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CWM, LLC
CWM, LLC (CRD# 155344) is an SEC-Registered Investment Advisor (RIA), headquartered in Omaha, NE. The SEC approved the firm to operate as an RIA in Jan 2011. In Mar 2019, the firm reported total Regulatory Assets Under Management (RAUM) of $7.5 Billion, with discretion over 100% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 0% .  
 
CWM, LLC also reported in Mar 2019
  • 309 employees, with 222 performing advisory functions.
  • A total of 108 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
CWM, LLC has no disclosure events reported to the SEC at this time.
 

View CWM, LLC's most recent Form ADV filing
 irban42



CWM, LLC has Notice Filings with the following State Securities Authorities: AK-Jan 2012, AL-Jan 2012, AR-Jan 2012, AZ-Jan 2012, CA- CO-Jan 2012, CT-Jan 2012, DC-Jan 2012, DE-Jan 2012, FL-< , GA-Jan 2012, HI-Jan 2012, IA-Jan 2012, ID-Jan 2012, IL-< , IN-Jan 2012, KS-Jan 2012, KY-Jan 2012, LA-Jan 2012, MA-< , MD-Jan 2012, ME-Jan 2012, MI-Jan 2012, MN-Jan 2012, MO-< , MS-Jan 2012, MT-Jan 2012, NC-Jan 2012, ND-Jan 2012, NE-< , NH-Jan 2012, NJ-Feb 2012, NM-Jan 2012, NV-Jan 2012, NY-< , OH-Jan 2012, OK-Jan 2012, OR-Jan 2012, PA-Jan 2012, PR-< , RI-Jan 2012, SC-Jan 2012, SD-Jan 2012, TN-Jan 2012, TX-< , UT-Jan 2012, VA-Jan 2012, VT-Jan 2012, WA-Jan 2012, WI-< , WV-Jan 2012, WY-Aug 2017


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.


irban43
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irban43


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