INVESCO CAPITAL MANAGEMENT LLC
Adviser information for INVESCO CAPITAL MANAGEMENT LLC last updated from Form ADV on March 27th, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 220 |
|---|---|
| Investment Advisory/Research | 49 |
| Registered Broker-Dealer Representatives | 66 |
| Registered State Investment Advisers | 35 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 394 | $314.5B |
| Non-Discretionary | 7 | $231.0B |
| Total | 401 | $545.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 215 | $233.6B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 176 | $309.7B |
| 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 | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 10 | $2.2B |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 8 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsSPONSOR TO THE QQQ TRUST SERIES 1, SPONSOR TO BTCO AND SOLE MEMBER OF SPONSOR TO CURRENCYSHARES TRUSTS |
|---|---|
| Compensation | % of AUMUNITARY FEES |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
3500 LACEY ROADSUITE 700
DOWNERS GROVE
IL
United States
Monday - Friday, 8AM-5PM
Tel: 800-983-0903, Fax: 630-933-9699
Chief Compliance Officer
MELANIE H. ZIMDARS
CHIEF COMPLIANCE OFFICER
3500 LACEY ROAD
SUITE 700
DOWNERS GROVE
IL
United States
Tel:
630.868.7174
M**************@**********M
(Full email address available in API data)
Industry Affiliates
| HARBOURVIEW ASSET MANAGEMENT CORPORATION | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| INTELLIFLO ADVISERS, INC. | Other investment adviser, including financial planners |
| INVESCO | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| INVESCO ADVISERS, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| INVESCO ASSET MANAGEMENT (INDIA) PVT. LTD. | Other investment adviser, including financial planners |
| INVESCO ASSET MANAGEMENT (JAPAN) LIMITED | Other investment adviser, including financial planners |
| INVESCO ASSET MANAGEMENT DEUTSCHLAND GMBH | Other investment adviser, including financial planners |
| INVESCO ASSET MANAGEMENT LTD. | Other investment adviser, including financial planners |
| INVESCO CAPITAL MARKETS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| INVESCO CLO EQUITY FUND 3 L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| INVESCO CLO EQUITY FUND IV L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| INVESCO DISTRIBUTORS, INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| INVESCO EUROPEAN RR L.P. | Other investment adviser, including financial planners |
| INVESCO FUND MANAGERS LTD | Sponsor, GP, manager of pooled investment vehicles |
| INVESCO HONG KONG LIMITED | Other investment adviser, including financial planners |
| INVESCO INVESTMENT ADVISERS LLC | Other investment adviser, including financial planners |
| INVESCO INVESTMENT MANAGEMENT LTD | Sponsor, GP, manager of pooled investment vehicles |
| INVESCO LOAN MANAGER, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| INVESCO MANAGED ACCOUNTS, LLC | Other investment adviser, including financial planners |
| INVESCO MANAGEMENT S.A. | Sponsor, GP, manager of pooled investment vehicles |
| INVESCO PENSIONS LTD | Insurance company or agency |
| INVESCO PRIVATE CAPITAL, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| INVESCO REAL ESTATE MANAGEMENT S.� R.L. | Other investment adviser, including financial planners |
| INVESCO RR FUND L.P. | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| INVESCO SENIOR SECURED MANAGEMENT, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
| INVESCO SPECIALIZED PRODUCTS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| INVESCO TRUST COMPANY | Trust company |
| IRE (CAYMAN) LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| OPPENHEIMERFUNDS INC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| WL ROSS & CO. LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor or syndicator of limited partnershipsSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| INVESCO HOLDING COMPANY (US), INC. | Domestic Entity | OPPENHEIMER ACQUISITION CORP. (GATC) | SOLE SHAREHOLDER | 05/2019 | > 75% |
| INVESCO LTD. | Foreign Entity | INVESCO HOLDING COMPANY LIMITED | SOLE SHAREHOLDER | 01/2002 | > 75% |
| ZERR, JOHN, MARK | Individual | – | MANAGING DIRECTOR | 11/2009 | < 5% |
| INVESCO HOLDING COMPANY LIMITED | Foreign Entity | INVESCO HOLDING COMPANY (US), INC. | SOLE SHAREHOLDER | 01/2002 | > 75% |
| ZIMDARS, MELANIE, HULETT | Individual | – | CHIEF COMPLIANCE OFFICER | 11/2017 | < 5% |
| INVESCO GROUP SERVICES, INC. | Domestic Entity | – | DIRECT OWNER | 06/2018 | > 75% |
| OPPENHEIMERFUNDS, INC. (US) | Domestic Entity | INVESCO GROUP SERVICES, INC. | SOLE SHAREHOLDER | 05/2019 | > 75% |
| OPPENHEIMER ACQUISITION CORP. (GATC) | Domestic Entity | OPPENHEIMERFUNDS, INC. (US) | SOLE SHAREHOLDER | 05/2019 | > 75% |
| HENKEL, ADAM | Individual | – | HEAD OF LEGAL - US ETFS | 06/2020 | < 5% |
| KRUGMAN, JORDAN, ANDREW | Individual | – | MANAGING DIRECTOR | 10/2020 | < 5% |
| Vacheron, Terry, Gibson | Individual | – | CHIEF FINANCIAL OFFICER | 03/2022 | < 5% |
| GREGSON, MARK, WILLIAM | Individual | – | CHIEF ACCOUNTING OFFICER | 03/2022 | < 5% |
| Hartigan, Brian, Christopher | Individual | – | MANAGING DIRECTOR, CHIEF EXECUTIVE OFFICER, PRINCIPAL EXECUTIVE OFFICER | 11/2023 | < 5% |