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RIVER AND MERCANTILE LLC
RIVER AND MERCANTILE LLC (CRD# 126765) is an SEC-Registered Investment Advisor (RIA), headquartered in Waltham, MA. The SEC approved the firm to operate as an RIA in Jul 2003. In Sep 2018, the firm reported total Regulatory Assets Under Management (RAUM) of $5.1 Billion, with discretion over 24% of those assets.   Pooled investment vehicles (Private Funds) account for 7% of RAUM.   Non-US investors represent 7% .  
 
RIVER AND MERCANTILE LLC also reported in Sep 2018
  • 35 employees, with 20 performing advisory functions.
  • A total of 5 office locations.
  • No registrations with foreign financial regulatory authorities.
  • Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
RIVER AND MERCANTILE LLC has one or more disclosure events currently on file with the SEC.
 

View RIVER AND MERCANTILE LLC's most recent Form ADV filing
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RIVER AND MERCANTILE LLC has Notice Filings with the following State Securities Authorities: < MA-Aug 2003, NH-Apr 2014, RI-Apr 2014


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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