ARIEL INVESTMENTS, LLC
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ARIEL INVESTMENTS, LLC
(CRD# 108211)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Chicago, IL.
The SEC approved the firm to operate as an RIA in
Apr 1983.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$11.6 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
2%
of RAUM.
Non-US investors represent
7%
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ARIEL INVESTMENTS, LLC
also reported in
Mar 2019
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79
employees,
with
23
performing advisory functions.
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A total of 3 office locations.
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No registrations with foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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ARIEL INVESTMENTS, LLC has no disclosure events reported to the SEC at this time.
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ARIEL INVESTMENTS, LLC has Notice Filings with the following State Securities Authorities: AK-Aug 2001, AL-Aug 2001, AR-Aug 2001, AZ-Aug 2001, CA-Aug 20
, CO-Aug 2001, CT-Aug 2001, DC-Aug 2001, DE-Aug 2003, FL-Sep 2
, GA-Aug 2001, HI-Aug 2001, IA-Sep 2001, ID-Aug 2001, IL-Jul 1
, IN-Aug 2001, KS-Aug 2001, KY-Aug 2001, LA-Aug 2001, MA-Aug 2
, MD-Aug 2001, ME-Aug 2001, MI-Aug 2001, MN-Sep 2001, MO-Aug 2
, MS-Aug 2001, MT-Aug 2001, NC-Aug 2001, ND-Sep 2001, NE-Aug 2
, NH-Aug 2001, NJ-Oct 2001, NM-Sep 2001, NV-Aug 2001, NY-Oct 2
, OH-Aug 2001, OK-Oct 2001, OR-Sep 2001, PA-Aug 2001, PR-Aug 2
, RI-Aug 2001, SC-Aug 2001, SD-Sep 2001, TN-Oct 2001, TX-Jun 1
, UT-Aug 2001, VA-Aug 2001, VT-Aug 2001, WA-Aug 2001, WI-Aug 2
, WV-Sep 2001, WY-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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