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B. RILEY ASSET MANAGEMENT
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B. RILEY ASSET MANAGEMENT
(CRD# 160510)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Los Angeles, CA.
The SEC approved the firm to operate as an RIA in
Mar 2012.
In
Apr 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$786.0 Million,
and has discretion over
74%
of those assets.
Pooled investment vehicles (Private Funds) account for
31%
of RAUM.
Non-US investors represent
0%
.
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B. RILEY ASSET MANAGEMENT
also reported in
Apr 2018:
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31
employees,
with
23
performing advisory functions.
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A total of 5 office locations.
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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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B. RILEY ASSET MANAGEMENT has no disclosure events reported to the SEC at this time.
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B. RILEY ASSET MANAGEMENT has Notice Filings with the following State Securities Authorities:
CA-Dec 2014, CO-Mar 2017, CT-Jul 2015, FL-Dec 2014, GA-Mar 2017
, IL-Jun 2017, IN-Mar 2017, MA-Mar 2017, MD-Mar 2017, MN-Mar 2016
, NJ-Dec 2014, NY-Mar 2012, OH-Mar 2017, OR-Mar 2017, PA-Mar 2017
, SD-Apr 2018, TN-Mar 2017, TX-Mar 2016, WA-Apr 2013
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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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