ICONIQ CAPITAL, LLC
|
|
ICONIQ CAPITAL, LLC
(CRD# 159198)
is an SEC-Registered Investment Advisor (RIA), headquartered in
San Francisco, CA.
The SEC approved the firm to operate as an RIA in
Dec 2011.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$32.7 Billion,
with discretion over
42%
of those assets.
Pooled investment vehicles (Private Funds) account for
51%
of RAUM.
Non-US investors represent
22%
.
|
|
ICONIQ CAPITAL, LLC
files an umbrella registration with the SEC. The firm also reported in
Mar 2019
-
240
employees,
with
74
performing advisory functions.
-
A total of 3 office locations.
-
No registrations with foreign financial regulatory authorities.
-
NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
|
|
ICONIQ CAPITAL, LLC has no disclosure events reported to the SEC at this time.
|
|
|
|
|
|
|
|
|
|
ICONIQ CAPITAL, LLC has Notice Filings with the following State Securities Authorities:
CA-Dec 2011, CT-Mar 2015, FL-Mar 2015, IA-Mar 2012, IL-Apr 20
, MA-Mar 2015, NE-Mar 2015, NJ-Apr 2015, NV-Jun 2014, NY-Dec 2
, TX-Dec 2011, WA-Mar 2014, WI-Mar 2016
|
|
|
|
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.
|
|
|
|
|
|
|
|
