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.
Visualization
Investment Advisers - Disclosure Information
Aug. 28, 2024
IA Statistics
Investment Adviser Statistics
Number of Advisers
Regulatory Assets Under Management (RAUM)
Separately Managed Accounts (SMAs)
Total Private Funds Advised by RIAs or ERAs
View Statistics Related to Total Private Funds Advised by RIAs or ERAs
Private Funds Advised by RIAs
Private Funds Advised by ERAs
RIA Activities
View Data for: Disclosure Information Statistics
Last Reviewed or Updated: Aug. 28, 2024