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RIA / WealthRegistered adviserformer SEC advisernot on rosterRAUM 10b 100b

M&I INVESTMENT MANAGEMENT CORP.

CRD 109802

MILWAUKEE, WI

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Search this name across graphsid dfx:ria:8309fa06-31e7-0579-bf46-34aef210baf4

Data as of May 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:43 AM UTC and rebuilt at most every 15 minutes.

Relationships: 166
Dated events: 0
On other graphs: 2
Observed: Mar 13, 2012 to May 30, 2012
4 observations

Across DFX

same identity by shared identifier, citation, or a bridge measured by hand

Private Equityidentity

M&i Investment Management Corp.

Private equity manager · shared crd

Real Estate Fundsidentity

M&i Investment Management Corp.

Real estate fund manager · shared crd

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Firm class: former SEC adviserderivedabsent from the latest SEC roster
Regulatory AUM: $22BItem 5.F on the latest filing (2012-05-30); as reported, and an affiliate's assets may be counted again on its own filing
Discretionary RAUM: $22B
Private client RAUM: $0derivedItem 5.D individuals plus high net worth individuals
Private client share: 0%derivedprivate client RAUM over total RAUM
Advisors on IAPD: 0
Accounts: 1,561
Private funds: 7Schedule D 7.B(1)
Private fund GAV: $3.8Bgross asset value as reported per fund; never fund size
Custody, client assets: $33.0M
SEC number: 801-9118
CRD: 109802
Filings on the tape: 4
First filed: Mar 13, 2012
Latest filed: May 30, 2012
Organised: Corporation, Wisconsin

Owners and control persons

Schedule A and B as filed; ownership codes are the form's bands (NA under 5%, A 5 to 10%, B 10 to 25%, C 25 to 50%, D 50 to 75%, E over 75%); people are listed as filed and never merged by name

Owner	Title	Ownership code	Control person	Acquired	First seen	Last seen
BANK OF MONTREAL	SOLE SHAREHOLDER OF BMO FINANCIAL CORP.	E	yes	07/2011	Mar 13, 2012	May 30, 2012
BMO FINANCIAL CORP.	SOLE SHAREHOLDER OF M&I INVESTMENT MANAGEMENT CORP.	E	yes	07/2011	Mar 13, 2012	May 30, 2012
COSTELLO, ELLEN, MARIE	Director	Na	yes	07/2011	Mar 13, 2012	May 30, 2012
HOSACK, ALLAN, ROBERT	SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER	Na	yes	09/2008	Mar 13, 2012	May 30, 2012
HUIE, TOMMY, ON	PRESIDENT, CHIEF INVESTMENT OFFICER AND DIRECTOR (01/2005)	Na	yes	10/2004	Mar 13, 2012	May 30, 2012
MCINERNEY, BARRY, SEAN	CHIEF EXECUTIVE OFFICER AND DIRECTOR	Na	yes	07/2011	Mar 13, 2012	May 30, 2012
NEAL, CAROL, ANN	Director	Na	yes	07/2011	Mar 13, 2012	May 30, 2012
ROBINSON, MARTHA, GAYLE	SENIOR VICE PRESIDENT AND GENERAL COUNSEL	Na	yes	01/2009	Mar 13, 2012	May 30, 2012
D'ANGELO, JULIE, ANNE	SECRETARY AND VICE PRESIDENT	Na	no	04/2010	Mar 13, 2012	May 30, 2012
PALMER, ANGELA, MARIE	CHIEF COMPLIANCE OFFICER & VICE PRESIDENT (01/2007) & ASSISTANT SECRETARY (2010)	Na	no	06/2006	Mar 13, 2012	May 30, 2012

Affiliates (Item 7.A)

as filed on Item 7.A; a related person with a CRD on the graph links to its own page

