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BAMCO, INC.
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BAMCO, INC.
(CRD# 110789)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Mar 1987.
In
May 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$25.6 Billion,
and has discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
1%
of RAUM.
Non-US investors represent
1%
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BAMCO, INC.
also reported in
May 2018:
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149
employees,
with
36
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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BAMCO, INC. has no disclosure events reported to the SEC at this time.
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BAMCO, INC. has Notice Filings with the following State Securities Authorities:
DE-Jun 2007, MA-May 2012, NY-Jul 2002
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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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