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AXA ROSENBERG INVESTMENT MANAGEMENT LLC
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AXA ROSENBERG INVESTMENT MANAGEMENT LLC
(CRD# 109077)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Orinda, CA.
The SEC approved the firm to operate as an RIA in
Dec 1998.
In
Jul 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$22.5 Billion,
and has discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
99%
.
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AXA ROSENBERG INVESTMENT MANAGEMENT LLC
also reported in
Jul 2018:
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118
employees,
with
50
performing advisory functions.
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No registrations with foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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AXA ROSENBERG INVESTMENT MANAGEMENT LLC has one or more disclosure events currently on file with the SEC.
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AXA ROSENBERG INVESTMENT MANAGEMENT LLC has Notice Filings with the following State Securities Authorities:
CA-Feb 1999
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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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