OLD MUTUAL CAPITAL, INC.
Legal name: OLD MUTUAL CAPITAL
CRD #131405 SEC #801-63140 DENVER, CO 720-200-7600
SEC Registered
Total AUM
$2.3B
Discretionary
$2.3B
Employees
11
Clients
--
Accounts
20
Firm Details
- Organization Type
- Corporation
- State of Formation
- Delaware
- Fiscal Year End
- DECEMBER
- Registration Date
- --
- Latest Filing
- Mar 28, 2012
- Branch Offices
- --
Advisory Services
No services reported
Compensation Methods
No compensation methods reported
Ownership
Direct Owners & Executive Officers (Schedule A)
| Name | Type | Title / Status | Ownership | Control |
|---|---|---|---|---|
| APPELSTEIN, MATTHEW, J | I | INVESTMENT COMMITTEE MEMBER | NA | |
| APPELSTEIN, MATTHEW, J | I | INVESTMENT COMMITTEE MEMBER | NA | |
| BLACK, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER AND INVESTMENT COMMITTEE MEMBER | NA | Control |
| BLACK, MARK, EDWARD | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER | NA | Control |
| BLACK, MARK, EDWARD | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| BLACK, MARK, EDWARD | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| BLACK, MARK, EDWARD | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| BLACK, MARK, EDWARD | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| BLACK, MARK, EDWARD | I | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, CHIEF ADMINISTRATIVE OFFICER, TREASURER AND INVESTMENT COMMITTEE MEMBER | NA | Control |
| BLACK, MARK, EDWARD | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| BLACK, MARK, EDWARD | I | SENIOR VICE PRESIDENT, CHIEF FINANCIAL OFFICER | NA | Control |
| BULLOCK, DAVID, JOHN | I | CHIEF EXECUTIVE OFFICER, PRESIDENT, DIRECTOR AND INVESTMENT COMMITTEE MEMBER | NA | Control |
| BURNS, KATHRYN, A | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| BURNS, KATHRYN, A | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| BURNS, KATHRYN, A | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| BURNS, KATHRYN, A | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| BURNS, KATHRYN, A | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| BURNS, KATHRYN, A | I | VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| COOK, JAMES, WALTER | I | TREASURER | NA | |
| DAVIS, WILLIAM, THOMAS | I | SENIOR VICE PRESIDENT,INVESTMENT MANAGEMENT AND INVESTMENT COMMITTEE CHAIRMAN | NA | Control |
| DILLON, BRIAN, CHRISTOPHER | I | CHIEF COMPLIANCE OFFICER | NA | |
| GIBSON, LINDA, TILTON | I | DIRECTOR | NA | Control |
| GIBSON, LINDA, TILTON | I | DIRECTOR | NA | Control |
| GIBSON, LINDA, TILTON | I | DIRECTOR | NA | Control |
| GIBSON, LINDA, TILTON | I | DIRECTOR | NA | Control |
| GIBSON, LINDA, TILTON | I | DIRECTOR | NA | Control |
| GIBSON, LINDA, TILTON | I | DIRECTOR | NA | Control |
| GIBSON, LINDA, TILTON | I | DIRECTOR | NA | Control |
| HUNT, KEVIN, MARTIN | I | DIRECTOR | NA | Control |
| HUNT, KEVIN, MARTIN | I | DIRECTOR | NA | Control |
| HUNT, KEVIN, MARTIN | I | DIRECTOR | NA | Control |
