HARBERT FUND ADVISORS, INC.
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HARBERT FUND ADVISORS, INC.
(CRD# 110577)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Birmingham, AL.
The SEC approved the firm to operate as an RIA in
Oct 1998.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$6.2 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
75%
of RAUM.
Non-US investors represent
100%
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HARBERT FUND ADVISORS, INC.
files an umbrella registration with the SEC. The firm also reported in
Mar 2019
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141
employees,
with
70
performing advisory functions.
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A total of 7 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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HARBERT FUND ADVISORS, INC. has one or more disclosure events currently on file with the SEC.
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HARBERT FUND ADVISORS, INC. has Notice Filings with the following State Securities Authorities:
AL-Mar 2001, CA-Mar 2012, DE-Jul 2014, GA-Mar 2012, NY-Mar 2006
, TN-Mar 2001, TX-Jul 2014, VA-Mar 2004
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