BLACKROCK CAPITAL INVESTMENT ADVISORS, LLC of WILMINGTON, DE is an SEC-registered investment adviser (CRD 290336). Regulatory assets under management: $66.9B.
Compensation: % of AUM, Fixed.
Clients served: Pooled vehicles, Charities, Investment cos.
| Name | Role | Location |
|---|---|---|
| Charles Choon Sik Park | CHIEF COMPLIANCE OFFICER | — |
| Robert Andrew Dickson | SECRETARY | — |
| James Edward Keenan | CHIEF EXECUTIVE OFFICER; PRESIDENT | — |
| DICKSON ANDREW | SECRETARY | — |
| PARK CHARLES CHOON SIK | CHIEF COMPLIANCE OFFICER | — |
| ZUGAY MICHAEL J | CHIEF EXECUTIVE OFFICER | — |
| ZUGAY MICHAEL JOSEPH | CHIEF EXECUTIVE OFFICER | — |
| Keenan James Edward | CHIEF EXECUTIVE OFFICER; PRESIDENT | — |
Showing 10 of 27 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2026-05-27 | civil | ON MAY 27, 2026, A SHAREHOLDER DERIVATIVE ACTION WAS FILED IN THE UNITED STATES DISTRICT COURT FOR THE CENTRAL DISTRICT OF CALIFORNIA. THE COMPLAINT NAMES BLACKROCK TCP CAPITAL CORP AS A NOMINAL DEFENDANT AND CERTAIN CURRENT AND FORMER OFFICERS AND DIRECTORS OF BLACKROCK TCP CAPITAL CORP AS DEFENDAN… | Pending | — |
| 2026-05-14 | civil | ON MAY 14, 2026, A SHAREHOLDER DERIVATIVE ACTION WAS FILED IN THE UNITED STATES DISTRICT COURT FOR THE CENTRAL DISTRICT OF CALIFORNIA. THE COMPLAINT NAMES BLACKROCK TCP CAPITAL CORP AS A NOMINAL DEFENDANT AND CERTAIN CURRENT AND FORMER OFFICERS AND DIRECTORS OF BLACKROCK TCP CAPITAL CORP AS DEFENDAN… | Pending | — |
| 2026-02-24 | civil | ON FEBRUARY 24, 2026, A PURPORTED SHAREHOLDER DERIVATIVE ACTION WAS FILED IN THE UNITED STATES DISTRICT COURT FOR THE CENTRAL DISTRICT OF CALIFORNIA. THE COMPLAINT ASSERTS CLAIMS ON BEHALF OF BLACKROCK TCP CAPITAL CORP FOR ALLEGED BREACHES OF FIDUCIARY DUTY, UNJUST ENRICHMENT, ABUSE OF CONTROL, GROS… | Pending | — |
| 2026-02-03 | civil | ON FEBRUARY 3, 2026, A PUTATIVE SECURITIES CLASS ACTION LAWSUIT WAS FILED IN THE UNITED STATES DISTRICT COURT FOR THE CENTRAL DISTRICT OF CALIFORNIA. THE COMPLAINT NAMES BLACKROCK TCP CAPITAL CORP AND CERTAIN OF ITS CURRENT AND FORMER EXECUTIVE OFFICERS AS DEFENDANTS. THE COMPLAINT PURPORTS TO BE BR… | Pending | — |
| 2025-01-09 | regulatory | ON JANUARY 9, 2025, THE COMISION NACIONAL BANCARIA Y DE VALORES ("CNBV") IMPOSED A FINE OF APPROXIMATELY $123,000 USD (MNX $2,501,720) REGARDING THE ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING PROGRAM AT BLACKROCK'S MEXICO CITY OFFICE. SPECIFICALLY, THE CNBV FOUND THAT BLACKROCK MEXICO DID… | Final | $123K |
| 2025-01-09 | regulatory | ON JANUARY 9, 2025, THE COMISIÓN NACIONAL BANCARIA Y DE VALORES ("CNBV") IMPOSED A FINE OF APPROXIMATELY $123,000 USD (MNX $2,501,720) REGARDING THE ANTI-MONEY LAUNDERING AND COUNTER-TERRORIST FINANCING PROGRAM AT BLACKROCK'S MEXICO CITY OFFICE. SPECIFICALLY, THE CNBV FOUND THAT BLACKROCK MEXICO DID… | Final | $123K |
| 2024-11-27 | civil | ON NOVEMBER 27, 2024, TEXAS ATTORNEY GENERAL KEN PAXTON AND ATTORNEYS GENERAL FROM 10 OTHER STATES (ALABAMA, ARKANSAS, INDIANA, IOWA, KANSAS, MISSOURI, MONTANA, NEBRASKA, WEST VIRGINIA, AND WYOMING) FILED A COMPLAINT AGAINST BLACKROCK, VANGUARD, AND STATE STREET (THE "MANAGERS") ALLEGING THAT THE MA… | Pending | — |
| 2024-08-22 | regulatory | ON AUGUST 22, 2024, THE INDIANA SECURITIES COMMISSIONER (THE "COMMISSIONER") ISSUED A CEASE AND DESIST ORDER (THE "ORDER") AGAINST BLACKROCK, INC. AND SEVERAL OF ITS ADVISORY AFFILIATES, (COLLECTIVELY, "BLACKROCK"). THE ORDER ALLEGES THAT BLACKROCK HAS MADE MISLEADING STATEMENTS ABOUT HOW WE MANAGE… | Pending | — |
| 2024-03-27 | regulatory | ON MARCH 27, 2024, BLACKROCK, INC., BLACKROCK INVESTMENTS, LLC, BLACKROCK ADVISORS, LLC, BLACKROCK FUND ADVISORS, AND ISHARES TRUST (COLLECTIVELY, "BLACKROCK") WERE SERVED WITH A SUMMARY CEASE AND DESIST ORDER AND NOTICE OF INTENT TO IMPOSE ADMINISTRATIVE PENALTY FROM THE MISSISSIPPI SECRETARY OF ST… | Pending | — |
| 2024-03-27 | regulatory | ON MARCH 27, 2024, BLACKROCK, INC., BLACKROCK INVESTMENTS, LLC, BLACKROCK ADVISORS, LLC, BLACKROCK FUND ADVISORS, AND ISHARES TRUST (COLLECTIVELY, "BLACKROCK") WERE SERVED WITH A SUMMARY CEASE AND DESIST ORDER AND NOTICE OF INTENT TO IMPOSE ADMINISTRATIVE PENALTY FROM THE MISSISSIPPI SECRETARY OF ST… | Final | — |