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Investment Advisers - Disclosure Information

Aug. 28, 2024

This visualization relies on information reported on Form ADV, Item 11 and presents the number of advisers with at least one disciplinary event reported, by disclosure type. Advisers may report disciplinary disclosures in multiple categories. Disclosures must only be reported for ten years following the date of the event.



IA Statistics

Investment Adviser Statistics

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Regulatory Assets Under Management (RAUM)

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Separately Managed Accounts (SMAs)

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View Data for: Disclosure Information Statistics

Last Reviewed or Updated: Aug. 28, 2024