| LUMMANICK, JAMES, FRANK | I | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | |
| LUMMANICK, JAMES, FRANK | I | SENIOR VICE PRESIDENT, CHIEF COMPLIANCE OFFICER | NA | |
| LUMMANICK, JAMES, FRANK | I | SENIOR VICE PRESIDENT AND CHIEF COMPLIANCE OFFICER | NA | |
| MIKOLAICHIK, JAMES, EDWARD | I | DIRECTOR | NA | Control |
| MIKOLAICHIK, JAMES, EDWARD | I | DIRECTOR | NA | Control |
| MIKOLAICHIK, JAMES, EDWARD | I | DIRECTOR | NA | Control |
| MIKOLAICHIK, JAMES, EDWARD | I | DIRECTOR | NA | Control |
| MIKOLAICHIK, JAMES, EDWARD | I | DIRECTOR | NA | Control |
| NAES, KENNETH, ROBERT | I | INVESTMENT COMMITTEE MEMBER | NA | |
| OZOLS, ANDRA, CYNTHIA | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | NA | Control |
| OZOLS, ANDRA, CYNTHIA | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY, CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| OZOLS, ANDRA, CYNTHIA | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY, CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| OZOLS, ANDRA, CYNTHIA | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY, CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| OZOLS, ANDRA, CYNTHIA | I | EXECUTIVE VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | NA | Control |
| OZOLS, ANDRA, CYNTHIA | I | SENIOR VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY, CHIEF ADMINISTRATIVE OFFICER | NA | Control |
| PARKER, BRUCE, GILBERT | I | CHIEF EXECUTIVE OFFICER AND DIRECTOR | NA | Control |
| POWERS, SCOTT, FRANCIS | I | CHAIRMAN AND DIRECTOR | NA | Control |
| POWERS, SCOTT, FRANCIS | I | CHAIRMAN AND DIRECTOR | NA | Control |
| POWERS, SCOTT, FRANCIS | I | CHIEF EXECUTIVE OFFICER, CHAIRMAN AND DIRECTOR | NA | Control |
| ROSE, MICHAEL, WALTER | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ROSE, MICHAEL, WALTER | I | SENIOR VICE PRESIDENT | NA | |
| SANTORO, KATHRYN, LEE | I | VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | NA | Control |
| SANTORO, KATHRYN, LEE | I | VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | NA | Control |
| SANTORO, KATHRYN, LEE | I | VICE PRESIDENT, GENERAL COUNSEL AND SECRETARY | NA | Control |
| SLUYTERS, JULIAN, FERNAND | I | PRESIDENT, CHIEF OPERATING OFFICER | NA | Control |
| SLUYTERS, JULIAN, FERNAND | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN | NA | Control |
| SLUYTERS, JULIAN, FERNAND | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN | NA | Control |
| SLUYTERS, JULIAN, FERNAND | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN | NA | Control |
| SLUYTERS, JULIAN, FERNAND | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN | NA | Control |
| SLUYTERS, JULIAN, FERNAND | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN | NA | Control |
| SLUYTERS, JULIAN, FERNAND | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN | NA | Control |
| SLUYTERS, JULIAN, FERNAND | I | PRESIDENT, CHIEF EXECUTIVE OFFICER, CHAIRMAN | NA | Control |
| TOMNEY, RICHARD, FRANCIS | I | INVESTMENT OFFICER | NA | |
