WL ROSS & CO. LLC of DALLAS, TX is an SEC-registered investment adviser (CRD 141854). Regulatory assets under management: $224.6M. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed, Performance.
Clients served: Investment cos.
| Name | Role | Location |
|---|---|---|
| Richard Scott Dennis | SENIOR MANAGING DIRECTOR | DALLAS, TX |
| Beth Anne Zayicek | SENIOR MANAGING DIRECTOR | — |
| Joshua Evan Levit | CHIEF COMPLIANCE OFFICER | — |
| Antonio Michael Reina | SECRETARY | — |
| Courtney Ryan Popelka | CHIEF FINANCIAL OFFICER | — |
| KUPOR JEFFREY HOWARD | SECRETARY | — |
| SPILLANE TODD LAWRENCE | CHIEF COMPLIANCE OFFICER | — |
| STOECKLE GREGORY | SENIOR MANAGING DIRECTOR, CO-HEAD; SENIOR MANAGING DIRECTOR, CO-LEADER | — |
| ROSS WILBUR LOUIS | CHAIRMAN AND CHIEF STRATEGY OFFICER; CHIEF EXECUTIVE OFFICER | — |
| GIBBONS MICHAEL J | CHIEF FINANCIAL OFFICER/TREASURER | — |
| TSOUDIS NICHOLAS | CHIEF COMPLIANCE OFFICER | — |
| GIBBONS MICHAEL JOHN | CHIEF FINANCIAL OFFICER / TREASURER; CHIEF FINANCIAL OFFICER/TREASURER | — |
| TRAPANI SCOTT ALAN | CHIEF COMPLIANCE OFFICER | — |
| PHEGLEY JR RICHARD LEE | CHIEF FINANCIAL OFFICER | — |
| DENNIS RICHARD SCOTT | SENIOR MANAGING DIRECTOR | — |
| GRAY LISA LEE | CHIEF COMPLIANCE OFFICER | — |
| TOY STEPHEN JAMES | SENIOR MANAGING DIRECTOR, CO-HEAD; SENIOR MANAGING DIRECTOR, CO-LEADER | — |
| WANG NANCY | CHIEF COMPLIANCE OFFICER | — |
| MEOTTI MICHAEL IAN | CHIEF FINANCIAL OFFICER | — |
| SWANSON STEPHEN WILLIAM | SECRETARY; SECRETARY & GENERAL COUNSEL | — |
| RIGSBY ROBERT HARRIS | ASSISTANT SECRETARY | — |
| Levit Joshua Evan | CHIEF COMPLIANCE OFFICER | — |
| ZAYICEK BETH ANNE | SENIOR MANAGING DIRECTOR | — |
| REINA ANTONIO MICHAEL | SECRETARY | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-05-15 | regulatory | THE SEC ALLEGED THAT INVESCO ADVISERS, INC. ("IAI") AND INVESCO DISTRIBUTORS, INC. ("IDI") FAILED TO ADEQUATELY PRESERVE CERTAIN ELECTRONIC COMMUNICATIONS PURSUANT TO APPLICABLE RECORDKEEPING PROVISIONS OF FEDERAL SECURITIES LAW. | Final | $35.0M |
| 2022-11-28 | regulatory | THE SEC ALLEGED THAT INVESCO ADVISERS, INC. ("IAI") LACKED COMPREHENSIVE POLICIES AND PROCEDURES TO DETERMINE THE PERCENTAGE OF COMPANY-WIDE ASSETS UNDER MANAGEMENT ("AUM") THAT WAS ESG INTEGRATED. THE SEC ALSO ALLEGED THAT IAI MADE MISLEADING STATEMENTS CONCERNING THE COMPANY-WIDE PERCENTAGE OF AUM… | Final | $17.5M |
| 2020-07-30 | regulatory | INVESCO LTD AND AIM INTERNATIONAL MUTUAL FUNDS FAILED TO SUBMIT VOTING RIGHTS NOTIFICATIONS TO BAFIN AND THE ISSUERS BY THE REQUIRED DEADLINE. BAFIN ISSUED A NOTICE OF HEARING ON JULY 30, 2020 TO INVESCO LTD ALLEGING THAT VIOLATIONS OF THE VOTING RIGHTS REQUIREMENTS OCCURED ON 26 OCCASSIONS RELATING… | Final | $310K |
| 2016-08-24 | regulatory | THE SEC ALLEGED THAT WL ROSS FAILED TO ADEQUATELY DISCLOSE ITS FEE ALLOCATION PRACTICES TO CERTAIN PRIVATE EQUITY FUNDS IT ADVISED (THE "WLR FUNDS") AND THEIR INVESTORS AND THAT AMBIGUOUS LANGUAGE IN ITS PRIVATE EQUITY FUND LIMITED PARTNERSHIP AGREEMENTS RESULTED IN CERTAIN WLR FUNDS PAYING HIGHER M… | Final | $2.3M |
| 2005-08-30 | regulatory | ALLEGEDLY, AIM AND ADI FAILED TO DISCLOSE THAT THEY HAD ENTERED INTO CERTAIN ARRANGEMENTS PERMITTING MARKET TIMING OF SUCH FUNDS, THEREBY BREACHING THEIR FIDUCIARY DUTIES TO THE FUNDS. | Pending | — |
| — | civil | — | — | — |
| — | regulatory | — | — | — |
| Fund | Type | Formed | Owners | Gross asset value | Min investment |
|---|---|---|---|---|---|
| TRANSPORTATION RECOVERY FUND L.P. | Private Equity Fund | Cayman Islands | 68 | $211.8M | $10.0M |
| WLR RECOVERY FUND V DSS AIV, L.P. | Private Equity Fund | Delaware | 63 | $10.3M | $1.0M |
| WLR NAVIG8 CO-INVESTMENT, L.P. | Private Equity Fund | Cayman Islands | 3 | $2.5M | — |