |
| LANGSTRAAT BRIAN DEAN | MANAGER; MANAGER CEO; MANAGER, CEO (+1 more) | — |
| ABRAMSKY ANDREW DAVID | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER/CHIEF COMPLIANCE OFFICER; MANAGER (+1 more) | — |
| MCCAW JOHN E | MEMBER | — |
| FAUST JR THOMAS E | EATON VANCE ACQUISITIONS, REPRESENTATIVE; MANAGER | — |
| HAWKES JAMES BENJAMIN | MANAGER | — |
| SINGLETON AARON WILLIAM | CHIEF FINANCIAL OFFICER; CHIEF FINANCIAL OFFICER/CHIEF COMPLIANCE OFFICER; MANAGER (+2 more) | — |
| MARCUS JOEL CASSEL | CHIEF COMPLIANCE OFFICER | — |
| HYLTON LAURIE GREENWALD | EATON VANCE ACQUISITIONS, REPRESENTATIVE; EATON VANCE ACQUISITIONS, REPRESENTATIVE, TREASURER; MANAGER (+1 more) | — |
| EVANS JAMES HAMILTON | CHIEF INVESTMENT OFFICER | — |
| CARVER TIMOTHY JACOB | DIRECTOR | — |
| CHAPIN ROSS KARL | DIRECTOR | — |
| MARIUS FREDERICK STEWART | EATON VANCE ACQUISITIONS, REPRESENTATIVE; EATON VANCE ACQUISITIONS, REPRESENTATIVE, SECRETARY, CHIEF LEGAL OFFICER; SECRETARY, CHIEF LEGAL OFFICER | — |
| LAMB DEBORAH ANNE | CHIEF COMPLIANCE OFFICER | — |
| KIM CINDY MASAKO | CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER, EQUITIES AND FIXED INCOME | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2016-03-22 | regulatory | THE PORTUGUESE SECURITIES MARKET COMMISSION (CMVM) ALLEGED THAT THE FIRM DID NOT NOTIFY THE CMVM OR THE ISSUING COMPANY OF CHANGES TO CERTAIN QUALIFYING HOLDINGS WITHIN THE REQUIRED TIME PERIOD, IN VIOLATION OF ARTICLE 16 OF THE PORTUGUESE SECURITIES CODE | Final | — |
| 2016-03-06 | regulatory | THE HELLENIC CAPITAL MARKET COMMISSION (HCMC) ALLEGED THAT MORGAN STANLEY COMMITTED MARKET MANIPULATION PURSUANT TO ARTICLE 7, PAR. 2(C) OF LAW 3340/2005 BY DISCLOSING THAT THE FIRM, THROUGH VARIOUS SUBSIDIARIES, HAD ACQUIRED MORE THAN 5% OF ALPHA BANK, HOWEVER 4.16% OF THE HOLDING WAS HELD BY A SUB… | Final | $53K |
| 2016-02-11 | regulatory | THE U.S. DEPARTMENT OF JUSTICE ALLEGED THAT MORGAN STANLEY VIOLATED FEDERAL LAWS IN CONNECTION WITH THE MARKETING, SALE, AND ISSUANCE OF CERTAIN RESIDENTIAL MORTGAGE-BACKED SECURITIES BETWEEN 2005 AND 2007. | Final | $2.6B |
| 2016-02-11 | regulatory | THE ILLINOIS ATTORNEY GENERAL'S OFFICE ("ILAG") ALLEGED THAT MORGAN STANLEY VIOLATED ILLINOIS LAW IN CONNECTION WITH THE MARKETING, SALE, AND ISSUANCE OF CERTAIN RESIDENTIAL MORTGAGE-BACKED SECURITIES BETWEEN 2002 AND 2008. | Final | $22.5M |
| 2016-02-11 | regulatory | THE NEW YORK ATTORNEY GENERAL'S OFFICE ("NYAG") ALLEGED THAT MORGAN STANLEY VIOLATED NEW YORK LAW IN CONNECTION WITH THE MARKETING, SALE, AND ISSUANCE OF CERTAIN RESIDENTIAL MORTGAGE-BACKED SECURITIES BETWEEN 2006 AND 2007. | Final | $150.0M |
| 2014-08-21 | regulatory | HCMC ALLEGED THAT MS FAILED TO PROPERLY OR TIMELY REPORT WHEN MS HOLDINGS IN CERTAIN COMPANIES INCREASED OR DECREASED BY MORE THAN 3%, OR EXCEEDED OR FELL BELOW 5%, 10% AND 15% THRESHOLDS, AS REQUIRED BY GREEK PRESIDENTIAL DECREE PD 51/1992 AND LAW 3556/2007. | Final | $71K |