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AMERICAN RESEARCH & MANAGEMENT CO
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AMERICAN RESEARCH & MANAGEMENT CO
(CRD# 6080)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Marion, MA.
The SEC approved the firm to operate as an RIA in
Dec 1979.
In
Mar 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$425.1 Million,
and has discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
2%
.
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AMERICAN RESEARCH & MANAGEMENT CO
also reported in
Mar 2018:
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7
employees,
all of whom perform advisory functions.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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AMERICAN RESEARCH & MANAGEMENT CO has no disclosure events reported to the SEC at this time.
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AMERICAN RESEARCH & MANAGEMENT CO has Notice Filings with the following State Securities Authorities:
CA-Feb 2004, CO-Mar 2011, CT-Sep 1997, FL-Jan 2008, MA-Nov 2010
, MD-Nov 2010, ME-Nov 2010, MI-Jan 2006, MT-Feb 2003, NH-Feb 2003
, NJ-Jan 2008, NM-Jun 2006, NY-Jan 2008, OH-Jan 2006, PA-May 2002
, RI-Jun 2001, TX-Mar 2011, VA-May 2002, VT-Aug 2006, WA-Feb 2003
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Disclaimer:
The information presented above was gleaned from the SEC
website and is believed to be accurate.
FindingFraud.org is presenting this data for
informational purposes only and assumes no
responsibility for errors or omissions. Please
note that we are aware of many instances where RIAs
provided erroneous data to the SEC. Feel Free to
contact FindingFraud.org with questions or concerns.
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