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AWM GLOBAL ADVISORS
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AWM GLOBAL ADVISORS
(CRD# 159094)
is an SEC-Registered Investment Advisor (RIA), headquartered in
San Diego, CA.
The SEC approved the firm to operate as an RIA in
Oct 2011.
In
Apr 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$146.1 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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AWM GLOBAL ADVISORS
also reported in
Apr 2018:
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7
employees,
with
4
performing 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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AWM GLOBAL ADVISORS has no disclosure events reported to the SEC at this time.
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AWM GLOBAL ADVISORS has Notice Filings with the following State Securities Authorities:
CA-Nov 2011, TX-Nov 2011
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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
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contact FindingFraud.org with questions or concerns.
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