BALLYROCK INVESTMENT ADVISORS LLC of BOSTON, MA is an SEC-registered investment adviser (CRD 115324). Regulatory assets under management: $11.0B.
Compensation: % of AUM, Performance, Other.
Clients served: Investment cos.
Showing 25 of 92 people.
| Name | Role | Location |
|---|---|---|
| Gerard John McGraw | ELECTED MANAGER | Holmdel, NJ |
| Edward Crosby Johnson Iv | ELECTED MANAGER | — |
| Abigail Pierrepont Johnson | ELECTED MANAGER | — |
| Michael Engber Wilens | ELECTED MANAGER | — |
| Stephen Charles Neff | ELECTED MANAGER | — |
| Christopher John Rimmer | HEAD OF ASSET MANAGEMENT FINANCE, TREASURER | — |
| Stephanie Jean Brown | CHIEF COMPLIANCE OFFICER | — |
| Bart Alexander Grenier | HEAD OF ASSET MANAGEMENT | — |
| Harley Jay Lank | DIRECTOR, PRESIDENT, HEAD OF HIGH INCOME | — |
| Jason Philip Pogorelec | COMPLIANCE OFFICER | — |
| Mark Eric Mollenhauer | VICE PRESIDENT | — |
| Kevin Dunleavy Nielsen | VICE PRESIDENT | — |
| Christopher Paul Quinlan | CHIEF OPERATING OFFICER | — |
| Chandler Roch Perine | VICE PRESIDENT | — |
| Lionel Todd Harris | VICE PRESIDENT, DIRECTOR | — |
| JOHNSON ANDREW P | DIRECTOR | — |
| O'HANLEY RONALD PHILIP | PRESIDENT OF ASSET MANAGEMENT AND CORPORATE SERVICES | — |
| RATHGEBER KENNETH ALAN | CHIEF COMPLIANCE OFFICER | — |
| JOHNSON EDWARD CROSBY | ELECTED MANAGER | — |
| STECK NICHOLAS EDGAR | COMPLIANCE OFFICER | — |
| DONOVAN WALTER CLEMENS | DIRECTOR; PRESIDENT - EQUITY DIVISION; SENIOR VICE PRESIDENT (+1 more) | — |
| GREER BOYCE INGRAM | DIRECTOR | — |
| MURPHY DAVID LEONARD | DIRECTOR | — |
| MCGRAW GERARD J | DIRECTOR | — |
| FREEDMAN JAY | SECRETARY | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-05-22 | regulatory | ON MAY 22, 2023, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM THE HELLENIC CAPITAL MARKET COMMISSION ("HCMC") THAT FMR LLC FAILED TO NOTIFY THE HCMC AND THE ISSUING COMPANY OF A CHANGE IN SHAREHOLDINGS IN A GREEK COMPANY IN A TIMELY MANNER. THE NOTIFICATION WAS MADE THREE… | Final | — |
| 2018-05-21 | regulatory | ON MAY 21, 2018, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM SWEDEN'S FINANSINSPEKTIONEN (THE "SFSA") THAT THE SFSA WAS ISSUING A FINE, EQUIVALENT TO APPROXIMATELY US$40,000, AGAINST FMR LLC BASED ON A FINDING THAT A NOTIFICATION OF A CHANGE IN SHAREHOLDINGS IN A SWEDISH… | Final | $40K |
| 2017-02-28 | regulatory | ON FEBRUARY 28, 2017, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM SWEDEN'S FINANSINSPEKTIONEN (THE "SFSA") THAT THE SFSA WAS ISSUING A FINE, EQUIVALENT TO APPROXIMATELY US$1,700, AGAINST FMR LLC BASED ON A FINDING THAT A NOTIFICATION OF A CHANGE IN SHAREHOLDINGS IN A SWED… | Final | $2K |
| 2014-04-21 | regulatory | ON APRIL 21, 2014,FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM THE HELLENIC REPUBLIC CAPITAL MARKET COMMISSION (THE "HCMC") THAT THE HCMC WAS ISSUING A FINE, EQUIVALENT TO APPROXIMATELY $6,300, AGAINST FMR LLC BASED ON A FINDING THAT, IN 2007, FMR LLC, FOR SHARES HELD BY C… | Final | $6K |
| 2014-02-24 | regulatory | ON FEBRUARY 24, 2014, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM SWEDEN'S FINANSINSPEKTIONEN (THE "SFSA") THAT THE SFSA WAS ISSUING A FINE, EQUIVALENT TO APPROXIMATELY US$9,000, AGAINST FMR LLC BASED ON A FINDING THAT A NOTIFICATION OF A CHANGE IN SHAREHOLDINGS IN A SWED… | Final | $9K |
| 2013-12-19 | regulatory | ON APRIL 14, 2014, FMR LLC, THE REGISTRANT'S ULTIMATE PARENT COMPANY, RECEIVED NOTICE FROM LUXEMBOURG'S COMMISSION DE SURVEILLANCE DU SECTEUR FINANCIER (THE "CSSF") THAT THE CSSF WAS ISSUING AN ADMINISTRATIVE FINE OF APPROXIMATELY US$5,000 AGAINST FMR LLC BASED ON THE FINDING THAT FMR LLC, FOR SHARE… | Final | $5K |