GREAT LAKES ADVISORS, LLC
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GREAT LAKES ADVISORS, LLC
(CRD# 110757)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Chicago, IL.
The SEC approved the firm to operate as an RIA in
Mar 1982.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$6.8 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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GREAT LAKES ADVISORS, LLC
also reported in
Mar 2019
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68
employees,
with
30
performing advisory functions.
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A total of 4 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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GREAT LAKES ADVISORS, LLC has no disclosure events reported to the SEC at this time.
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GREAT LAKES ADVISORS, LLC has Notice Filings with the following State Securities Authorities:
AK-Mar 2017, AL-Mar 2017, AZ-May 2002, CA-May 2002, CO-May 20
, CT-Apr 2007, DC-Mar 2017, FL-May 2002, GA-Feb 2003, IA-Aug 2
, IL-Apr 1998, IN-Aug 2001, KY-Nov 2016, LA-Mar 2017, MA-Mar 2
, MD-Mar 2017, MI-May 2002, MN-Jun 2006, MO-Mar 2014, NC-Apr 2
, NJ-Aug 2015, NV-Apr 2007, NY-Mar 2014, OH-Mar 2014, PA-Mar 2
, RI-Mar 2017, SC-Nov 2016, TX-Feb 2003, VA-Apr 2007, WA-Nov 2
, WI-Aug 2001, WV-Mar 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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