Related person	Type	Class on the graph	Its RAUM	Control	Common control	State
BMO HARRIS INVESTMENT MANAGEMENT INC.	n/a	Bank affiliated wealth	$40B	N	yes	n/a
TAPLIN, CANIDA & HABACHT, LLC	n/a	Institutional manager	$11B	Y	yes	n/a
HARRIS MYCFO, LLC	n/a	Bank affiliated wealth	$10.0B	N	yes	n/a
PYRFORD INTERNATIONAL LTD	n/a	Other adviser	$7.1B	N	yes	n/a
HARRIS INVESTMENT MANAGEMENT INC	n/a	Other adviser	$6.2B	N	yes	n/a
BMO HARRIS FINANCIAL ADVISORS, INC	n/a	Former SEC adviser	$5.1B	N	yes	n/a
SULLIVAN BRUYETTE SPEROS & BLAYNEY INC	n/a	Former SEC adviser	$5.1B	N	yes	n/a
M&I FINANCIAL ADVISORS, INC.	n/a	Former SEC adviser	$3.8B	N	yes	n/a
STOKER OSTLER WEALTH ADVISORS, INC.	n/a	Bank affiliated wealth	$3.7B	N	yes	n/a
LLOYD GEORGE MANAGEMENT (EUROPE) LIMITED	n/a	Former SEC adviser	$2.9B	N	yes	n/a
BMO CAPITAL MARKETS CORP.	n/a	Former SEC adviser	$1.2B	N	yes	n/a
LLOYD GEORGE MANAGEMENT HONG KONG LTD	n/a	Former SEC adviser	$1.0B	N	yes	n/a
HIM MONEGY, INC.	n/a	Former SEC adviser	$765M	N	yes	n/a
LLOYD GEORGE INVESTMENT MANAGEMENT BERMUDA LTD	n/a	Former SEC adviser	$27.0M	N	yes	n/a
BANK OF MONTREAL	n/a	n/a	n/a	Y	yes	n/a
BMO ASSET MANAGEMENT INC	n/a	n/a	n/a	N	yes	n/a
BMO CAPITAL MARKETS GKST INC.	n/a	n/a	n/a	N	yes	n/a
BMO HARRIS BANK N.A.	n/a	n/a	n/a	N	yes	n/a
BMO INVESTMENTS INC	n/a	n/a	n/a	N	yes	n/a
BMO LIFE ASSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
BMO LIFE INSURANCE COMPANY	n/a	n/a	n/a	N	yes	n/a
BMO NESBITT BURNS SECURITIES LTD.	n/a	n/a	n/a	N	yes	n/a
BMO NESBITT BURNS TRADING CORP. S.A.	n/a	n/a	n/a	N	yes	n/a
BMO NESBITT BURNS, INC.	n/a	n/a	n/a	N	yes	n/a
BMO TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a
LLOYD GEORGE INVESTMENT MANAGEMENT (HONG KONG) LIMITED	n/a	n/a	n/a	N	yes	n/a
LLOYD GEORGE MANAGEMENT (SINGAPORE) PTE LIMITED	n/a	n/a	n/a	N	yes	n/a
M&I DISTRIBUTORS LLC	n/a	n/a	n/a	N	yes	n/a
M&I INSURANCE SERVICES INC.	n/a	n/a	n/a	N	yes	n/a
M&I INVESTMENT PARTNERS MANAGEMENT LLC	n/a	n/a	n/a	N	yes	n/a
M&I REALTY ADVISORS INC.	n/a	n/a	n/a	N	yes	n/a
MARSHALL & ILSLEY TRUST COMPANY N.A.	n/a	n/a	n/a	N	yes	Wi
NORTH STAR TRUST COMPANY	n/a	n/a	n/a	N	yes	n/a

Offices

Schedule D 1.F offices beyond the principal office; street addresses are not published

City	State	Country	Employees	Also broker-dealer
Scottsdale	Az	United States	n/a	no
LOS ANGELES	CA	United States	n/a	no
BONITA SPRINGS	FL	United States	n/a	no
Naples	FL	United States	n/a	no
Sarasota	FL	United States	n/a	no
Atlanta	Ga	United States	n/a	no
Chicago	IL	United States	n/a	no
Chicago	IL	United States	n/a	no
Indianapolis	In	United States	n/a	no
Indianapolis	In	United States	n/a	no
Leawood	Ks	United States	n/a	no
EDEN PRAIRIE	Mn	United States	n/a	no
Minneapolis	Mn	United States	n/a	no
Wayzata	Mn	United States	n/a	no
DES PERES	Mo	United States	n/a	no
KANSAS CITY	Mo	United States	n/a	no
Appleton	Wi	United States	n/a	no
GREEN BAY	Wi	United States	n/a	no
Madison	Wi	United States	n/a	no
Madison	Wi	United States	n/a	no
Wausau	Wi	United States	n/a	no

