RIA Intelligence

STEIN ROE & FARNHAM INC

Legal name: STEIN ROE & FARNHAM INCORPORATED

CRD #105847 SEC #801-27653 CHICAGO, IL 312-368-7700
SEC Registered
Total AUM
$16.7B
Discretionary
$16.3B
Employees
51
Clients
--
Accounts
2,427

Firm Details

Organization Type
Corporation
State of Formation
--
Fiscal Year End
DECEMBER
Registration Date
--
Latest Filing
Mar 28, 2002
Branch Offices
--

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

NameTypeTitle / StatusOwnershipControl
ANDREWS, WILLIAM, DOUGLASIEXECUTIVE VICE PRESIDENTNA Control
BANKS, KEITH, THOMASIPRESIDENT, CEO, CHIEF INVESTMENT OFFICER, CHAIRMAN AND DIRECTORNA Control
BEGLEY, LINDAISENIOR VICE PRESIDENT AND COMPLIANCE OFFICERNA
BOATMAN, BONNY, EUGENIAIEXECUTIVE VICE PRESIDENTNA Control
HIRSCHHORN, HARVEY, BERNARDIEXECUTIVE VICE PRESIDENTNA Control
IUDICE, PHILIP, JOHNITREASURERNA
LOEWENBERG, JEAN, SUSANISECRETARYNA Control
PALOMBO, JOSEPH, ROBERTIEXECUTIVE VICE PRESIDENT, CHIEF OPERATING OFFICER AND DIRECTORNA Control
SAYLER, ROGER, AIDIRECTOR AND EXECUTIVE VICE PRESIDENTNA Control
LIBERTY FUNDS GROUP LLCDESOLE SHAREHOLDER OF STEIN ROE & FARNHAM INCORPORATEDE Control

Indirect Owners (Schedule B)

NameTypeEntityOwnershipControl
COLUMBIA MANAGEMENT GROUP, INC.DELIBERTY FUNDS GROUP LLCE Control
FLEET NATIONAL BANKDECOLUMBIA MANAGEMENT GROUP, INC.E Control
FLEETBOSTON FINANCIAL CORPORATIONDEFLEET NATIONAL BANKE Control

Registrations

Federal

IA
Mar 28, 2002 REGISTERED

Notice Filings (49)

AK AL AR AZ CA CO CT DC DE FL GA HI IA ID IL IN KS KY LA MA MD ME MI MN MO MS MT NC ND NE NH NJ NM NV NY OH OK PA PR RI SC SD TN TX UT VT WA WI WV

Address

ONE SOUTH WACKER DRIVE
SUITE 3500
CHICAGO, IL 60606
USA
Phone: 312-368-7700