RESEARCH AFFILIATES
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RESEARCH AFFILIATES
(CRD# 120440)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Newport Beach, CA.
The SEC approved the firm to operate as an RIA in
May 2002.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$37.0 Billion,
with discretion over
27%
of those assets.
Pooled investment vehicles (Private Funds) account for
7%
of RAUM.
Non-US investors represent
2%
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RESEARCH AFFILIATES
also reported in
Mar 2019
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84
employees,
with
40
performing advisory functions.
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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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RESEARCH AFFILIATES has no disclosure events reported to the SEC at this time.
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RESEARCH AFFILIATES has Notice Filings with the following State Securities Authorities:
CA-May 2002, PA-Mar 2018, TX-Mar 2018, VA-Mar 2018
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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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