Regulatory AUM by fiscal year

annual amendments (and the roster's annual snapshot) as filed; where a year was amended twice the later filing draws the line

Fiscal year	Filed	RAUM	Discretionary	Employees	Advisory staff	Offices	Private funds	Fund GAV
2011	Mar 13, 2012	$22B	$22B	n/a	n/a	n/a	7	$3.8B

Growth

derived from consecutive annual filings; RAUM as reported

Latest fiscal year	RAUM	A year earlier	1y change	Three years earlier	3y CAGR	Employees	A year earlier	Offices	A year earlier
2011	$22B	n/a	n/a	n/a	n/a	n/a	n/a	n/a	n/a

Relationships

showing 80 of 166

Affiliated with (15)

← M&I FINANCIAL ADVISORS, INC.Registered adviserother investment adviser, common control
factForm ADV
→ PYRFORD INTERNATIONAL LTDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ BMO ASSET MANAGEMENT CORP.Registered adviserother investment adviser, bank, common control
factForm ADV
→ LGM INVESTMENTSRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ LGM INVESTMENTSRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ SBSB FINANCIAL ADVISORSRegistered adviserother investment adviser, common control
factForm ADV
→ BMO FAMILY OFFICE, LLCRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ STOKER OSTLER, A PART OF BMO FINANCIAL GROUPRegistered adviserother investment adviser, common control
factForm ADV
→ MONEGY, INC.Registered adviserother investment adviser, common control
factForm ADV
→ BMO HARRIS FINANCIAL ADVISORS, INCRegistered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ LOOP CAPITAL ASSET MANAGEMENTRegistered adviserother investment adviser, control, common control
factForm ADV
→ BMO PRIVATE INVESTMENT COUNSEL INC.Registered adviserother investment adviser, common control
factForm ADV
→ COLUMBIA THREADNEEDLE (EM) INVESTMENTS LIMITEDRegistered adviserother investment adviser, pooled vehicle sponsor, common control
factForm ADV
→ M&I FINANCIAL ADVISORS, INC.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV
→ BMO CAPITAL MARKETS CORP.Registered adviserother investment adviser, broker-dealer, common control
factForm ADV

Controls (8)

← HUIE, TOMMY, ONOwnerPRESIDENT, CHIEF INVESTMENT OFFICER AND DIRECTOR (01/2005), ownership code NA, individual
Mar 13, 2012 to presentfactForm ADV
← ROBINSON, MARTHA, GAYLEOwnerSENIOR VICE PRESIDENT AND GENERAL COUNSEL, ownership code NA, individual
Mar 13, 2012 to presentfactForm ADV
← COSTELLO, ELLEN, MARIEOwnerDIRECTOR, ownership code NA, individual
Mar 13, 2012 to presentfactForm ADV
← MCINERNEY, BARRY, SEANOwnerCHIEF EXECUTIVE OFFICER AND DIRECTOR, ownership code NA, individual
Mar 13, 2012 to presentfactForm ADV
← NEAL, CAROL, ANNOwnerDIRECTOR, ownership code NA, individual
Mar 13, 2012 to presentfactForm ADV
← HOSACK, ALLAN, ROBERTOwnerSENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER, ownership code NA, individual
Mar 13, 2012 to presentfactForm ADV
← BANK OF MONTREALOwnerSOLE SHAREHOLDER OF BMO FINANCIAL CORP., ownership code E, foreign entity
Mar 13, 2012 to presentfactForm ADV
← BMO FINANCIAL CORP.OwnerSOLE SHAREHOLDER OF M&I INVESTMENT MANAGEMENT CORP., ownership code E, domestic entity
Mar 13, 2012 to presentfactForm ADV

