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ARIEL INVESTMENTS, LLC
ARIEL INVESTMENTS, LLC (CRD# 108211) is an SEC-Registered Investment Advisor (RIA), headquartered in Chicago, IL. The SEC approved the firm to operate as an RIA in Apr 1983. In Mar 2018, the firm reported total Regulatory Assets Under Management (RAUM) of $13.1 Billion, and has discretion over 100% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 8% .  
 
ARIEL INVESTMENTS, LLC also reported in Mar 2018:
  • 70 employees, with 19 performing advisory functions.
  • A total of 3 office locations.
  • No registrations with foreign financial regulatory authorities.
  • Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
ARIEL INVESTMENTS, LLC has no disclosure events reported to the SEC at this time.
 

View ARIEL INVESTMENTS, LLC's most recent Form ADV filing
 


ARIEL INVESTMENTS, LLC has Notice Filings with the following State Securities Authorities: AK-Aug 2001, AL-Aug 2001, AR-Aug 2001, AZ-Aug 2001, CA-Aug 2001 , CO-Aug 2001, CT-Aug 2001, DC-Aug 2001, DE-Aug 2003, FL-Sep 2001 , GA-Aug 2001, HI-Aug 2001, IA-Sep 2001, ID-Aug 2001, IL-Jul 1984 , IN-Aug 2001, KS-Aug 2001, KY-Aug 2001, LA-Aug 2001, MA-Aug 2001 , MD-Aug 2001, ME-Aug 2001, MI-Aug 2001, MN-Sep 2001, MO-Aug 2001 , MS-Aug 2001, MT-Aug 2001, NC-Aug 2001, ND-Sep 2001, NE-Aug 2001 , NH-Aug 2001, NJ-Oct 2001, NM-Sep 2001, NV-Aug 2001, NY-Oct 2001 , OH-Aug 2001, OK-Oct 2001, OR-Sep 2001, PA-Aug 2001, PR-Aug 2001 , RI-Aug 2001, SC-Aug 2001, SD-Sep 2001, TN-Oct 2001, TX-Jun 1993 , UT-Aug 2001, VA-Aug 2001, VT-Aug 2001, WA-Aug 2001, WI-Aug 2001 , WV-Sep 2001, WY-Mar 2018

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.