BOW RIVER ADVISERS, LLC of DENVER, CO is an SEC-registered investment adviser (CRD 325285). Regulatory assets under management: $1.2B.
Compensation: % of AUM.
| Name | Role | Location |
|---|---|---|
| Blair Ellard Richardson | CHIEF EXECUTIVE OFFICER; OFFICER, DIRECTOR, SHAREHOLDER | — |
| James Daniel Kerr | CHIEF COMPLIANCE OFFICER | — |
| Jane Clayton Ingalls | CHIEF OPERATING OFFICER, PRESIDENT | — |
| Jamison Reid Davis | CHIEF FINANCIAL OFFICER | — |
| Jeremy David Held | MANAGING DIRECTOR | — |
| Michael James Trihy | DIRECTOR | — |
| KERR RICHARD DANIEL | CHIEF COMPLIANCE OFFICER | — |
| RICHARDSON BLAIR ELLARD | CHIEF EXECUTIVE OFFICER; OFFICER, DIRECTOR, SHAREHOLDER | — |
| INGALLS JANE CLAYTON | CHIEF OPERATING OFFICER | — |
| DAVIS MATTHEW REID | CHIEF FINANCIAL OFFICER | — |
| THACKRAY RICHARD GUY | PRESIDENT | — |
| HELD JEREMY DAVID | MANAGING DIRECTOR | — |
| TRIHY MICHAEL JAMES | DIRECTOR | — |
| Joseph David Stork | DIRECTOR | — |
| Jennifer Levesque | DIRECTOR | — |
Showing 10 of 11 distinct disclosure events.
| Initiated | Type | Allegations | Status | Amount |
|---|---|---|---|---|
| 2025-08-07 | regulatory | THE FOLLOWING DISCLOSURE IS ONLY RELEVANT DUE TO AN ADVISORY AFFILIATION BY VIRTUE OF NEW YORK LIFE INVESTMENT MANAGEMENT HOLDING'S EQUITY INTEREST IN BRA, LLC. PURSUANT TO A MARKET CONDUCT EXAMINATION BY THE STATE OF CONNECTICUT INSURANCE DEPARTMENT, STIPULATION AND FINAL ORDER, DATED 08/07/2025, N… | Final | $14K |
| 2024-04-19 | regulatory | THE FOLLOWING DISCLOSURE IS ONLY RELEVANT DUE TO AN ADVISORY AFFILIATION BY VIRTUE OF NEW YORK LIFE INVESTMENT MANAGEMENT HOLDINGS' EQUITY INTERESTS IN BRA, LLC. NEW YORK LIFE GROUP INSURANCE COMPANY OF NEW YORK AND THE PREDECESSOR COMPANY FILED FORMS AND PROVIDED DATA TO THE STATE FROM 2018 TO 2022… | Final | $13K |
| 2023-12-16 | regulatory | THE FOLLOWING DISCLOSURE IS ONLY RELEVANT DUE TO AN ADVISORY AFFILIATION BY VIRTUE OF NEW YORK LIFE INVESTMENT MANAGEMENT HOLDING'S EQUITY INTEREST IN BRA, LLC. NEW YORK LIFE INSURANCE COMPANY FAILED TO USE POLICY FORMS THAT WERE REVIEWED AND APPROVED BY THE STATE. IN ADDITION, CERTAIN FORMS DID NOT… | Final | $100K |
| 2021-10-04 | regulatory | THE FOLLOWING DISCLOSURE IS ONLY RELEVANT DUE TO AN ADVISORY AFFILIATION BY VIRTUE OF NEW YORK LIFE INVESTMENT MANAGEMENT HOLDING'S EQUITY INTEREST IN BRA, LLC. ON OCTOBER 4, 2021 NEW YORK LIFE INSURANCE COMPANY ("NYLIC") RECEIVED AN ORDER OF CIVIL PENALTY AND ADOPTION OF A CORRECTIVE ACTION PLAN FR… | Final | $112K |
| 2021-03-23 | regulatory | THE FOLLOWING DISCLOSURE IS ONLY RELEVANT DUE TO AN ADVISORY AFFILIATION BY VIRTUE OF NEW YORK LIFE INVESTMENT MANAGEMENT HOLDING'S EQUITY INTEREST IN BRA, LLC. THE OFFICE OF THE MONTANA STATE AUDITOR, COMMISSION OF SECURITIES AND INSURANCE ("CSI") FOUND THAT SINCE 2015 NEW YORK LIFE INSURANCE COMPA… | Final | $10K |
| 2018-01-24 | regulatory | THE FOLLOWING DISCLOSURE IS ONLY RELEVANT DUE TO AN ADVISORY AFFILIATION BY VIRTUE OF NEW YORK LIFE INVESTMENT MANAGEMENT HOLDING'S EQUITY INTEREST IN BRA, LLC. DURING THE COURSE OF A ROUTINE MARKET CONDUCT EXAM, THE STATE OF CONNECTICUT INSURANCE DEPARTMENT (THE STATE) FOUND NEW YORK LIFE INSURANCE… | Final | $1K |
| 2016-10-31 | regulatory | THE FOLLOWING DISCLOSURE IS ONLY RELEVANT DUE TO AN ADVISORY AFFILIATION BY VIRTUE OF NEW YORK LIFE INVESTMENT MANAGEMENT HOLDING'S EQUITY INTEREST IN BRA, LLC. AS A RESULT OF A ROUTINE MARKET CONDUCT EXAMINATION OF THE AFFAIRS OF NEW YORK LIFE INSURANCE COMPANY FOR THE PERIOD FROM JANUARY 1, 2005-D… | Final | $732K |
| 2015-12-07 | regulatory | THE FOLLOWING DISCLOSURE IS ONLY RELEVANT DUE TO AN ADVISORY AFFILIATION BY VIRTUE OF NEW YORK LIFE INVESTMENT MANAGEMENT HOLDING'S EQUITY INTEREST IN BRA, LLC. THE ILLINOIS DEPARTMENT OF INSURANCE CONDUCTED A MARKET EXAM, THE REPORT OF WHICH IDENTIFIED CERTAIN AREAS WHERE NEW YORK LIFE INSURANCE CO… | Final | $26K |
| 2014-10-24 | regulatory | THE FOLLOWING DISCLOSURE IS ONLY RELEVANT DUE TO AN ADVISORY AFFILIATION BY VIRTUE OF NEW YORK LIFE INVESTMENT MANAGEMENT HOLDING'S EQUITY INTEREST IN BRA, LLC. A CIVIL PENALTY TO NEW YORK LIFE INSURANCE COMPANY BECAUSE A THIRD PARTY ADMINISTRATOR WORKING ON ITS BEHALF FAILED TO COMPLY WITH THE HEAL… | Final | $6K |
| 2014-05-05 | regulatory | THE FOLLOWING DISCLOSURE IS ONLY RELEVANT DUE TO AN ADVISORY AFFILIATION BY VIRTUE OF NEW YORK LIFE INVESTMENT MANAGEMENT HOLDING'S EQUITY INTEREST IN BRA, LLC. NYLIC ADMITTED TO THE FACTS AND ACCEPTED THE MARYLAND ADMINISTRATION'S CONCLUSIONS AS STATED IN THE EXAMINATION REPORT (MCLH-17-2011-E), IN… | Final | $1K |