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SBB RESEARCH GROUP LLC

dba SBB RESEARCH GROUP LLC · CRD 161109 · Registered Investment Adviser

Civil/Other disclosureCustody via related personManages private funds

SBB RESEARCH GROUP LLC is a Registered Investment Adviser headquartered in NORTHBROOK, IL. The firm reports $3,260,240,863 in regulatory assets under management across 11 accounts, and manages 7 private fund(s). It reports 1 Form ADV Item 11 disciplinary disclosure(s) (Civil/Other).

Regulatory assets under management

Discretionary$3,230,664,837
Non-discretionary$29,576,026
Total RAUM$3,260,240,863
Accounts11

Disciplinary history (Form ADV Item 11)

This adviser answered "yes" to 1 Item 11 disclosure question(s):

CategoryReported
Criminal (11A / 11B)—
Regulatory (11C–11F)—
Civil / Other (11G / 11H)Yes

Item 11 captures firm-level Y/N disclosures only. For the narrative Disciplinary Reporting Pages, see the full Form ADV PDF on SEC IAPD.

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 161109. adviserinfo.sec.gov/firm/summary/161109.
  2. SEC Form ADV firm roster (FOIA monthly export). sec.gov Form ADV data.

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