WILLIAM BLAIR & COMPANY L.L.C. of CHICAGO, IL is an SEC-registered investment adviser (CRD 1252). Regulatory assets under management: $64.3B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: Individuals, High net worth, Pooled vehicles, Charities, Investment cos, Other.
Showing 25 of 56 people.
| Name | Role | Location |
|---|---|---|
| CISSIE CITARDI | EXECUTIVE COMMITTEE, GENERAL COUNSEL | CHICAGO, IL |
| Brent Walker Gledhill | PRESIDENT, CEO | — |
| Ryan Jacob Devore | EXECUTIVE COMMITTEE | — |
| Willson B Rasavongxay | CHIEF COMPLIANCE OFFICER | — |
| Matthew Montgomery Zimmer | EXECUTIVE COMMITTEE | — |
| Beth A Satterfield | EXECUTIVE COMMITTEE | — |
| Michael William Trimberger | CFO; EXECUTIVE COMMITTEE, CFO | — |
| Robert J Duwa | EXECUTIVE COMMITTEE | — |
| Scott Thomas Mclaughlin | EXECUTIVE COMMITTEE | — |
| Michael Patrick Quinn | EXECUTIVE COMMITTEE | — |
| Steven Robert Tole | EXECUTIVE COMMITTEE | — |
| Stephanie Grieser Braming | EXECUTIVE COMMITTEE | — |
| QUINN DANIEL PATRICK | EXECUTIVE COMMITTEE | — |
| WAGNER KENNETH LEE | BROKER-DEALER CHIEF COMPLIANCE OFFICER; CHIEF COMPLIANCE OFFICER | — |
| SIMON PAUL JOSEPH | GENERAL COUNSEL; GENERAL COUNSEL, EXECUTIVE COMMITTEE | — |
| COOLIDGE EDGAR DAVID III | CEO; VICE CHAIRMAN; VICE CHAIRMAN, CEO | — |
| KIPHART RICHARD PAUL | EXECUTIVE COMMITTEE | — |
| LACHER ALBERT JOSEPH | EXECUTIVE COMMITTEE | — |
| MCKINNEY JAMES DENNIS | EXECUTIVE COMMITTEE | — |
| GOTTFRED RICHARD DONALD | EXECUTIVE COMMITTEE - SROP; SROP | — |
| ETTELSON JOHN ROGER | CFO; CHAIRMAN; PRESIDENT, CEO (+1 more) | — |
| JANNOTTA EDGAR DALZELL | CHAIRMAN; CHAIRMAN EMERITUS | — |
| SEITZMUSOLINO MICHELLE RENAE | EXECUTIVE COMMITTEE | — |
| NEWMAN ROBERT DOUGLAS | EXECUTIVE COMMITTEE | — |
| MCMULLAN CARLETTE CATHERINE | EXECUTIVE COMMITTEE | — |
Showing 10 of 18 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-09-29 | regulatory | ON SEPTEMBER 29, 2023, WILLIAM BLAIR & COMPANY, L.L.C. AND WILLIAM BLAIR INVESTMENT MANAGEMENT, LLC (COLLECTIVELY, WILLIAM BLAIR) ENTERED INTO A SETTLEMENT WITH THE U.S. SECURITIES & EXCHANGE COMMISSION (SEC) IN CONNECTION WITH THE AGENCY'S INDUSTRY-WIDE INVESTIGATION INTO THE PRESERVATION OF ELECTR… | Final | $10.0M |
| 2019-07-02 | regulatory | WITHOUT ADMITTING OR DENYING THE FINDINGS, THE FIRM CONSENTED TO THE SANCTIONS AND TO THE ENTRY OF FINDINGS THAT IT FAILED, IN 157 INSTANCES, TO MAINTAIN A CONTINUOUS TWO-SIDED TRADING INTEREST DURING REGULAR MARKET HOURS AT PRICES WITHIN CERTAIN PERCENTAGES AWAY FROM THE NBBO AND FAILED TO MAINTAIN… | Final | $25K |
| 2017-05-01 | regulatory | THE SEC ALLEGED THAT FROM 2010 UNTIL 2014, AS A RESULT OF ERRONEOUS PAYMENTS, WILLIAM BLAIR NEGLIGENTLY USED MUTUAL FUND ASSETS TO PAY FOR (I) DISTRIBUTION AND MARKETING OF FUND SHARES OUTSIDE OF A WRITTEN, BOARD-APPROVED RULE 12B-1 PLAN AND (II) SUB-TRANSFER AGENT ("SUB-TA") SERVICES IN EXCESS OF B… | Final | $4.5M |
