BANORTE ASSET MANAGEMENT, INC. of HOUSTON, TX is an SEC-registered investment adviser (CRD 290555). Regulatory assets under management: $661.2M.
Compensation: % of AUM.
Clients served: High net worth, Charities.
Showing 25 of 28 people.
| Name | Role | Location |
|---|---|---|
| Jose Ramon Rodriguez | CHIEF EXECUTIVE OFFICER | Miami, FL |
| Juan Fernando Valdivieso | CHIEF COMPLIANCE OFFICER | — |
| Juan Carlos Barraza | CHIEF INVESTMENT OFFICER | — |
| Nephtali Gomez | DIRECTOR OF IT | — |
| Ivan Dario Urriago Figueroa | AML CO | — |
| Jorge Antonio Figueroa | CHIEF OPERATING OFFICER; OPERATIONS DIRECTOR | — |
| Maria Juliet Thompson-Kronig | DIRECTOR OF INTERNAL CONTROL AND QUALITY ASSURANCE | — |
| Miguel Angel Castellanos Hernandez | DIRECTOR OF HUMAN RESOURCES | — |
| Julio Rene Hernandez | CHIEF FINANCIAL OFFICER; DIRECTOR OF FINANCE | — |
| Antonio Teruggi Pereda | COMMERCIAL DIRECTOR | — |
| SAA JOSE FRANCISCO | FINANCE/ADMINISTRATOR | — |
| MENA CARLOS ANTONIO | MANAGING DIRECTOR | — |
| HERNANDEZ ALBERTO | CHIEF AML OFFICER | — |
| CATHRINER WILLIAM WALTER | CCO | — |
| CHEN CHIASHIN | CHIEF COMPLIANCE OFFICER | — |
| RODRIGUEZ JOSE RAMON | CHIEF EXECUTIVE OFFICER | — |
| Ibarrola Xavier Ernesto | CEO; CEO AND CHIEF COMPLIANCE OFFICER; CHIEF EXECUTIVE OFFICER | — |
| IBARRA JORGE EDUARDO | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER & CHIEF COMPLIANCE OFFICER | — |
| MEDINA JUAN ESTEBAN | CHIEF INVESTMENTS OFFICER; HEAD OF PRODUCTS & STRATEGY | — |
| ALEJANDRE LUIS FERNANDO | CHIEF AML OFFICER | — |
| GARZA FERNANDO | CHIEF FINANCIAL OFFICER | — |
| TERUGGI PEREDA ANTONIO | COMMERCIAL DIRECTOR | — |
| ZEPEDA DIANA E | CHIEF AML OFFICER | — |
| VALDIVIESO JUAN FERNANDO | CHIEF COMPLIANCE OFFICER | — |
| Maria Genoveva Hernandez | DIRECTOR OF GROWTH STRATEGY | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-09-11 | regulatory | THE SEC ALLEGED THAT BANORTE ASSET MANAGEMENT, INC. DID NOT HAVE POLICIES AND PROCEDURES REASONABLY DESIGNED TO ENSURE PERFORMANCE WAS RELEVANT TO THE INTENDED AUDIENCE WHEN DISSEMINATING ADVERTISEMENTS USING HYPOTHETICAL PERFORMANCE, IN VIOLATION OF THE APPLICABLE MARKETING RULE. | Final | $50K |
| — | regulatory | — | — | — |
| City | State | Employees | Phone |
|---|---|---|---|
| THE WOODLANDS | TX | 8 | 7139804625 |