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WHITEBOX ADVISORS LLC
WHITEBOX ADVISORS LLC (CRD# 121995) is an SEC-Registered Investment Advisor (RIA), headquartered in Minneapolis, MN. The SEC approved the firm to operate as an RIA in Jan 2006. In Mar 2019, the firm reported total Regulatory Assets Under Management (RAUM) of $9.3 Billion, with discretion over 100% of those assets.   Pooled investment vehicles (Private Funds) account for 100% of RAUM.   Non-US investors represent 90% .  
 
WHITEBOX ADVISORS LLC files an umbrella registration with the SEC. The firm also reported in Mar 2019
  • 91 employees, with 35 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).
WHITEBOX ADVISORS LLC has one or more disclosure events currently on file with the SEC.
 

View WHITEBOX ADVISORS LLC's most recent Form ADV filing
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WHITEBOX ADVISORS LLC has Notice Filings with the following State Securities Authorities: MN-Jan 2006, NY-Jan 2019, TX-Apr 2010


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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