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RAFFERTY ASSET MANAGEMENT, LLC
RAFFERTY ASSET MANAGEMENT, LLC (CRD# 112526) is an SEC-Registered Investment Advisor (RIA), headquartered in New York, NY. The SEC approved the firm to operate as an RIA in Jun 1997. In Mar 2019, the firm reported total Regulatory Assets Under Management (RAUM) of $11.5 Billion, with discretion over 100% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 0% .  
 
RAFFERTY ASSET MANAGEMENT, LLC also reported in Mar 2019
  • 39 employees, with 9 performing advisory functions.
  • One office location.
  • No registrations with foreign financial regulatory authorities.
  • Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
RAFFERTY ASSET MANAGEMENT, LLC has no disclosure events reported to the SEC at this time.
 

View RAFFERTY ASSET MANAGEMENT, LLC's most recent Form ADV filing
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RAFFERTY ASSET MANAGEMENT, LLC has Notice Filings with the following State Securities Authorities: NY-Mar 2003


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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 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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