BMO CAPITAL MARKETS CORP.
Adviser information for BMO CAPITAL MARKETS 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 | 1208 |
|---|---|
| Investment Advisory/Research | 25 |
| Registered Broker-Dealer Representatives | 1022 |
| Registered State Investment Advisers | 0 |
| 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 | 4 | $796.4M |
| Non-Discretionary | 0 | $0 |
| Total | 4 | $796.4M |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 109 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 4 | $796.4M |
| 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 | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 113 |
| No. of Non-U.S. Clients | 4 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPROVISION OF SECURITIES TRADING IDEAS AND RESEARCH |
|---|---|
| Compensation | % of AUMFEES FOR SECURITIES TRADING IDEAS AND RESEARCH |
| Other Business Activities | Broker-dealer |
Identifiers
| SEC RIA File Number | 801-73047 |
|---|---|
| SEC ERA File Number | 801-73047 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 16686 |
| Legal Entity Identifier | RUCOQBLBRPRCU4W1NE59 |
Principal Office
151 WEST 42ND STREETNEW YORK
NY
United States
Monday - Friday, 8:00AM - 5:00PM EST
Tel: (212) 605-1504, Fax: None
Websites
Chief Compliance Officer
SCOTT SOLOWEY
MANAGING DIRECTOR/CHIEF COMPLIANCE OFFICER
151 WEST 42ND STREET
NEW YORK
NY
United States
Tel:
212-605-1504
S************@******M
(Full email address available in API data)
Industry Affiliates
| BANK OF MONTREAL | Banking or thrift institution |
| BMO ASSET MANAGEMENT INC. | Other investment adviser, including financial planners |
| BMO BANK N.A. | Banking or thrift institution |
| BMO NESBITT BURNS INC. | Broker-dealer, municipal securities dealer, or gov securities broker or dealerOther investment adviser, including financial planners |
| CLEARPOOL EXECUTION SERVICES, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BANK OF MONTREAL | Foreign Entity | BMO FINANCIAL CORP. | SHAREHOLDER | 07/2011 | > 75% |
| BMO FINANCIAL CORP. | Domestic Entity | – | SHAREHOLDER | 07/2011 | > 75% |
| FORLENZA, MICHAEL | Individual | – | HEAD, CHIEF OPERATING OFFICER | 10/2023 | < 5% |
| BRICKLEY, THOMAS JOHN | Individual | – | FINANCIAL AND OPERATIONS PRINCIPAL | 03/2020 | < 5% |
| WOODWARD, JOEL EDWARD | Individual | – | CHIEF FINANCIAL OFFICER | 09/2023 | < 5% |
| GOLDMAN, DANIEL ALAN | Individual | – | MANAGING DIRECTOR, GLOBAL MARKETS | 10/2023 | < 5% |
| KAHRAMAN, LEVENT | Individual | – | MANAGING DIRECTOR, GLOBAL MARKETS | 10/2023 | < 5% |
| ESTEY, WARREN FRANCIS | Individual | – | MANAGING DIRECTOR, INVESTMENT BANKING | 10/2023 | < 5% |
| SOLOWEY, SCOTT STEPHEN | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2023 | < 5% |