DBX ADVISORS LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 154558). Regulatory assets under management: $29.0B.
Compensation: % of AUM.
| Name | Role | Location |
|---|---|---|
| Freddi Klassen | ELECTED MANAGER / CHIEF OPERATING OFFICER | — |
| George L Catrambone | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER & ELECTED MANAGER | — |
| Hepsen Uzcan | ELECTED MANAGER | — |
| Michael Joseph Gilligan | ELECTED MANAGER/CHIEF FINANCIAL OFFICER | — |
| Frank Joseph Gecsedi | CHIEF COMPLIANCE OFFICER | — |
| Caroline Pearson | CHIEF LEGAL OFFICER | — |
| Arne Frederick Noack | CHIEF EXECUTIVE OFFICER & ELECTED MANAGER | — |
| EPHRAIMSON-ABT HANS CHRISTIAN | MANAGER/CHIEF EXECUTIVE OFFICER | — |
| GILLIGAN MICHAEL JOSEPH | CHIEF FINANCIAL OFFICER; ELECTED MANAGER/CHIEF FINANCIAL OFFICER; MANAGER/CHIEF FINANCIAL OFFICER | — |
| KREMENSTEIN MARTIN YVES GERARD | MANAGER/CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER; MANAGER/CHIEF OPERATING OFFICER/CHIEF INVESTMENT OFFICER | — |
| DEPETRIS ALEXIS NICHOLAS | MANAGER/CHIEF ORERATING OFFICER; MANAGER/VICE PRESIDENT | — |
| OLIVER LUKE ANTONY | ELECTED MANAGER / CHIEF EXECUTIVE OFFICER / CHIEF INVESTMENT OFFICER; VICE PRESIDENT | — |
| GECSEDI FRANK JOSEPH | CHIEF COMPLIANCE OFFICER | — |
| BASSETT FIONA | MANAGER/CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | — |
| KLASSEN FREDDI | ELECTED MANAGER / CHIEF OPERATING OFFICER; MANAGER / CHIEF OPERATING OFFICER | — |
| BASSETT FIONA TERESA | ELECTED MANAGER/CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER; MANAGER/CHIEF EXECUTIVE OFFICER/CHIEF INVESTMENT OFFICER | — |
| LOWENBRAUN LESLIE | CHIEF LEGAL OFFICER | — |
| UZCAN HEPSEN | ELECTED MANAGER | — |
| PEARSON CAROLINE | CHIEF LEGAL OFFICER | — |
| NOACK ARNE FREDERICK | CHIEF EXECUTIVE OFFICER; CHIEF EXECUTIVE OFFICER & BOARD OF MANAGERS; CHIEF EXECUTIVE OFFICER & ELECTED MANAGER | — |
Showing 10 of 91 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-04-30 | regulatory | ON APRIL 30, 2026, DEUTSCHE BANK AG, LONDON BRANCH ("DBAG") ENTERED INTO A SETTLEMENT WITH THE UNITED KINGDOM'S OFFICE OF FINANCIAL SANCTIONS IMPLEMENTATION ("OFSI") IN WHICH OFSI FOUND THAT DBAG VIOLATED REGULATION 12 OF THE RUSSIA (SANCTIONS) (EU EXIT) REGULATIONS 2019 FOR PROCESSING TWO PAYMENT T… | Final | $224K |
| 2026-03-12 | regulatory | ON MARCH 12, 2026, THE SAUDI CENTRAL BANK ("SAMA") FOUND THAT DEUTSCHE BANK AG, RIYADH BRANCH ("DBAG") VIOLATED ARTICLE 17 OF THE SAUDI BANKING CONTROL LAW FOR DEPOSIT REPORTING DISCREPANCIES IN DBAG'S SEPTEMBER 2025 AND OCTOBER 2025 REPORTS TO SAMA. | Final | $1K |
