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ADVENT CAPITAL MANAGEMENT, LLC
ADVENT CAPITAL MANAGEMENT, LLC (CRD# 113013) is an SEC-Registered Investment Advisor (RIA), headquartered in New York, NY. The SEC approved the firm to operate as an RIA in May 2001. In Mar 2019, the firm reported total Regulatory Assets Under Management (RAUM) of $8.6 Billion, with discretion over 100% of those assets.   Pooled investment vehicles (Private Funds) account for 4% of RAUM.   Non-US investors represent 22% .  
 
ADVENT CAPITAL MANAGEMENT, LLC also reported in Mar 2019
  • 53 employees, with 17 performing advisory functions.
  • One office location.
  • No registrations with foreign financial regulatory authorities.
  • Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
ADVENT CAPITAL MANAGEMENT, LLC has one or more disclosure events currently on file with the SEC.
 

View ADVENT CAPITAL MANAGEMENT, LLC's most recent Form ADV filing
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ADVENT CAPITAL MANAGEMENT, LLC has Notice Filings with the following State Securities Authorities: CA-Feb 2015, FL-Feb 2015, NY-Feb 2015, TX-Feb 2015


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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