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BMO CAPITAL MARKETS CORP.

NEW YORK, NY · CRD 16686 · IAPD ↗ · bmocm.com · (212) 605-1504

$1.21BRegulatory AUM
26Advisory reps
1275Employees
117Clients
0Planning clients
0Private funds
7States
37Disclosures
institutionalSegment
ApprovedSEC status

Filing changes

55
December 2025 — BMO CAPITAL MARKETS CORP. (NEW YORK, NY) left the SEC roster (was $1.21B RAUM, 26 reps).
Firm dropped off the SEC roster: closed, merged, fell below $100M and moved to state registration, or a 120-day provisional registration lapsed.
Recruiting & transitionsM&A & valuation
75
April 2025 — BMO CAPITAL MARKETS CORP. crossed $1B in regulatory AUM ($796.4M -> $1.21B).
Regulatory AUM crossed $1B. Large-adviser status changes what they need and can afford.
Portfolio / reporting / TAMPCustodianComplianceIntegration & migration consulting
43
February 2025 — BMO CAPITAL MARKETS CORP.'s Item 11 disclosure-reporting entries rose by 3 (34 -> 37).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
43
October 2024 — BMO CAPITAL MARKETS CORP.'s Item 11 disclosure-reporting entries rose by 3 (31 -> 34).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
43
June 2024 — BMO CAPITAL MARKETS CORP.'s Item 11 disclosure-reporting entries rose by 1 (30 -> 31).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand
35
April 2024 — BMO CAPITAL MARKETS CORP. notice-filed in CT.
Notice-filed in new state(s): the firm is taking clients somewhere new.
ComplianceMarketing & brand
54
April 2024 — BMO CAPITAL MARKETS CORP. reported RAUM up 31% ($607.8M -> $796.4M).
Regulatory AUM up >=25% since last filing.
Portfolio / reporting / TAMPCRMFinancial planning software
43
March 2024 — BMO CAPITAL MARKETS CORP.'s Item 11 disclosure-reporting entries rose by 1 (52 -> 53).
Count of Item 11 disclosure-reporting entries increased (regulatory, civil, or criminal history of the firm or its affiliates/supervised persons).
ComplianceMarketing & brand

Data: SEC Form ADV monthly roster (public). Confirm on IAPD before acting.