GAMCO ASSET MANAGEMENT INC.
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GAMCO ASSET MANAGEMENT INC.
(CRD# 104950)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Rye, NY.
The SEC approved the firm to operate as an RIA in
Sep 1978.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$13.0 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
1%
of RAUM.
Non-US investors represent
1%
.
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GAMCO ASSET MANAGEMENT INC.
also reported in
Mar 2019
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77
employees,
with
17
performing advisory functions.
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A total of 6 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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GAMCO ASSET MANAGEMENT INC. has no disclosure events reported to the SEC at this time.
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GAMCO ASSET MANAGEMENT INC. has Notice Filings with the following State Securities Authorities:
AK-Jul 1991, AL-Dec 2002, AR-Sep 1991, AZ-Aug 1994, CA-Jul 1988
, CO-Mar 2009, CT-Sep 1997, DC-May 1998, DE-Mar 2003, FL-Oct 1987
, GA-Oct 1991, HI-May 1990, IA-Jan 1999, ID-Aug 1991, IL-Sep 1987
, IN-Feb 2001, KS-Jul 1991, KY-Dec 1991, LA-Oct 2001, MA-Apr 1994
, MD-May 1991, ME-Sep 1991, MI-Mar 2005, MN-Aug 1991, MO-Jun 1991
, MS-Dec 1997, MT-Jan 1998, NC-Jan 2001, ND-Mar 2009, NE-Sep 1991
, NH-Aug 1991, NJ-Aug 1987, NM-Sep 1991, NV-Oct 1991, NY-Mar 1994
, OH-May 1999, OK-Jan 1998, OR-Sep 1987, PA-Mar 1989, PR-Aug 1991
, RI-Jan 1993, SC-Jan 2001, SD-Aug 1991, TN-Feb 1998, TX-May 1989
, UT-Jul 1991, VA-Jul 1997, VT-Nov 1994, WA-Sep 1991, WI-Oct 1991
, WV-Jul 1991, WY-Mar 2019
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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
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SEC. Feel free to contact
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