Harris Alternatives L.L.C. (Chicago)


Harris Alternatives L.L.C. is a large advisory firm based in Chicago. It manages $9.05 billion of regulatory assets for 11 client accounts. It has been registered with the SEC as an adviser since 2003 and has operated in the jurisdiction of Illinois.

Harris Alternatives L.L.C provides portfolio management for pooled investment vehicles and pension consulting services. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Harris Alternatives L.L.C: assets under management

The assets under management (AUM) of Harris Alternatives L.L.C. is $9.05 billion, all of which is managed in discretionary accounts. The firm's AUM has grown by 145% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $9.05 billion in discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $822.36 million each.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Harris Alternatives L.L.C. for their services and products based on a percentage of assets under management and performance-based fees. The adviser charges an additional fee when a set benchmark is outperformed. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Careers at Harris Alternatives L.L.C.

Peter Stuart Voss has been acting as President since 1 Jul 2003. John Thomas Hailer joined the executive team most recently as the Director.

Direct owners and executive officers


Name Entity Date acquired Ownership Employer ID
Harris Associates Lp Sole member 1 Dec 2000 75% - 100% 106960
Anita Marie Nagler Chairman, ceo and director 1 Jan 2001 Other 2503631
Roxanne Mary Martino President, chief investment officer and director 1 Jan 2001 Other 1604286
Scott Charles Schweighauser Executive vice president 1 Jan 2001 Other 1618043
Annemarie Morley Controller and treasurer 1 Jul 2002 Other 2538196
Peter Stuart Voss Director 1 Jul 2003 Other 2322527
Gilles Guerin Director 1 Oct 2003 Other 4380154
Inc. Harris Alternatives Holding Sole shareholder 1 Jan 2004 75% - 100% 56-2425504
Stephen Joseph Fleischer Chief compliance officer 1 Apr 2004 Other 4057716
James Harvey Hayes General counsel/chief compliance officer 1 Dec 2004 Other 4890120
Annemarie Morley Chief financial officer and treasurer 1 Jun 2005 Other 2538196
Anne Marie Morley Chief financial officer and treasurer 1 Jun 2005 Other 2538196
Roxanne Mary Martino President, ceo and director 1 Jul 2005 Other 1604286
Scott Charles Schweighauser Chief investment officer and director 1 Jul 2005 Other 1618043
James Harvey Hayes Chief operating officer and general counsel 1 Jul 2005 Other 4890120
Scott Matthew Montpas Chief compliance officer and assoc. general counsel 1 Jul 2005 Other 4995422
Peter Scott Hamet Head of research 1 Sep 2005 Other 3169069
Scott Matthew Montpas General counsel and chief compliance officer 1 Jan 2006 Other 4995422
Anita Rival Rosenberg Director 1 Jan 2006 Other 1412044
Ronald A Rolighed Managing director, business development 1 Jan 2006 Other 5313499
Duncan Borger Ellerton Wilkinson Director 1 Jul 2006 Other 4693961
Jeremiah Harrison Chafkin Director 1 Mar 2007 Other 4029494
John Thomas Hailer Director 1 Feb 2008 Other 1635883

Indirect Owners

The SEC currently registers 51 indirect owners.

