Bmo Capital Markets Corp. (New York)

Name: Bmo Capital Markets Corp.
Address: 3 Times Square, New York, NY, 10036
Telephone: (212) 702-1981

Bmo Capital Markets Corp. is a large advisory firm based in New York. It manages $3.7 billion of regulatory assets for 1 client accounts. It has been registered with the SEC as an adviser since 2012 and has operated in the jurisdictions of California, Connecticut, Illinois, and 3 other states.

Bmo Capital Markets Corp provides portfolio management for pooled investment vehicles, portfolio management for businesses and institutional clients, and provision of securities trading ideas and research. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Bmo Capital Markets Corp: assets under management

The assets under management (AUM) of Bmo Capital Markets Corp. is $3.7 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 23% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $3.7 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $3.7 billion each.

Bmo Capital Markets Corp has custody of $3.7 billion in cash and securities for 1 client in total and its related person acts as a qualified custodian.

Fees & Commissions

The advisory firm has a single stream of revenue. Clients pay Bmo Capital Markets Corp. for their services and products based on a percentage of assets under management. Compensation based on assets under management promotes a long-term relationship between a client and the adviser and helps align mutual interests. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

What kind of clients Michael John Miller serves?

The firm provides services to investment companies and pooled investment vehicles. The largest group of clients of Michael John Miller is pooled investment vehicles with 1 clients and $3.7 billion of assets under management. Among the 7 most similar advisory firms, Bmo Capital Markets Corp has the 3rd highest percentage of pooled investment vehicles out of all clients.

The amount of regulatory assets under management is $3.7 billion for 107 clients. 2% of the firm’s clients are foreign persons or businesses.

Bmo Capital Markets Corp also advises several private funds. Namely, one securitized asset fund.

Careers at Bmo Capital Markets Corp.

The company employs 1,000 people that are either part- or full-time employees. 5 percent of the employees work as investment advisers or researchers. No employees are registered as investment adviser representatives with the state securities authorities.

There isn’t anyone with the role of looking for and bringing in new clients on behalf of the firm. The firm doesn’t compensate employees in addition to the salary for bringing in new clients. Employees don’t receive compensation from other entities for client referrals.

Michael John Miller has been acting as President since 1 Oct 2007. Michael Forlenza joined the executive team most recently as the Chief Compliance Officer.

Direct owners and executive officers

Name	Entity	Date acquired	Ownership	Employer ID
Keith Christian Leavy	Chief compliance officer	1 Oct 2003	Other	1073073
Susanne Hedda Vorster	Chief financial officer	1 Oct 2003	Other	1990676
Michael George Zeiss	Managing director and chief legal officer	1 Oct 2003	Other	1663037
Peter Christopher Hinman	Director and chief operating officer	1 May 2005	Other	1966876
Robert Jackson Blackstock	Director	1 Mar 2006	Other	1240070
Eric Clifton Tripp	Director	1 Mar 2006	Other	2983767
Charles N. Piermarini	Director	1 Oct 2006	Other	1962060
Michael John Miller	Director	1 Oct 2007	Other	2764796
Perry Colter Hoffmeister	Director	1 Apr 2010	Other	2102809
Lucas Robertson Seabrook	Director	1 Jan 2011	Other	6051987
Bmo Financial Corp.	Shareholder	1 Jul 2011	75% - 100%	51-0275712
Patti Lozier Behnke	Chief financial officer	1 May 2012	Other	2001291
Alan Tannenbaum	Director	1 Jun 2012	Other	2134180
David John Kucera	Director	1 Jun 2012	Other	2598213
Paul Francis Secchia	Director	1 Nov 2012	Other	6143181
Brad Anders Rothbaum	Chief operating officer	1 Jan 2013	Other	1802673
Clare Kathryn Pierce	Managing director and chief legal officer	1 Oct 2013	Other	1822394
John Brophy	Chief compliance officer	1 Apr 2015	Other	3159937
Elizabeth Eileen Bailey	Chief compliance officer	1 May 2015	Other	4154255
Patrick Paul Cronin	Director	1 Jun 2015	Other	3013752
Bradley Scott Reid	Director	1 Jun 2015	Other	2526207
Peter Allan Myers	Director	1 Jun 2015	Other	6419340
Christopher David Taves	Director	1 Jun 2015	Other	6519857
Kenneth Edward Librot	Director	1 Sep 2015	Other	1546288
Daniela Anna O'leary Gill	Director	1 Sep 2015	Other	6571653
Conni Gibson	Chief legal officer	1 Oct 2015	Other	6577348
Michael William Coppins	Cheif financial officer	1 Mar 2017	Other	4537128
Michael Forlenza	Chief compliance officer	1 Dec 2017	Other	5886049

Indirect Owners

The SEC currently registers 1 indirect owner.

Name	Entity	Date acquired	Ownership	Employer ID
Bank Of Montreal	Shareholder	1 Jul 2011	75% - 100%	13-4941092

Based in New York

The principal office where Bmo Capital Markets Corp. performs its advisory services is located at 3 Times Square, New York, NY 10036, which is also the mailing address of the firm. An additional office of the firm is in Denver, CO. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number (212) 702-1981. The normal business hours are 8:00am - 5:00pm est on Monday - Friday. You can find more information about the New York firm at bmocm.com.