| TURPIN, THOMAS, MOYNIHAN | I | DIRECTOR | NA | Control |
| TURPIN, THOMAS, MOYNIHAN | I | DIRECTOR | NA | Control |
| TURPIN, THOMAS, MOYNIHAN | I | DIRECTOR | NA | Control |
| VOGEL, GEORGE, JOSEPH | I | EXECUTIVE VICE PRESIDENT | NA | Control |
| ZERR, JOHN, MARK | I | GENERAL COUNSEL AND SECRETARY | NA | Control |
| OLD MUTUAL (US) HOLDINGS INC. | DE | 100% SHAREHOLDER OF OLD MUTUAL CAPITAL, INC. | E | Control |
| OLD MUTUAL (US) HOLDINGS INC. | DE | 100% SHAREHOLDER OF OLD MUTUAL CAPITAL, INC. | E | Control |
| OLD MUTUAL (US) HOLDINGS INC. | DE | 100% SHAREHOLDER OF OLD MUTUAL CAPITAL, INC. | E | Control |
| OLD MUTUAL (US) HOLDINGS INC. | DE | 100% SHAREHOLDER OF OLD MUTUAL CAPITAL, INC. | E | Control |
| OLD MUTUAL (US) HOLDINGS INC. | DE | 100% SHAREHOLDER OF OLD MUTUAL CAPITAL, INC. | E | Control |
| OLD MUTUAL (US) HOLDINGS INC. | DE | 100% SHAREHOLDER OF OLD MUTUAL CAPITAL, INC. | E | Control |
| OLD MUTUAL (US) HOLDINGS INC. | DE | 100% SHAREHOLDER OF OLD MUTUAL CAPITAL, INC. | E | Control |
| OLD MUTUAL (US) HOLDINGS INC. | DE | 100% SHAREHOLDER OF OLD MUTUAL CAPITAL, INC. | E | Control |
| OLD MUTUAL (US) HOLDINGS INC. | DE | 100% SHAREHOLDER OF OLD MUTUAL CAPITAL, INC. | E | Control |
| OLD MUTUAL (US) HOLDINGS, INC. | DE | 100% SHAREHOLDER OF OLD MUTUAL CAPITAL, INC. | E | Control |
Indirect Owners (Schedule B)
| Name | Type | Entity | Ownership | Control |
|---|---|---|---|---|
| OLD MUTUAL PLC | FE | OM GROUP (UK) LIMITED | E | Control |
| OLD MUTUAL PLC | FE | OM GROUP (UK) LIMITED | E | Control |
| OLD MUTUAL PLC | FE | OM GROUP (UK) LIMITED | E | Control |
| OLD MUTUAL PLC | FE | OM GROUP (UK) LIMITED | E | Control |
| OLD MUTUAL PLC | FE | OM GROUP (UK) LIMITED | E | Control |
| OLD MUTUAL PLC | FE | OM GROUP (UK) LIMITED | E | Control |
| OLD MUTUAL PLC | FE | OM GROUP (UK) LIMITED | E | Control |
| OLD MUTUAL PLC | FE | OM GROUP (UK) LIMITED | E | Control |
| OLD MUTUAL PLC | FE | OM GROUP (UK) LIMITED | E | Control |
| OLD MUTUAL PLC | FE | OM GROUP (UK) LIMITED | E | Control |
| OM GROUP (UK) LIMITED | FE | OLD MUTUAL (US) HOLDINGS, INC. | E | Control |
| OM GROUP (UK) LIMITED | FE | OLD MUTUAL (US) HOLDINGS, INC. | E | Control |
| OM GROUP (UK) LIMITED | FE | OLD MUTUAL (US) HOLDINGS, INC. | E | Control |
| OM GROUP (UK) LIMITED | FE | OLD MUTUAL (US) HOLDINGS, INC. | E | Control |
| OM GROUP (UK) LIMITED | FE | OLD MUTUAL (US) HOLDINGS, INC. | E | Control |
| OM GROUP (UK) LIMITED | FE | OLD MUTUAL (US) HOLDINGS, INC. | E | Control |
| OM GROUP (UK) LIMITED | FE | OLD MUTUAL (US) HOLDINGS, INC. | E | Control |
| OM GROUP (UK) LIMITED | FE | OLD MUTUAL (US) HOLDINGS, INC. | E | Control |
| OM GROUP (UK) LIMITED | FE | OLD MUTUAL (US) HOLDINGS, INC. | E | Control |
| OM GROUP (UK) LIMITED | FE | OLD MUTUAL (US) HOLDINGS, INC. | E | Control |
Registrations
Federal
IA
Mar 28, 2012 REGISTERED
Notice Filings (2)
CO PA
Address
4643 SOUTH ULSTER STREET7TH FLOOR
DENVER, CO 80237-2853
United States
Phone: 720-200-7600