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CRD 106466
CHICAGO, IL
Data as of (this record's last observation) from federal regulator filings. Page built and rebuilt at most every 15 minutes.
| Advisor | Designations | Branch | Years here | In industry | Prior firms | Dual registered |
|---|---|---|---|---|---|---|
| DEAN ALLAN FOLIAS | n/a | CHICAGO, IL | 5 | 27 | 5 | yes |
| Fund | Type | Reported GAV | As of | Owners | First reported | Status | Form D file |
|---|---|---|---|---|---|---|---|
| BMO SECURITIES LENDING FUND, LLC | Liquidity Fund | $2.7B | Jul 25, 2017 | 26 | Mar 13, 2012 | dropped | n/a |
| SECURITIES LENDING FUND LLC | Liquidity Fund | $1.8B | Nov 18, 2021 | 30 | Mar 30, 2020 | dropped | n/a |
| GREAT LAKES CLO VI, LLC | Securitized Asset Fund | $387M | Nov 8, 2024 | 15 | Mar 31, 2022 | reported | n/a |
| GREAT LAKES CLO 2014-1 LTD. | Securitized Asset Fund | $352M | Jul 25, 2017 | 0 | Mar 31, 2015 | dropped | n/a |
| GREAT LAKES 2019-1 CLO | Securitized Asset Fund | $329M | Nov 8, 2024 | 15 | Mar 30, 2020 | reported | n/a |
| GREAT LAKES CLO 2012-1 LTD. | Securitized Asset Fund | $328M | Jul 25, 2017 | 0 | Apr 29, 2013 | dropped | n/a |
| GREAT LAKES CLO V, LTD | Securitized Asset Fund | $303M | Nov 8, 2024 | 15 | Mar 31, 2022 | reported | n/a |
| GREAT LAKES CLO 2015-1 LTD. | Securitized Asset Fund | $300M | Jul 25, 2017 | 0 | Mar 28, 2016 | dropped | n/a |
| GREAT LAKES KOREA FUND III, LLC | Other Private Fund | $243M | Nov 8, 2024 | 3 | Mar 31, 2022 | reported | 021-1903931 |
| GREAT LAKES 2015-1 | Securitized Asset Fund | $212M | Nov 8, 2024 | 15 | Mar 30, 2020 | reported | n/a |
| GREAT LAKES 2014-1 CLO | Securitized Asset Fund | $190M | Nov 8, 2024 | 15 | Mar 30, 2020 | reported | n/a |
| GREAT LAKES FUND II, LLC | Other Private Fund | $123M | Nov 8, 2024 | 2 | Mar 29, 2021 | reported | 021-1807481 |
| CORE PLUS FIXED INCOME, LLC | Other Private Fund | $85.7M | Nov 18, 2021 | 2 | Mar 30, 2020 | dropped | n/a |
| CORE FIXED INCOME, LLC | Other Private Fund | $50.0M | Nov 18, 2021 | 5 | Mar 30, 2020 | dropped | 021-337168 |
| REAL ASSETS ACCESS FUND | Hedge Fund | $40.8M | Aug 30, 2018 | 36 | Feb 5, 2013 | dropped | 021-182889 |
| GLOBAL LOW VOLATILITY EQUITY FUND LLC | Other Private Fund | $32.1M | Jan 5, 2021 | 5 | Mar 31, 2017 | dropped | 021-270858 |
| SECURITIES LENDING FUND II, LLC | Liquidity Fund | $28.3M | Nov 18, 2021 | 3 | Mar 30, 2020 | dropped | n/a |
| ROYALTY INVESTMENT FUND LP | Other Private Fund | $23.9M | Mar 28, 2016 | 53 | Mar 13, 2012 | dropped | 021-161691 |
| SHORT TERM BOND LLC | Other Private Fund | $10.4M | Nov 18, 2021 | 1 | Mar 30, 2020 | dropped | 021-350625 |
| DISCIPLINED LARGE CAP GROWTH EQUITY, LLC | Other Private Fund | $7.9M | Nov 18, 2021 | 1 | Mar 30, 2020 | dropped | 021-337170 |
| DIVERSIFIED REAL ESTATE INCOME FUND LP | Real Estate Fund | $3.8M | Oct 30, 2019 | 9 | Mar 13, 2012 | dropped | 021-161693 |
| RESPONSIBLE EMERGING MARKETS EQUITY ESG FUND LLC | Other Private Fund | $457,831 | Nov 8, 2024 | 2 | Mar 30, 2020 | reported | 021-288419 |
| M&I TAX-EXEMPT MULTI-STRATEGY FUND, LP | Hedge Fund | $210,726 | Jan 22, 2015 | 14 | Mar 13, 2012 | dropped | 021-113061 |
| M&I MULTI-STRATEGY FUND, LP | Hedge Fund | $187,103 | Jan 22, 2015 | 28 | Mar 13, 2012 | dropped | 021-99584 |
| INVESTMENT PARTNERS FUND III. LP | Private Equity Fund | $176,116 | Feb 17, 2023 | 16 | Mar 13, 2012 | dropped | 021-140825 |
| Owner | Title | Ownership code | Control person | Acquired | First seen | Last seen |
|---|---|---|---|---|---|---|
