HEARTLAND ADVISORS, INC. of MILWAUKEE, WI is an SEC-registered investment adviser (CRD 29433). Regulatory assets under management: $1.9B. This firm reports disciplinary history on Form ADV.
Compensation: % of AUM.
Clients served: High net worth, Pooled vehicles.
Showing 25 of 39 people.
| Name | Role | Location |
|---|---|---|
| William John Nasgovitz | DIRECTOR & CHAIRMAN | — |
| Vinita Kaur Paul | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY | — |
| Nicole Jeannine Best | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER & CHIEF ADMINSTRATIVE OFFICER | — |
| William Richard Nasgovitz | DIRECTOR, CHIEF EXECUTIVE OFFICER & PORTFOLIO MANAGER; DIRECTOR & CHIEF EXECUTIVE OFFICER & TRUSTEE OF TRUST | — |
| Andrew John Fleming | VICE PRESIDENT & PORTFOLIO MANAGER | — |
| Michael David Kops | VICE PRESIDENT OF SALES | — |
| Colin Patrick Mcwey | VICE PRESIDENT & PORTFOLIO MANAGER | — |
| Troy William Mcglone | VICE PRESIDENT & PORTFOLIO MANAGER | — |
| NASGOVITZ WILLIAM JOHN | DIRECTOR & CHAIRMAN; DIRECTOR, CHAIRMAN & CHIEF INVESTMENT OFFICER; DIRECTOR, PRESIDENT & CHIEF EXECUTIVE OFFICER (+3 more) | — |
| MILLER ERIC JAMES | SENIOR VICE PRESIDENT & DIRECTOR | — |
| BESTE PAUL TIMOTHY | CHIEF OPERATING OFFICER; CHIEF OPERATING OFFICER & DIRECTOR; DIRECTOR & CHIEF OPERATING OFFICER (+3 more) | — |
| BEST NICOLE JEANNINE | SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER; SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER; SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER & TREASURER (+3 more) | — |
| DENISON HUGH FRANK | SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | — |
| CLARK KEVIN DOUGLAS | SENIOR VICE PRESIDENT EQUITY TRADING; SENIOR VICE PRESIDENT & PORTFOLIO MANAGER; SENIOR VICE PRESIDENT - TRADING | — |
| ROBERTS STANLEY A | VICE PRESIDENT - TREASURER | — |
| FONDRIE DAVID CHARLES | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER; SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | — |
| EVANS BRAD ALAN | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER; DIRECTOR, VICE PRESIDENT & PORTFOLIO MANAGER; VICE PRESIDENT - PORTFOLIO MANAGER (+1 more) | — |
| EVANS DEAN ALLEN | DIRECTOR, SENIOR VICE PRESIDENT & PORTFOLIO MANAGER; SENIOR VICE PRESIDENT & PORTFOLIO MANAGER | — |
| WICK CONSTANCE RAE | CHIEF COMPLIANCE OFFICER; DIRECTOR OF COMPLIANCE | — |
| JOHNSON SARAH ANNE | VICE PRESIDENT & TREASURER | — |
| BAUER JILAINE HUMMEL | SENIOR VICE PRESIDENT, SECRETARY & GENERAL COUNSEL | — |
| DELLA KENNETH JOSEPH | SENIOR VICE PRESIDENT & TREASURER | — |
| PAUL VINITA KAUR | VICE PRESIDENT & CHIEF COMPLIANCE OFFICER; VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & ASSISTANT SECRETARY; VICE PRESIDENT, CHIEF COMPLIANCE OFFICER, GENERAL COUNSEL & SECRETARY (+3 more) | — |
| RIBBENS DAVID | DIRECTOR, EXECUTIVE VICE PRESIDENT & HEAD OF DISTRIBUTION; DIRECTOR & PRESIDENT; EXECUTIVE VICE PRESIDENT & HEAD OF DISTRIBUTION (+3 more) | — |
| KOLIMAGA JEANNE MARIE | VICE PRESIDENT OF HUMAN RESOURCES | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2017-02-14 | regulatory | ON FEBRUARY 14, 2017, HEARTLAND ADVISORS, INC. ("HEARTLAND") SETTLED AN ADMINISTRATION PROCEEDING BROUGHT BY THE SEC RESOLVING ALLEGED VIOLATIONS OF SECTIONS 13(D) AND 16(A) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULES 13D-1, 13D-2, 16A-2 AND 16A-3 PROMULGATED THEREUNDER. WHILE HEARTLAND NEITHER… | Final | $180K |