RATHBONES
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RATHBONES
(CRD# 124925)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Liverpool, United Kingdom.
The SEC approved the firm to operate as an RIA in
Nov 2005.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$39.8 Billion,
with discretion over
93%
of those assets.
 
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
 
Non-US investors represent
99%
.  
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RATHBONES
also reported in
Mar 2019
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803
employees,
with
317
performing advisory functions.
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A total of 14 office locations.
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Registration with one or more 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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RATHBONES has no disclosure events reported to the SEC at this time.
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RATHBONES has Notice Filings with the following State Securities Authorities:
CA-Mar 2012, CO-Mar 2018, CT-Mar 2012, DC-Mar 2012, FL-
, GA-Mar 2018, MA-Mar 2012, MD-Mar 2012, MN-Mar 2018, NC-<
, NJ-Apr 2012, NY-Mar 2012, OH-Mar 2012, PA-Mar 2012, TX-<
, VA-Mar 2015, WA-Mar 2012
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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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