DUFF & PHELPS INVESTMENT MANAGEMENT CO.
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DUFF & PHELPS INVESTMENT MANAGEMENT CO.
(CRD# 107296)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Chicago, IL.
The SEC approved the firm to operate as an RIA in
Jul 1979.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$9.0 Billion,
with discretion over
99%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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DUFF & PHELPS INVESTMENT MANAGEMENT CO.
also reported in
Mar 2019
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54
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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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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DUFF & PHELPS INVESTMENT MANAGEMENT CO. has no disclosure events reported to the SEC at this time.
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DUFF & PHELPS INVESTMENT MANAGEMENT CO. has Notice Filings with the following State Securities Authorities: AK-Sep 2016, AL-Sep 2016, AR-Sep 2016, AZ-Sep 2016, CA-May 2011
, CO-Sep 2016, CT-Jul 1997, DC-Sep 2016, DE-Sep 2016, FL-Mar 2004
, GA-Sep 2016, HI-Sep 2016, IA-Sep 2016, ID-Sep 2016, IL-Oct 1983
, IN-Sep 2016, KS-Sep 2016, KY-Sep 2016, LA-Feb 2001, MA-Sep 2016
, MD-Sep 2016, ME-Sep 2016, MI-Sep 2016, MN-Sep 2016, MO-Mar 2010
, MS-Sep 2016, MT-Sep 2016, NC-Feb 2001, ND-Sep 2016, NE-Sep 2016
, NH-Sep 2016, NJ-Apr 2016, NM-Sep 2016, NV-Sep 2016, NY-Mar 2016
, OH-Feb 2001, OK-Sep 2016, OR-Sep 2016, PA-Oct 1992, PR-Sep 2016
, RI-Sep 2016, SC-Sep 2016, SD-Sep 2016, TN-Sep 2016, TX-Aug 1983
, UT-Sep 2016, VA-Sep 2016, VI-Sep 2016, VT-Sep 2016, WA-Sep 2016
, WI-Sep 2016, WV-Sep 2016, WY-Mar 2018
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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
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