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SWARTHMORE ASSET MANAGEMENT LTD

dba SWARTHMORE ASSET MANAGEMENT LTD · CRD 108507 · Registered Investment Adviser

SWARTHMORE ASSET MANAGEMENT LTD is a Registered Investment Adviser headquartered in NEW YORK, NY. The firm reports $48,586,739 in regulatory assets under management across 42 accounts. It reports no Form ADV Item 11 disciplinary disclosures.

Regulatory assets under management

Discretionary$48,586,739
Non-discretionary$0
Total RAUM$48,586,739
Accounts42

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 108507. adviserinfo.sec.gov/firm/summary/108507.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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