| 2025-06-09 | regulatory | THE SECURITIES AND FUTURES COMMISSION OF HONG KONG (THE "SFC") COMMENCED INVESTIGATIONS INTO DEUTSCHE BANK AG, HONG KONG BRANCH ("DBHK") FOLLOWING SELF-REPORTS MADE BY DBHK REGARDING SELF-IDENTIFIED INCIDENTS, WHICH THE SFC FOUND VIOLATED GENERAL PRINCIPLES 2 (DILIGENCE), 7 (COMPLIANCE), AND PARAGRA… | Final | $3.0M |
| 2025-06-02 | regulatory | ICE CLEAR CREDIT LLC ("ICE CLEAR CREDIT") FOUND THAT DEUTSCHE BANK AG ("DBAG") FAILED TO COMPLY WITH ICE CLEAR CREDIT RULE 404(B) RELATING TO THE TIMELY SUBMISSION OF TWO END-OF-DAY PRICES. | Final | $4K |
| 2025-04-11 | regulatory | BLOOMBERG SEF LLC ("BSEF") FOUND THAT DEUTSCHE BANK AG ("DBAG") FAILED TO REPORT ERROR TRADES IN A TIMELY MANNER IN ACCORDANCE WITH BSEF RULES, AND THAT DBAG FAILED TO ADMINISTER SUPERVISORY PROCEDURES TO ENSURE THAT ERROR TRADES WERE PROPERLY REPORTED AND CORRECTED ON BSEF. | Final | $135K |
| 2025-03-24 | regulatory | ON MAY 13, 2025, THE RESERVE BANK OF INDIA ("RBI") FOUND THAT DEUTSCHE BANK AG, INDIA ("DBAG") VIOLATED AN RBI DIRECTIVE BY FAILING TO REGISTER CERTAIN LARGE ACCOUNTS WITH THE CREDIT REPOSITORY OF INFORMATION ON LARGE CREDIT ("CRILC") PLATFORM. | Final | $58K |
| 2025-03-17 | regulatory | ON APRIL 1, 2025, DWS GROUP GMBH & CO. KGAA AND DWS INVESTMENT GMBH (TOGETHER, "DWS") RECEIVED AN ADMINISTRATIVE FINE NOTICE FROM THE FRANKFURT PUBLIC PROSECUTOR FINDING THAT DWS COMMITTED AN ADMINISTRATIVE OFFENSE BY NEGLIGENTLY BREACHING A REQUIREMENT REGARDING PROPER BUSINESS OPERATIONS IN THE GE… | Final | $27.5M |
| 2024-12-20 | regulatory | THE SEC FOUND THAT DEUTSCHE BANK SECURITIES, INC. ("DBSI") FAILED TO TIMELY FILE CERTAIN SUSPICIOUS ACTIVITY REPORTS, AND, ON CERTAIN OCCASIONS FAILED TO PROMPTLY INVESTIGATE OR COMPLETE INVESTIGATIONS OF POTENTIALLY SUSPICIOUS ACTIVITY WITHIN A REASONABLE PERIOD OF TIME. THE SEC FOUND THAT FROM APR… | Final | $4.0M |
| 2024-07-04 | regulatory | THE GERMAN FEDERAL FINANCIAL SUPERVISORY AUTHORITY ("BAFIN") DETERMINED THAT THE CONSOLIDATED FINANCIAL STATEMENTS OF DEUTSCHE BANK AG ("DBAG") FOR FY2019 MISAPPLIED THE INTERNATIONAL FINANCIAL REPORTING STANDARDS ("IFRS") - INTERNATIONAL ACCOUNTING STANDARDS ("IAS") RELATING TO SPECIFICS OF THE DIS… | Final | — |
| 2024-06-20 | regulatory | THE SECURITIES AND COMMODITIES AUTHORITY - UAE ("SCA") FOUND THAT DEUTSCHE BANK AG, DUBAI BRANCH (DEUTSCHE SECURITIES AND SERVICES) ("DSS") FAILED TO TIMELY SUBMIT A REQUIRED ANNUAL FINANCIAL REPORT FOR THE PERIOD ENDING DECEMBER 31, 2023. | On Appeal | $14K |