CWM, LLC
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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%
.
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CWM, LLC
also reported in
Mar 2019
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309
employees,
with
222
performing advisory functions.
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A total of 108 office locations.
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No registrations with 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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CWM, LLC has no disclosure events reported to the SEC at this time.
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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
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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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