INVESCO MANAGED ACCOUNTS, LLC of SEATTLE, WA is an SEC-registered investment adviser (CRD 154461). Regulatory assets under management: $31.3B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM, Fixed.
Clients served: High net worth, Pooled vehicles.
Showing 25 of 46 people.
| Name | Role | Location |
|---|---|---|
| Edward Bernhardt | HEAD OF SMAS AND SENIOR VICE PRESIDENT | Seattle, WA |
| Tim Michael Benzel | HEAD OF FIXED INCOME SMAS AND VICE PRESIDENT | — |
| Laura Allison Dukes | CHIEF EXECUTIVE OFFICER | — |
| Amy Lynn Nazimiec | CHIEF COMPLIANCE OFFICER AND SENIOR VICE PRESIDENT | — |
| Mark William Gregson | CHIEF FINANCIAL OFFICER | — |
| Greg Ketron | TREASURER | — |
| Tony Lik Wong | PRESIDENT | — |
| Jordan Elyse Mixsell | CHIEF OPERATING OFFICER | — |
| PFEFFER DAVID MATTHEW | CHIEF FINANCIAL OFFICER | — |
| DOHRN GARY ALAN | DIRECTOR | — |
| RECH RONALD PETER | DIRECTOR; NON-EMPLOYEE INVESTOR | — |
| TAYLOR DAVID BRUCE | DIRECTOR/CHAIRMAN | — |
| SHELLEY ROBERT EUGENE | DIRECTOR | — |
| DAUDON MAUD SMITH | CEO | — |
| NEWHOUSE MICHAEL SCOTT | CFO | — |
| MICHAK DOROTHY MAY | CHIEF COMPLIANCE OFFICER | — |
| STARR LOREN MICHAEL | CHIEF EXECUTIVE OFFICER | — |
| NYE CLARK ROBERT | DIRECTOR | — |
| LEGE ANNETTE JANECKA | CHIEF FINANCIAL OFFICER AND TREASURER | — |
| PICCIOTTO MARY ANN | CHIEF COMPLIANCE OFFICER | — |
| LEAVERTON KARL VERNON | CEO; CHAIRMAN OF THE BOARD | — |
| OLEARY DONALD JAY | DIRECTOR | — |
| HERINGER ERIC ADRIAN | DIRECTOR | — |
| STEINMETZ ARTHUR PHILIP | PRESIDENT | — |
| FEINBERG KRISTIE MARIE | CHIEF FINANCIAL OFFICER & TREASURER; TREASURER | — |
| 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 RELATIN… | Final | $310K |