Name Entity Date acquired Ownership Employer ID
Harris Associates Inc. General partner 1 Sep 1995 Other 04-3276549
L.P. Cdc Ixis Asset Management North America Limited partner 1 Sep 1995 75% - 100% 04-3398261
Llc Cdc Ixis Asset Management Holdings Sole shareholder 1 Oct 1995 75% - 100% 04-3241308
L.P. Cdc Ixis Asset Management North America Sole shareholder 1 Oct 1995 75% - 100% 04-3398261
Cdc Ixis Asset Management Us Llc General partner 1 Oct 2000 Other 13-4146162
Cdc Ixis Asset Management Us Corporation Limited partner 1 Oct 2000 75% - 100% 13-4146043
Cdc Ixis Asset Management Sole shareholder 1 Oct 2000 75% - 100% foreign entity
Cdc Ixis (Cdc Finance) Shareholder 1 Oct 2000 75% - 100% foreign entity
Caisse Des Depots Et Consignations Shareholder 1 Oct 2000 25% - 50% 13-3759209
Caisse Nationale Des Caisses D'epargne Shareholder 1 Oct 2000 25% - 50% foreign entity
Cdc Ixis Asset Management Us Llc (Cdciamusllc) General partner 1 Oct 2000 Other 13-4146162
Cdc Ixis Asset Management Us Corporation (Cdciam Us) Limited partner 1 Oct 2000 75% - 100% 13-4146043
Cdc Ixis Asset Management (Cdciam) Shareholder (common stock) 1 Oct 2000 75% - 100% foreign entity
Cdc Finance Cdc Ixis (Cdc Ixis) Shareholder 1 Oct 2000 75% - 100% foreign entity
Cdc Finance Cdc Ixis (Cdc Ixis) Shareholder (series a) 1 Oct 2000 75% - 100% foreign entity
Ixis Asset Management Us Llc (Formerly Cdc Ixis Asset Management Us Llc) (Ixis Am Us Llc) General partner 1 Oct 2000 Other 13-4146162
Ixis Asset Management Us Corporation (Formerly Cdc Ixis Asset Management Us Corporation) (Ixis Am Us) Limited partner 1 Oct 2000 75% - 100% 13-4146043
Ixis Asset Management (Formerly Cdc Ixis Asset Management)(Ixis Am) Shareholder (common stock) 1 Oct 2000 75% - 100% foreign entity
Ixis Asset Management Us Llc (Ixis Am Us Llc) General partner 1 Oct 2000 Other 13-4146162
Ixis Asset Management Us Corporation (Ixis Am Us) Limited partner 1 Oct 2000 75% - 100% 13-4146043
Ixis Asset Management (Ixis Am) Shareholder (common stock) 1 Oct 2000 75% - 100% foreign entity
Ixis Asset Management Us Corporation (Ixis Am Us Corp) Limited partner 1 Oct 2000 75% - 100% 13-4146043
Llc (Ngamllc) Natixis Asset Management General partner 1 Oct 2000 Other 13-4146162
Natixis Global Asset Management Corporation (Ngam Corp) Limited partner 1 Oct 2000 75% - 100% 13-4146043
Llc (Ngamllc) Natixis Global Asset Management General partner 1 Oct 2000 Other 13-4146162
Eulia Shareholder 1 Jan 2002 50% - 75% foreign entity
Caisse De Depots Et Consignations Shareholder 1 Jan 2002 50% - 75% 13-3759209
Caisse Des Depots Et Consignations (Cdc) Shareholder 1 Jan 2002 25% - 50% 13-3759209
Cdc Holding Finance Shareholder 1 Jan 2002 25% - 50% foreign entity
Caisse Nationale Des Caisses D'epargne (Cnce) Shareholder 1 Oct 2002 75% - 100% foreign entity
L.P. Cdc Ixis Asset Management North America Shareholder 1 Jan 2004 75% - 100% 04-3398261
Lp (Cdciamna) Cdc Ixis Asset Management North America Shareholder 1 Jan 2004 75% - 100% 04-3398261
L.P. (Formerly Cdc Ixis Asset Management North America L.P.) (Ixis Amna) Ixis Asset Management North America Shareholder 1 Jan 2004 75% - 100% 04-3398261
L.P. (Ixis Amna) Ixis Asset Management North America Shareholder 1 Jan 2004 75% - 100% 04-3398261
L.P. (Ixis Amna) Ixis Asset Management Us Group Shareholder 1 Jan 2004 75% - 100% 04-3398261
L.P. (Ixis Amna Usg) Ixis Asset Management Us Group Shareholder 1 Jan 2004 75% - 100% 04-3398261
L.P. (Ngamlp) Natixis Global Asset Management Shareholder 1 Jan 2004 75% - 100% 04-3398261
Caisse Nationale Des Caisses D'epargne (Cnce) Shareholder 1 Jun 2004 75% - 100% foreign entity
Cdc Finance Cdc Ixis (Cdc Ixis) Shareholder 1 Aug 2004 75% - 100% foreign entity
Ixis Asset Management Group (Ixis Am Group) Shareholder 1 Aug 2004 75% - 100% foreign entity
Natixis Global Asset Management (Ngam) Shareholder 1 Aug 2004 75% - 100% foreign entity
Caisse Nationale Des Caisses D'epargne (Cnce) Shareholder 1 Dec 2004 50% - 75% foreign entity
Ixis Asset Management Participations 1 (Ixis Amp1) Shareholder (common stock) 1 Jun 2005 75% - 100% foreign entity
Natixis Global Asset Management Participations 1 (Ngamp1) Shareholder (common stock) 1 Jun 2005 75% - 100% foreign entity
Ixis Asset Management Group Shareholder (series a preferred stock) 1 Sep 2006 75% - 100% foreign entity
Natixis Global Asset Management (Ngam) Shareholder (series a preferred stock) 1 Sep 2006 75% - 100% foreign entity
Caisse Nationale Des Caisses D'epargne (Cnce) Shareholder 1 Nov 2006 25% - 50% foreign entity
Banque Federale Des Banques Populaires Shareholder 1 Nov 2006 25% - 50% foreign entity
Natixis Shareholder 1 Nov 2006 75% - 100% foreign entity
Nxbp 1 Shareholder 1 Jun 2007 75% - 100% foreign entity
Natixis Participations 1 Shareholder 1 Jun 2007 75% - 100% foreign entity

Based in Chicago

The principal office where Harris Alternatives L.L.C. performs its advisory services is located at 300 N. Lasalle, Chicago, IL 60654, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 312-762-6700 or by fax 866-605-2191. The normal business hours are 8:30-5:00 on Monday - Friday. You can find more information about the New York firm at www.harrisalternatives.com.

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