Owns (2)

← PALMER, ANGELA, MARIEOwnerCHIEF COMPLIANCE OFFICER & VICE PRESIDENT (01/2007) & ASSISTANT SECRETARY (2010), ownership code NA, individual
Mar 13, 2012 to presentfactForm ADV
← D'ANGELO, JULIE, ANNEOwnerSECRETARY AND VICE PRESIDENT, ownership code NA, individual
Mar 13, 2012 to presentfactForm ADV

Registered with (55)

← JOHN WILLIAM MARSKEAdvisorregistration: previous registration
Jan 11, 2007 to Jun 8, 2012factForm ADV
← Mark John FenlonAdvisorregistration: previous registration
Jun 30, 2005 to Jun 8, 2012factForm ADV
← TIMOTHY JOHN FOHTAdvisorregistration: previous registration
Jun 11, 2001 to Jun 8, 2012factForm ADV
← CHRISTOPHER JOHN SITEKAdvisorregistration: previous registration
Aug 11, 2008 to Jun 8, 2012factForm ADV
← DANIEL PATRICK BROWNAdvisorregistration: previous registration
Feb 1, 1999 to Jun 8, 2012factForm ADV
← DAVID SCOTT KEEVINSAdvisorregistration: previous registration
Oct 5, 2006 to Jun 8, 2012factForm ADV
← VINCENT STEVEN RUSSOAdvisorregistration: previous registration
Aug 3, 2011 to Jun 8, 2012factForm ADV
← Jeffrey Scott CasperAdvisorregistration: previous registration
Feb 28, 2006 to Jun 8, 2012factForm ADV
← SHARON KARRAKER COHENAdvisorregistration: previous registration
Feb 16, 2007 to Jun 8, 2012factForm ADV
← JAMES MATTHEW WOODAdvisorregistration: previous registration
Jul 18, 2008 to Jun 8, 2012factForm ADV
← KYLE JAMES TRIPPAdvisorregistration: previous registration
Mar 27, 2007 to Jun 8, 2012factForm ADV
← Gregg William GeorgeAdvisorregistration: previous registration
Jul 21, 2008 to Jun 8, 2012factForm ADV
← TIMOTHY SHEPARD DUNCANAdvisorregistration: previous registration
Jul 4, 2007 to Jun 8, 2012factForm ADV
← GREGORY SCOTT DIRKSEAdvisorregistration: previous registration
Aug 3, 2011 to Jun 8, 2012factForm ADV
← JASON WAYNE JOANISAdvisorregistration: previous registration
Feb 16, 2010 to Jun 8, 2012factForm ADV
← ROBERT JAMES RAMSAYAdvisorregistration: previous registration
May 8, 2008 to Jun 8, 2012factForm ADV
← JOSHUA JAMES PALLEONAdvisorregistration: previous registration
Feb 19, 2004 to Jun 8, 2012factForm ADV
← STEVEN JAMES HOFFMANAdvisorregistration: previous registration
Feb 1, 2008 to Jun 8, 2012factForm ADV
← MITCHELL ABRAHAM PROSKAdvisorregistration: previous registration
Apr 7, 2006 to Jun 8, 2012factForm ADV
← DONALD ANTHONY WRIGHTAdvisorregistration: previous registration
Jun 2, 2010 to Jun 8, 2012factForm ADV
← Nathan Craig StadingAdvisorregistration: previous registration
Oct 14, 2010 to Jun 8, 2012factForm ADV
← JACK DELMAR WHEELERAdvisorregistration: previous registration
Mar 5, 2012 to Jun 8, 2012factForm ADV
← NICHOLAS HENRY KOCHANSKIAdvisorregistration: previous registration
Jul 17, 2008 to Jun 8, 2012factForm ADV
← CHRISTOPHER MICHAEL JAUCHAdvisorregistration: previous registration
Jul 21, 2008 to Jun 8, 2012factForm ADV
← GEOFFREY KYLE NADLERAdvisorregistration: previous registration
Jul 29, 2010 to Jun 8, 2012factForm ADV
← GARY PATRICK GAWRYLESKIAdvisorregistration: previous registration
Jun 8, 2010 to Jun 8, 2012factForm ADV
← DANIEL A MENDOZAAdvisorregistration: previous registration
Sep 8, 2008 to Jun 8, 2012factForm ADV
← DAVID A SAVIDESAdvisorregistration: previous registration
Jul 15, 2010 to Jun 8, 2012factForm ADV
← RYAN WILLIAM DEROSIERAdvisorregistration: previous registration
Feb 21, 2012 to Jun 8, 2012factForm ADV
← DAVID PISARKIEWICZAdvisorregistration: previous registration
Mar 2, 2007 to May 30, 2012factForm ADV
and 25 more