| BANK OF MONTREAL | Shareholder | E | yes | 09/1989 | Mar 29, 2012 | Nov 8, 2024 |
| BMO FINANCIAL CORP. | SOLE SHAREHOLDER OF BMO ASSET MANAGEMENT CORP. | E | yes | 09/1989 | Mar 29, 2012 | Nov 8, 2024 |
| Cervera, Janie, Marie | Director | Na | yes | 01/2023 | Mar 27, 2023 | Nov 8, 2024 |
| Duff, James, Patrick | Director | Na | yes | 01/2023 | Mar 27, 2023 | Nov 8, 2024 |
| FOLIAS, DEAN, ALLAN | CHIEF COMPLIANCE OFFICER | Na | yes | 01/2023 | Jan 10, 2023 | Nov 8, 2024 |
| Lace, George, Patrick | CHIEF FINANCIAL OFFICER | Na | yes | 11/2023 | Mar 31, 2022 | Nov 8, 2024 |
| MIRANDA, MICHAEL, ARTHUR | PRESIDENT AND CHAIR | Na | yes | 03/2022 | Mar 31, 2022 | Nov 8, 2024 |
| Weitzman, Patricia, Beth | Director | Na | yes | 10/2023 | Nov 17, 2023 | Nov 8, 2024 |
| Related person | Type | Class on the graph | Its RAUM | Control | Common control | State |
|---|---|---|---|---|---|---|
| BMO FAMILY OFFICE, LLC | n/a | Bank affiliated wealth | $10.0B | N | yes | n/a |
| STOKER OSTLER WEALTH ADVISORS, INC. | n/a | Bank affiliated wealth | $3.7B | N | yes | n/a |
| BMO CAPITAL MARKETS CORP. | n/a | Former SEC adviser | $1.2B | N | yes | n/a |
| BANK OF MONTREAL | n/a | n/a | n/a | Y | yes | n/a |
| BMO BANK N.A. | n/a | n/a | n/a | N | yes | n/a |
| BMO DELAWARE TRUST COMPANY | n/a | n/a | n/a | N | yes | n/a |
| BMO FINANCIAL CORPORATION | n/a | n/a | n/a | Y | yes | n/a |
| BMO NESBITT BURNS SECURITIES LTD. | n/a | n/a | n/a | N | yes | n/a |
| Fiscal year | Filed | RAUM | Discretionary | Employees | Advisory staff | Offices | Private funds | Fund GAV |
|---|---|---|---|---|---|---|---|---|
| 2025 | Apr 24, 2026 | $6.2B | $6.2B | 5 | 4 | 0 | 16 | n/a |
| 2024 | Mar 31, 2025 | $5.2B | $5.2B | 4 | 3 | 0 | 10 | n/a |
| 2023 | Mar 28, 2024 | $4.2B | $4.2B | 5 | 4 | 0 | 9 | $1.8B |
| 2022 | Mar 27, 2023 | $4.7B | $4.7B | 5 | 3 | 1 | 5 | $1.6B |
| 2021 | Mar 31, 2022 | $4.3B | $4.3B | 5 | 3 | 1 | 9 | $2.0B |
| 2020 | Mar 29, 2021 | $35B | $35B | 140 | 50 | 1 | 20 | $4.7B |
| 2019 | Mar 30, 2020 | $38B | $38B | 136 | 49 | 1 | 20 | $4.7B |
| 2018 | Mar 29, 2019 | $37B | $37B | 132 | 38 | 1 | 8 | $1.3B |
| 2017 | Mar 30, 2018 | $38B | $38B | 122 | 36 | 1 | 9 | $1.2B |
| 2016 | Mar 31, 2017 | $40B | $34B | 125 | 35 | n/a | 13 | $5.0B |
| 2015 | Mar 28, 2016 | $42B | $36B | 199 | 78 | n/a | 13 | $5.5B |
| 2014 | Mar 31, 2015 | $42B | $36B | 208 | 81 | n/a | 11 | $4.8B |
| 2013 | Mar 31, 2014 | $34B | $34B | 204 | 82 | n/a | 8 | $3.3B |
| 2012 | Apr 1, 2013 | $33B | $32B | 203 | 96 | n/a | 7 | $3.1B |
| 2011 | Mar 29, 2012 | $14B | $12B | n/a | n/a | n/a | n/a | n/a |
| Joined, 12m | Left, 12m | Net, 12m | Departure rate, 12m | Joined, 90d | Left, 90d | Left, no destination yet | Joined, 36m | Left, 36m |
|---|---|---|---|---|---|---|---|---|
| 0 | 0 | 0 | 0.0% | 0 | 0 | 0 | 0 | 1 |
| Latest fiscal year | RAUM | A year earlier | 1y change | Three years earlier | 3y CAGR | Employees | A year earlier | Offices | A year earlier |
|---|---|---|---|---|---|---|---|---|---|
| 2025 | $6.2B | $5.2B | 19.1% | $4.7B | 9.2% | 5 | 4 | 0 | 0 |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| BMO HARRIS FINANCIAL ADVISORS, INC | 2 | Dec 31, 2020 | Feb 10, 2020 | CHICAGO, IL | Channel change | Other | 16.7% |
| CRESCENT GROVE ADVISORS | 8 | May 7, 2015 | Jan 1, 2025 | CHICAGO, IL | Team lift out | Other | 42.1% |
| Other firm | Advisors | First left | Last joined | From | Kind | Move type | Share of firm |
|---|---|---|---|---|---|---|---|
| BMO HARRIS FINANCIAL ADVISORS, INC | 2 | Feb 5, 2015 | Nov 2, 2015 | MILWAUKEE, WI | Channel change | Other | 1.1% |