FIRST QUADRANT
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FIRST QUADRANT
(CRD# 106698)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Pasadena, CA.
The SEC approved the firm to operate as an RIA in
Mar 1996.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$20.1 Billion,
with discretion over
98%
of those assets.
Pooled investment vehicles (Private Funds) account for
14%
of RAUM.
Non-US investors represent
40%
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FIRST QUADRANT
also reported in
Mar 2019
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84
employees,
with
30
performing advisory functions.
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A total of 2 office locations.
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Registration with one or more foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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FIRST QUADRANT has one or more disclosure events currently on file with the SEC.
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FIRST QUADRANT has Notice Filings with the following State Securities Authorities: CA-Mar 1996, MA-Mar 2012
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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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