Federal Data Hub › SEC Form ADV · JSON · SEC IAPD ↗

FLAHERTY & CRUMRINE INCORPORATED

dba FLAHERTY & CRUMRINE INCORPORATED · CRD 105499 · Registered Investment Adviser

FLAHERTY & CRUMRINE INCORPORATED is a Registered Investment Adviser headquartered in PASADENA, CA. The firm reports $4,149,835,668 in regulatory assets under management across 16 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$4,149,835,668
Non-discretionary$0
Total RAUM$4,149,835,668
Accounts16

Disciplinary history (Form ADV Item 11)

This adviser reports no Form ADV Item 11 disciplinary events.

About this data

Form ADV is the uniform registration form every investment adviser files with the U.S. Securities and Exchange Commission (and state regulators). Part 1A captures the firm's identity, assets under management, client base, custody arrangements, and disciplinary disclosures. This page mirrors the SEC's monthly firm-roster export with citations to the Investment Adviser Public Disclosure (IAPD) system, where the full brochure (Part 2) and disciplinary detail are available.

References

  1. U.S. Securities and Exchange Commission. Investment Adviser Public Disclosure — CRD 105499. adviserinfo.sec.gov/firm/summary/105499.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

License: CC0 1.0 Universal. Corrections: corrections @ ai-analytics.org.