IFR, MUNICIPAL MARKET DATA
REFINITIV GLOBAL MARKETS INC. Legal Name
Adviser information for IFR, MUNICIPAL MARKET DATA last updated from Form ADV on March 28th, 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 | Delaware, United States |
Employees
| Total Number of Employees | 30 |
|---|---|
| Investment Advisory/Research | 22 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | No |
|---|
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 94 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 22 | $0 |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 52 | $0 |
| Other investment advisers | 157 | $0 |
| Insurance companies | 11 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 148 | $0 |
| Other | 7 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 491 |
| No. of Non-U.S. Clients | 17 |
Services
| Advisory Services | Publication of periodicals or newslettersCREATES YIELD CURVES FOR THE TAX-EXEMPT BOND MARKET AND PROVIDES MARKET COMMENTARY AND ANALYSIS |
|---|---|
| Compensation | Subscription feesFixed fees |
Identifiers
| SEC RIA File Number | 801-55328 |
|---|---|
| SEC ERA File Number | 801-55328 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 109120 |
| Legal Entity Identifier | None |
Principal Office
26 THOMSON PLACEBOSTON
MA
United States
Monday - Friday, 9-5
Tel: 857-365-1200, Fax: None
Websites
Chief Compliance Officer
RACHNA PATEL
CHIEF COMPLIANCE OFFICER
26 THOMSON PLACE
BOSTON
MA
United States
Tel:
857-365-1280
R***********@*******M
(Full email address available in API data)
Regulatory Contact
DOMENIC VONELLA
PRESIDENT, DIRECTOR
26 THOMSON PLACE
BOSTON
MA
United States
Tel:
857-365-1234
D**************@*******M
(Full email address available in API data)
Industry Affiliates
| TRADEWEB L.L.C | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| PATEL, RACHNA, JAGADISHBHAI | Individual | – | CHIEF COMPLIANCE OFFICER, SECRETARY | 03/2009 | < 5% |
| VONELLA, DOMENIC, PAUL | Individual | – | PRESIDENT, DIRECTOR | 03/2014 | < 5% |
| REFINITIV PARENT LIMITED | Foreign Entity | LSEG US HOLDCO, INC. | SHAREHOLDER | 01/2024 | > 75% |
| Schwartzman, Eric, Steven | Individual | – | ASSISTANT SECRETARY | 12/2020 | < 5% |
| SWIFT, MATTHEW, TODD | Individual | – | VICE PRESIDENT, DIRECTOR | 12/2020 | < 5% |
| LSEGA, INC. | Domestic Entity | – | DIRECT SHAREHOLDER | 01/2021 | > 75% |
| LONDON STOCK EXCHANGE GROUP PLC | Foreign Entity | REFINITIV PARENT LIMITED | SHAREHOLDER | 01/2021 | 50-75% |
| Movtady, Gisoo | Individual | – | ASSISTANT SECRETARY | 03/2022 | < 5% |
| LSEG US HOLDCO, INC. | Foreign Entity | LSEGA, INC. | SHAREHOLDER | 01/2024 | > 75% |