Dated events

No dated event names this entity yet.

Provenance

Graph: RIA / Wealth Management
Canonical id: dfx:ria:8309fa06-31e7-0579-bf46-34aef210baf4
First observed: Mar 13, 2012
Last observed: May 30, 2012 174 months ago
Source families: Federal regulator filings
3 registered feeds stand behind this record; each fact above carries its own dates and, where the publisher serves one, its document.
Resolution: Identity across graphs by shared identifier (CRD, CIK, EIN, ADV fund id, individual CRD) or citation; a name match is shown as a candidate and never merged.

M&I INVESTMENT MANAGEMENT CORP.

CRD 109802

MILWAUKEE, WI

This is the graph view. The full profile, with its team, deals and sources, is on RIA / Wealth Management.Open the full profile →

Search this name across graphsid dfx:ria:8309fa06-31e7-0579-bf46-34aef210baf4

Data as of May 30, 2012 (this record's last observation) from federal regulator filings. Page built Sep 19, 2026, 6:43 AM UTC and rebuilt at most every 15 minutes.

Owner

Title

Ownership code

Control person

Acquired

First seen

Last seen

BANK OF MONTREAL

SOLE SHAREHOLDER OF BMO FINANCIAL CORP.

yes

07/2011

Mar 13, 2012

May 30, 2012

BMO FINANCIAL CORP.

SOLE SHAREHOLDER OF M&I INVESTMENT MANAGEMENT CORP.

yes

07/2011

Mar 13, 2012

May 30, 2012

COSTELLO, ELLEN, MARIE

Director

yes

07/2011

Mar 13, 2012

May 30, 2012

HOSACK, ALLAN, ROBERT

SENIOR VICE PRESIDENT AND CHIEF FINANCIAL OFFICER

yes

09/2008

Mar 13, 2012

May 30, 2012

HUIE, TOMMY, ON

PRESIDENT, CHIEF INVESTMENT OFFICER AND DIRECTOR (01/2005)

yes

10/2004

Mar 13, 2012

May 30, 2012

MCINERNEY, BARRY, SEAN

CHIEF EXECUTIVE OFFICER AND DIRECTOR

yes

07/2011

Mar 13, 2012

May 30, 2012

NEAL, CAROL, ANN

Director

yes

07/2011

Mar 13, 2012

May 30, 2012

ROBINSON, MARTHA, GAYLE

SENIOR VICE PRESIDENT AND GENERAL COUNSEL

yes

01/2009

Mar 13, 2012

May 30, 2012

D'ANGELO, JULIE, ANNE

SECRETARY AND VICE PRESIDENT

04/2010

Mar 13, 2012

May 30, 2012

PALMER, ANGELA, MARIE

CHIEF COMPLIANCE OFFICER & VICE PRESIDENT (01/2007) & ASSISTANT SECRETARY (2010)

06/2006

Mar 13, 2012

May 30, 2012

Related person

Type

Class on the graph

Its RAUM

Control

Common control

State

BMO HARRIS INVESTMENT MANAGEMENT INC.

