FIAM LLC of SMITHFIELD, RI is an SEC-registered investment adviser (CRD 133196). Regulatory assets under management: $347.7B.
Compensation: % of AUM, Performance, Other.
Clients served: High net worth, Pooled vehicles, Pensions, Charities, Investment cos.
Showing 25 of 95 people.
| Name | Role | Location |
|---|---|---|
| Gerard John McGraw | ELECTED MANAGER | Holmdel, NJ |
| Carroll E Shelton | HEAD OF INSTITUTIONAL PORTFOLIO MANAGERS, DIRECTOR | Altavista, VA |
| 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 | — |
| Stephanie Jean Brown | CHIEF COMPLIANCE OFFICER | — |
| William Wood Irving | PRESIDENT, DIRECTOR, HEAD OF FIDELITY ASSET MANAGEMENT SOLUTIONS | — |
| Timothy Michael Cohen | CO-HEAD EQUITY | — |
| Harley Jay Lank | HEAD OF HIGH INCOME | — |
| Christopher Michael Gouveia | COMPLIANCE OFFICER | — |
| Robin Lee Foley | HEAD OF FIXED INCOME | — |
| Peter Brian Enyeart | CO-HEAD OF EQUITY | — |
| Melissa Marie Reilly | CO-HEAD OF EQUITY | — |
| Casey Moore Condron | HEAD OF SALES & RELATIONSHIP MANAGEMENT, DIRECTOR | — |
| Martin Tague Mcgee | CHIEF FINANCIAL OFFICER, DIRECTOR | — |
| Kimberly Lyn Perry | DIRECTOR | — |
| Christian Girard Pariseault | HEAD OF INSTITUTIONAL PORTFOLIO MANAGERS, DIRECTOR | — |
| Richard Joseph Hogan | PRESIDENT AND DIRECTOR | — |
| Pam Ruddick Holding | CO-HEAD EQUITY | — |
| PALERMO PAUL | DIRECTOR, SVP, RELATIONSHIP MANAGEMENT | — |
| JONES STEPHEN ANTHONY | PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN, DIRECTOR | — |
| CHIN YOUNG DUCHUNG | CHIEF INVESTMENT OFFICER; CHIEF INVESTMENT OFFICER, DIRECTOR; PRESIDENT, CHAIRMAN, DIRECTOR | — |
| O'HANLEY RONALD PHILIP | PRESIDENT, ASSET MANAGEMENT AND CORPORATE SERVICES | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2020-06-18 | regulatory | FIAM WAS FINED KRW 72 MILLION (APPROXIMATELY $62,000 USD) IN SEPTEMBER 2020 BY THE KOREAN SECURITIES AND FUTURES COMMISSION (SFC) AND KOREAN FINANCIAL SERVICES COMMISSION (FSC) FOR A TECHNICAL VIOLATION OF KOREAN SHORT SALES REGULATIONS. THESE TWO TRADES IN A CLIENT ACCOUNT INVOLVED SHARES THAT SHOU… | Final | $62K |
| 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 |