HPS ADVISORS, LLC of NEW YORK, NY is an SEC-registered investment adviser (CRD 324983). Regulatory assets under management: $28.5B.
Compensation: % of AUM, Performance.
| Name | Role | Location |
|---|---|---|
| Faith Rosenfeld | BOARD MEMBER; CHIEF ADMINISTRATIVE OFFICER | New York, NY |
| Michael D Patterson | BOARD MEMBER | New Castle, DE |
| Purnima Puri | BOARD MEMBER | New York, NY |
| Scott Bancroft Kapnick | BOARD MEMBER; CHIEF EXECUTIVE OFFICER; SOLE MEMBER | — |
| Paul Ryan Knollmeyer | CHIEF FINANCIAL OFFICER AND CHIEF RISK OFFICER | — |
| Yoohyun Katherine Choi | GENERAL COUNSEL | — |
| Joseph James Virgilio | CHIEF COMPLIANCE OFFICER | — |
| Scot Powell French | BOARD MEMBER | — |
| KNOLLMEYER PAUL RYAN | CHIEF FINANCIAL OFFICER AND CHIEF RISK OFFICER | — |
| KAPNICK SCOTT BANCROFT | BOARD MEMBER; CHIEF EXECUTIVE OFFICER; SOLE MEMBER | — |
| ROSENFELD FAITH | BOARD MEMBER; CHIEF ADMINISTRATIVE OFFICER | — |
| CHOI YOOHYUN KATHERINE | GENERAL COUNSEL | — |
| VIRGILIO JOSEPH JAMES | CHIEF COMPLIANCE OFFICER | — |
| PURI PURNIMA | BOARD MEMBER | — |
| PATTERSON MICHAEL D | BOARD MEMBER | — |
| FRENCH SCOT POWELL | BOARD MEMBER | — |
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 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… | Final | — |
| 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 | — |
| 2023-12-18 | civil | ON DECEMBER 18, 2023, THE TENNESSEE ATTORNEY GENERAL ("AG") SUED BLACKROCK, INC. IN TENNESSEE STATE COURT FOR ALLEGED VIOLATIONS OF TENNESSEE'S CONSUMER PROTECTION STATUTE IN CONNECTION WITH BLACKROCK'S ESG PRACTICES. THE COMPLAINT GENERALLY ALLEGES THAT BLACKROCK HAS MADE MISLEADING STATEMENTS IN F… | Final | — |
| 2021-07-19 | regulatory | ON DATES IN 2017 AND IN 2018, BLACKROCK, INC. WAS LATE IN MAKING CERTAIN THRESHOLD FILINGS WITH THE SWISS REGULATOR. THESE LATE FILINGS WERE CAUSED BY TWO SEPARATE ISSUES: (1) INCORRECT SHARE ISSUE INFORMATION PROVIDED TO BLACKROCK BY ITS THIRD PARTY VENDOR; AND, (2) BLACKROCK'S OUTGOING EMAIL QUARA… | Final | $50K |
| 2021-01-22 | regulatory | THE CME CONCLUDED THAT BLACKROCK VIOLATED CHICAGO BOARD OF TRADE (CBOT) RULE 562, WHICH PROHIBITS FIRMS FROM HOLDING POSITIONS ON THE CME LARGER THAN THE LIMITS PROSCRIBED BY CME RULES. | Final | $120K |
| 2017-01-17 | regulatory | THE U.S. SECURITIES AND EXCHANGE COMMISSION ("SEC") FOUND THAT A HISTORIC VERSION OF BLACKROCK INC.'S ("BLACKROCK") FORM EMPLOYEE SEPARATION AND RELEASE AGREEMENT ("AGREEMENT") VIOLATED DODD FRANK'S WHISTLEBLOWER PROVISIONS, (RULE 21F-17 UNDER THE SECURITIES AND EXCHANGE ACT OF 1934). THE AGREEMENT,… | Final | $340K |
Showing 15 of 33 offices.
| City | State | Employees | Phone |
|---|---|---|---|
| LONDON | — | 59 | 44 20 35786030 |
| LONDON | — | 59 | 44 20 35786030 |
| NEW YORK | NY | 52 | 212 810 5300 |
| NEW YORK | NY | 52 | 212 810 5300 |
| CLAYTON | MO | 21 | (314) 828-4200 |
| CLAYTON | MO | 21 | (314) 828-4200 |
| CHICAGO | IL | 14 | 2122876767 |
| STAMFORD | CT | 12 | 2122876767 |
| STAMFORD | CT | 12 | 2122876767 |
| SAN FRANCISCO | CA | 9 | 2122876767 |
| DALLAS | TX | 8 | 2122876767 |
| HONG KONG | — | 7 | 852 2165 2580 |
| HONG KONG | — | 7 | 852 2165 2580 |
| PALM BEACH | FL | 5 | 2122876767 |
| MUNICH | — | 5 | 2122676767 |