FLAHERTY & CRUMRINE INCORPORATED
Adviser information for FLAHERTY & CRUMRINE INCORPORATED last updated from Form ADV on March 29th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 13 |
|---|---|
| Investment Advisory/Research | 8 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 1 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 17 | $3.9B |
| Non-Discretionary | 0 | $0 |
| Total | 17 | $3.9B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 6 | $2.9B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 2 | $112.8M |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | <5 | $3.1M |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 8 | $843.6M |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | <5 | $48.4M |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 6 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-19384 |
|---|---|
| SEC ERA File Number | 801-19384 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 105499 |
| Legal Entity Identifier | 2549000IWBOG75EEB694 |
Principal Office
301 E COLORADO BLVDSUITE 800
PASADENA
CA
United States
Monday - Friday, 8:30AM TO 5:00PM
Tel: 626-795-7300, Fax: None
Websites
Chief Compliance Officer
CONWELL, CHAD C.
CHIEF COMPLIANCE OFFICER
301 E. COLORADO BOULEVARD
SUITE 800
PASADENA
CA
United States
Tel:
626-795-7300
C******@************M
(Full email address available in API data)
Industry Affiliates
| DFC PREFERRED ADVISORS LLC | Other investment adviser, including financial planners |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| CHADWICK, ROBERT, ERIC | Individual | – | PRESIDENT & DIRECTOR AND SHAREHOLDER | 09/2014 | 10-25% |
| STONE, BRADFORD, SYDENHAM | Individual | – | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER & DIRECTOR AND SHAREHOLDER | 09/2014 | 10-25% |
| CONWELL, CHAD, CHRISTOPHER | Individual | – | EXECUTIVE VICE PRESIDENT, CHIEF LEGAL OFFICER, CHIEF COMPLIANCE OFFICER & DIRECTOR AND SHAREHOLDER | 09/2014 | 10-25% |
| FLAHERTY, ROBERT, THOMAS | Individual | – | SHAREHOLDER | 01/1997 | 10-25% |
| ETTINGER, ROBERT, MICHAEL | Individual | – | SHAREHOLDER | 04/1997 | 10-25% |
| CRUMRINE, DONALD, FRASIER | Individual | – | SHAREHOLDER | 03/1997 | 10-25% |