BMO ASSET MANAGEMENT CORP.
Adviser information for BMO ASSET MANAGEMENT CORP. last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 5 |
|---|---|
| Investment Advisory/Research | 4 |
| Registered Broker-Dealer Representatives | 1 |
| Registered State Investment Advisers | 1 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 15 | $4.2B |
| Non-Discretionary | 0 | $0 |
| Total | 15 | $4.2B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 9 | $1.8B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 3 | $1.3B |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 3 | $1.2B |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
Identifiers
| SEC RIA File Number | 801-35533 |
|---|---|
| SEC ERA File Number | 801-35533 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 106466 |
| Legal Entity Identifier | None |
Principal Office
320 S. CANAL STREET12TH FLOOR
CHICAGO
IL
United States
Monday - Friday, 8:30 AM TO 5:00 PM
Tel: 312-461-4002, Fax: None
Chief Compliance Officer
DEAN FOLIAS
115 SOUTH LASALLE ST
18-W
CHICAGO
IL
United States
Tel:
312-461-6152
D**********@******M
(Full email address available in API data)
Regulatory Contact
MICHAEL MIRANDA
PRESIDENT AND CHAIR
320 S. CANAL STREET
12TH FLOOR
CHICAGO
IL
United States
Tel:
312-461-6742
M**************@******M
(Full email address available in API data)
Industry Affiliates
| BANK OF MONTREAL | Banking or thrift institution |
| BMO BANK N.A. | Registered municipal advisorBanking or thrift institutionPension consultant |
| BMO CAPITAL MARKETS CORP. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| BMO DELAWARE TRUST COMPANY | Trust company |
| BMO DIRECT INVEST INC. | Other investment adviser, including financial planners |
| BMO FAMILY OFFICE, LLC | Other investment adviser, including financial planners |
| BMO FINANCIAL CORPORATION | Banking or thrift institution |
| BMO NESBITT BURNS SECURITIES LTD. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| BMO PRIVATE INVESTMENT COUNSEL INC. | Other investment adviser, including financial planners |
| STOKER OSTLER, A PART OF BMO FINANCIAL GROUP | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GREAT LAKES 2014-1 CLO | Securitized Asset Fund | $190.1M | $0.3M | 15 |
| GREAT LAKES 2015-1 | Securitized Asset Fund | $212.1M | $0.3M | 15 |
| GREAT LAKES 2019-1 CLO | Securitized Asset Fund | $329.5M | $0.3M | 15 |
| GREAT LAKES CLO V, LTD | Securitized Asset Fund | $302.6M | $1.0M | 15 |
| GREAT LAKES CLO VI, LLC | Securitized Asset Fund | $387.3M | $1.0M | 15 |
| GREAT LAKES FUND II, LLC | PRIVATE PLACEMENT | $123.1M | $1.0M | 2 |
| GREAT LAKES KOREA FUND III, LLC | PRIVATE PLACEMENT | $242.8M | $1.0M | 3 |
| INVESTMENT PARTNERS FUND III. LP | PRIVATE PLACEMENT | $0.0M | $0.3M | 16 |
| RESPONSIBLE EMERGING MARKETS EQUITY ESG FUND LLC | PRIVATE PLACEMENT | $0.5M | $1.0M | 2 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BANK OF MONTREAL | Foreign Entity | BMO FINANCIAL CORP. | SHAREHOLDER | 09/1989 | > 75% |
| BMO FINANCIAL CORP. | Domestic Entity | – | SOLE SHAREHOLDER OF BMO ASSET MANAGEMENT CORP. | 09/1989 | > 75% |
| Pierce, Clare, K | Individual | – | DIRECTOR | 03/2022 | < 5% |
| MIRANDA, MICHAEL, ARTHUR | Individual | – | PRESIDENT AND CHAIR | 03/2022 | < 5% |
| FOLIAS, DEAN, ALLAN | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |
| Cervera, Janie, Marie | Individual | – | DIRECTOR | 01/2023 | < 5% |
| Duff, James, Patrick | Individual | – | DIRECTOR | 01/2023 | < 5% |
| Weitzman, Patricia, Beth | Individual | – | DIRECTOR | 10/2023 | < 5% |
| Lace, George, Patrick | Individual | – | CHIEF FINANCIAL OFFICER | 11/2023 | < 5% |