COLUMBIA CENT CLO ADVISERS, LLC of BOSTON, MA is an SEC-registered investment adviser (CRD 310864). Regulatory assets under management: $3.0B.
Compensation: % of AUM, Performance.
Clients served: Pooled vehicles, Investment cos.
| Name | Role | Location |
|---|---|---|
| William Frederick Truscott | PRESIDENT, CHIEF EXECUTIVE OFFICER, AND CHAIRMAN OF THE BOARD | — |
| Lee A Faria | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| Michael Gerald Clarke | SENIOR VICE PRESIDENT AND NORTH AMERICA HEAD OF OPERATIONS & INVESTOR SERVICES | — |
| Brian Michael Engelking | MEMBER, BOARD OF DIRECTORS, VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | — |
| Gene Richard Tannuzzo | MEMBER, BOARD OF DIRECTORS, MANAGING DIRECTOR AND GLOBAL HEAD OF FIXED INCOME | — |
| Michael E Defao | CHIEF LEGAL OFFICER, VICE PRESIDENT AND ASSISTANT SECRETARY | — |
| Matt M Waldner | SENIOR VICE PRESIDENT AND GLOBAL HEAD OF TRADING | — |
| Stanton Dewayne Ray | VICE PRESIDENT | — |
| TRUSCOTT WILLIAM FREDERICK | CHAIRMAN OF THE BOARD OF DIRECTORS AND PRESIDENT; CHIEF EXECUTIVE OFFICER AND CHAIRMAN OF THE BOARD; PRESIDENT, CHIEF EXECUTIVE OFFICER, AND CHAIRMAN OF THE BOARD | — |
| MOORE COLIN | MEMBER, BOARD OF DIRECTORS, EXECUTIVE VICE PRESIDENT AND GLOBAL CHIEF INVESTMENT OFFICER | — |
| LUNDGREN COLIN JAMES | MANAGING DIRECTOR AND GLOBAL HEAD OF FIXED INCOME | — |
| GOUCHER PAUL BRIAN | CHIEF LEGAL OFFICER, VICE PRESIDENT AND ASSISTANT SECRETARY | — |
| LANDES WILLIAM JOHN | HEAD OF NORTH AMERICA INSTITUTIONAL SALES AND GLOBAL HEAD OF INVESTMENT SOLUTIONS | — |
| FARIA LEE A | VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | — |
| HARASIMOWICZ STEPHEN J | SENIOR VICE PRESIDENT AND GLOBAL HEAD OF TRADING | — |
| COUTO SCOTT EDWARD | MEMBER, BOARD OF DIRECTORS, EXECUTIVE VICE PRESIDENT AND HEAD OF NORTH AMERICA | — |
| CLARKE MICHAEL GERALD | SENIOR VICE PRESIDENT AND NORTH AMERICA HEAD OF OPERATIONS & INVESTOR SERVICES; VICE PRESIDENT, HEAD OF NORTH AMERICAN OPERATIONS AND CO-HEAD OF GLOBAL OPERATIONS | — |
| ENGELKING BRIAN MICHAEL | MEMBER, BOARD OF DIRECTORS, VICE PRESIDENT AND CHIEF FINANCIAL OFFICER | — |
| TANNUZZO GENE RICHARD | MANAGING DIRECTOR AND GLOBAL HEAD OF FIXED INCOME; MEMBER, BOARD OF DIRECTORS, MANAGING DIRECTOR AND GLOBAL HEAD OF FIXED INCOME | — |
| DEFAO MICHAEL E | CHIEF LEGAL OFFICER, VICE PRESIDENT AND ASSISTANT SECRETARY | — |
| Ray Stanton DeWayne | VICE PRESIDENT | — |
| WALDNER MATT M | SENIOR VICE PRESIDENT AND GLOBAL HEAD OF TRADING | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2023-07-13 | regulatory | RIVERSOURCE LIFE INSURANCE COMPANY SELF-DISCLOSED THAT CERTAIN PRODUCERS DID NOT COMPLETE THE STATE'S LONG-TERM CARE TRAINING REQUIREMENTS, RESULTING IN A PENALTY IN THE AMOUNT OF COMMISSIONS EARNED. | Final | $60K |
| 2020-09-30 | regulatory | THE STATE ALLEGED THAT RIVERSOURCE LIFE INSURANCE COMPANY VIOLATED VARIOUS SECTIONS OF THE DELAWARE ADMINISTRATIVE CODE RELATED TO PRODUCER TERMINATION AND TRAINING, FORMS APPROVAL AND ILLUSTRATIONS | Final | $29K |
| 2019-03-31 | regulatory | THE MARKET CONDUCT EXAMINATION INDICATED AREAS IN WHICH THE COMPANY WAS NOT IN COMPLIANCE WITH ILLINOIS INSURANCE CODE AND DEPARTMENT REGULATIONS RELATED TO PAYMENT OF INTEREST TO AN INSURED'S BENEFICIARY DUE TO DELAYED CLAIM PAYMENT. | Final | $6K |
| 2016-12-31 | regulatory | THE STATE ALLEGED THAT RIVERSOURCE LIFE INSURANCE COMPANY VIOLATED VARIOUS SECTIONS OF THE DELAWARE ADMINISTRATIVE CODE RELATED TO DUTIES OF INSURERS THAT USE AGENTS AND BROKERS, AND DUTIES OF AGENTS AND BROKERS. | Final | $75K |
| 2016-09-02 | regulatory | THE STATE ALLEGED RIVERSOURCE LIFE INSURANCE COMPANY VIOLATED FLORIDA STATUTES AND FLORIDA ADMINISTRATIVE CODE WITH RESPECT TO FILING OF PROPOSED LONG-TERM CARE INSURANCE PREMIUM RATES. | Final | — |
| 2016-07-18 | regulatory | THE STATE ALLEGED RIVERSOURCE LIFE INSURANCE COMPANY VIOLATED VARIOUS SECTIONS OF THE CONNECTICUT GENERAL STATUTES RELATED TO TWO PRODUCER APPOINTMENTS AND FAILURE TO PAY CLAIMS AND INTEREST IN A TIMELY MANNER. | Final | $5K |
| 2015-06-17 | regulatory | THE STATE ALLEGED THAT RIVERSOURCE LIFE INSURANCE COMPANY DID NOT COMPLY WITH CERTAIN CALIFORNIA REQUIREMENTS APPLICABLE TO THE HANDLING OF CERTAIN CLAIMS REVIEWED IN CONNECTION WITH A 2007-2008 MARKET CONDUCT EXAM. | Final | $800K |
| 2013-01-01 | regulatory | THE STATE ALLEGED RIVERSOURCE LIFE INSURANCE COMPANY WAS NOT IN COMPLIANCE WITH THE ILLINOIS INSURANCE CODE AND DEPARTMENT REGULATIONS REGARDING CERTAIN COMPLAINT HANDLING PROCEDURES, CLAIMS-HANDLING PROCEDURES AND NOTIFICATION, DISCLOSURE AND APPLICATION PROCEDURES. | Final | $20K |