| 2012-05-07 | regulatory | THE SWISS FINANCIAL MARKET SUPERVISORY AUTHORITY ("FINMA") FOUND WILLIAM BLAIR TO HAVE NEGLIGENTLY FAILED TO COMPLY WITH SWISS SECURITIES REGULATIONS DUE TO WILLIAM BLAIR'S LATE FILING OF SHAREHOLDING REPORTS IN TWO INSTANCES. | Final | $9K |
| 2010-02-12 | regulatory | THE FIRM ALLEGEDLY ENTERED 11 ORDERS INTO THE NASDAQ MARKET CENTER THAT FAILED TO CORRECTLY INDICATE WHETHER THE ORDERS WERE A BUY, SHORT SALE OR LONG SALE. | Final | $5K |
| 2010-02-12 | regulatory | THE FINDINGS OF THREE EXAMINATIONS FROM 2006 (2006006387), 2007 (20070089900), AND 2008 (20080133281) WERE COMBINED AND THE ALLEGATIONS WERE THAT THE FIRM FAILED TO: DISPLAY IMMEDIATELY 27 CUSTOMER LIMIT ORDERS IN NASDAQ SECURITIES AND TRANSMITTED TO OATS 60 REPORTS THAT CONTAINED INACCURATE, INCOMP… | Final | $38K |
| 2005-11-06 | regulatory | DURING THE THIRD QUARTER OF 2005 WILLIAM BLAIR & COMPANY ("THE FIRM") ALLEGEDLY VIOLATED SEC RULE 11AC1-4 BY FAILING TO IMMEDIATELY DISPLAY TWENTY-TWO (22)CUSTOMER LIMIT ORDERS IN NASDAQ SECURITIES, IN ITS PUBLIC QUOTATION. DURING THE SAME TIME PERIOD, THE FIRM ALLEGEDLY VIOLATED NASD MARKETPLACE RU… | Final | $20K |
| 2005-02-23 | regulatory | DURING THE FIRST AND FOURTH QUARTERS OF 2004, WILLIAM BLAIR & COMPANY ("THE FIRM") ALLEGEDLY TRANSMITTED TO OATS REPORTS THAT CONTAINED INACCURATE, INCOMPLETE OR IMPROPERLY FORMATTED DATA AND FAILED TO SUBMIT REQUIRED INFORMATION TO OATS REGARDING ONE ORDER. ON 18 OCCASIONS DURING THE FOURTH QUARTER… | Final | $25K |
| 2003-05-29 | regulatory | BETWEEN APPROXIMATELY JULY 1999 AND SEPTEMBER 2000, WILLIAM BLAIR & COMPANY,L.L.C. FAILED TO ESTABLISH WRITTEN SUPERVISORY PROCEDURES REASONABLY DESIGNED TO ACHIEVE COMPLIANCE WITH THE NASD'S FREE-RIDING AND WITHHOLDING INTERPRETATION IN THAT ITS EXISTING WRITTEN PROCEDURES FAILED TO REQUIRE A PERIO… | Final | $3K |
| 2003-02-24 | regulatory | FROM OCTOBER 2, 2001 TO DECEMBER 31, 2001, WILLIAM BLAIR & COMPANY, L.L.C., A MARKET MAKER, WAS A PARTY TO A LOCKED OR CROSSED MARKET CONDITION PRIOR TO THE MARKET OPENING DURING THE PERIOD BETWEEN 9:20 AND 9:29:59 A.M. EASTERN TIME AND RECEIVED, IN 105 INSTANCES, A TRADE-OR-MOVE MESSAGE THROUGH SEL… | Final | $15K |
| City | State | Employees | Phone |
|---|---|---|---|
| BALTIMORE | MD | 12 | (410)612-3750 |
| CONSHOHOCKEN | PA | 12 | 2157801020 |
| NEW YORK | NY | 10 | 212-237-2700 |
| BOSTON | MA | 7 | 617-235-7500 |
| SAN FRANCISCO | CA | 6 | 415-986-5596 |
| ATLANTA | GA | 6 | 855-821-9144 |
| DENVER | CO | 6 | 17208440100 |
| POWELL | OH | 3 | 3805001990 |
| LOS ANGELES | CA | 3 | 4246007130 |
| STAMFORD | CT | 3 | +10237185140 |
| FORT MYERS | FL | 3 | 2395184675 |