n/a

Bank affiliated wealth

$40B

yes

n/a

TAPLIN, CANIDA & HABACHT, LLC

n/a

Institutional manager

$11B

yes

n/a

HARRIS MYCFO, LLC

n/a

Bank affiliated wealth

$10.0B

yes

n/a

PYRFORD INTERNATIONAL LTD

n/a

Other adviser

$7.1B

yes

n/a

HARRIS INVESTMENT MANAGEMENT INC

n/a

Other adviser

$6.2B

yes

n/a

BMO HARRIS FINANCIAL ADVISORS, INC

n/a

Former SEC adviser

$5.1B

yes

n/a

SULLIVAN BRUYETTE SPEROS & BLAYNEY INC

n/a

Former SEC adviser

$5.1B

yes

n/a

M&I FINANCIAL ADVISORS, INC.

n/a

Former SEC adviser

$3.8B

yes

n/a

STOKER OSTLER WEALTH ADVISORS, INC.

n/a

Bank affiliated wealth

$3.7B

yes

n/a

LLOYD GEORGE MANAGEMENT (EUROPE) LIMITED

n/a

Former SEC adviser

$2.9B

yes

n/a

BMO CAPITAL MARKETS CORP.

n/a

Former SEC adviser

$1.2B

yes

n/a

LLOYD GEORGE MANAGEMENT HONG KONG LTD

n/a

Former SEC adviser

$1.0B

yes

n/a

HIM MONEGY, INC.

n/a

Former SEC adviser

$765M

yes

n/a

LLOYD GEORGE INVESTMENT MANAGEMENT BERMUDA LTD

n/a

Former SEC adviser

$27.0M

yes

n/a

BANK OF MONTREAL

n/a

yes

n/a

BMO ASSET MANAGEMENT INC

n/a

yes

n/a

BMO CAPITAL MARKETS GKST INC.

n/a

yes

n/a

BMO HARRIS BANK N.A.

n/a

yes

n/a

BMO INVESTMENTS INC

n/a

yes

n/a

BMO LIFE ASSURANCE COMPANY

n/a

yes

n/a

BMO LIFE INSURANCE COMPANY

n/a

yes

n/a

BMO NESBITT BURNS SECURITIES LTD.

n/a

yes

n/a

BMO NESBITT BURNS TRADING CORP. S.A.

n/a

yes

n/a

BMO NESBITT BURNS, INC.

n/a

yes

n/a

BMO TRUST COMPANY

n/a

yes

n/a

LLOYD GEORGE INVESTMENT MANAGEMENT (HONG KONG) LIMITED

n/a

yes

n/a

LLOYD GEORGE MANAGEMENT (SINGAPORE) PTE LIMITED

n/a

yes

n/a

M&I DISTRIBUTORS LLC

n/a

yes

n/a

M&I INSURANCE SERVICES INC.

n/a

yes

n/a

M&I INVESTMENT PARTNERS MANAGEMENT LLC

n/a

yes

n/a

M&I REALTY ADVISORS INC.

n/a

yes

n/a

MARSHALL & ILSLEY TRUST COMPANY N.A.

n/a

yes

NORTH STAR TRUST COMPANY

n/a

yes

n/a

City

State

Country

Employees

Also broker-dealer

Scottsdale

United States

n/a

LOS ANGELES

United States

n/a

BONITA SPRINGS

United States

n/a

Naples

United States

n/a

Sarasota

United States

n/a

Atlanta

United States

n/a

Chicago

United States

n/a

Chicago

United States

n/a

Indianapolis

United States

n/a

Indianapolis

United States

n/a

Leawood

United States

n/a

EDEN PRAIRIE

United States

n/a

Minneapolis

United States

n/a

Wayzata

United States

n/a

DES PERES

United States

n/a

KANSAS CITY

United States

n/a

Appleton

United States

n/a

GREEN BAY

United States

n/a

Madison

United States

n/a

Madison

United States

n/a

Wausau

United States

n/a

Fiscal year

Filed

RAUM

Discretionary

Employees

Advisory staff

Offices

Private funds

Fund GAV

2011

Mar 13, 2012

$22B

n/a

$3.8B

Latest fiscal year

RAUM

A year earlier

1y change

Three years earlier

3y CAGR

Employees

A year earlier

Offices

A year earlier

2011

$22B

n/a