RESEARCH AFFILIATES
RESEARCH AFFILIATES, LLC Legal Name
Adviser information for RESEARCH AFFILIATES last updated from Form ADV on March 21st, 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 | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | California, United States |
Employees
| Total Number of Employees | 67 |
|---|---|
| Investment Advisory/Research | 35 |
| 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 | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 28 | $27.0B |
| Non-Discretionary | 6 | $1.4B |
| Total | 34 | $28.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 15 | $20.5B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 13 | $2.3B |
| Pension and profit sharing plans | <5 | $367.0M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $5.2B |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
| No. of Financial Planning Clients | 0 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clientsNON-DISCRETIONARY INVESTMENT ADVICE TO ENTITIES |
|---|---|
| Compensation | % of AUM |
Identifiers
| SEC RIA File Number | 801-61153 |
|---|---|
| SEC ERA File Number | 801-61153 |
| SEC CIK Numbers | None |
| SEC CRD Numbers | 120440 |
| Legal Entity Identifier | None |
Principal Office
620 NEWPORT CENTER DRIVESUITE 900
NEWPORT BEACH
CA
United States
Monday - Friday, 8:00 AM PST TO 5:00 PM PST
Tel: 949 325 8700, Fax: 949 718 0454
Chief Compliance Officer
ELAINE ZANE
620 NEWPORT CENTER DRIVE
SUITE 900
NEWPORT BEACH
CA
United States
Tel:
9493258751
Z***@********M
(Full email address available in API data)
Regulatory Contact
REENA LALJI
CHIEF OPERATING OFFICER
620 NEWPORT CENTER DRIVE
SUITE 900
NEWPORT BEACH
CA
United States
Tel:
9493258875
L****@********M
(Full email address available in API data)
Industry Affiliates
| RA US VALUE OPPORTUNITIES GP LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| RA CONCEPT I, LLC | PRIVATE FUND THAT INVESTS SOLELY IN LIQUID US EQUITY SECURITIES | $4.7M | $0.0M | 1 |
| RESEARCH AFFILIATES US VALUE OPPORTUNITIES LP | PRIVATE FUND THAT INVESTS SOLELY IN LIQUID US EQUITY SECURITIES | $1.9M | $0.0M | 22 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ARNOTT, ROBERT, DOUGLAS | Individual | – | NON-EXECUTIVE CHAIRMAN | 03/2002 | < 5% |
| ARNOTT, ROBERT, DOUGLAS | Individual | ARNOTT FAMILY TRUST | TRUSTOR AND TRUSTEE ARNOTT FAMILY TRUST A MEMBER OF RESEARCH AFFILIATES GLOBAL HOLDINGS, LLC. INCLUDES BENEFICIAL INTERESTS. | 08/2002 | 50-75% |
| RESEARCH AFFILIATES GLOBAL HOLDINGS, LLC | Domestic Entity | – | HOLDING COMPANY | 01/2012 | > 75% |
| BRIGHTMAN, CHRISTOPHER, JON | Individual | – | CHIEF EXECUTIVE OFFICER AND CHIEF INVESTMENT OFFICER | 07/2021 | < 5% |
| ARNOTT FAMILY TRUST | Domestic Entity | RESEARCH AFFILIATES GLOBAL HOLDINGS, LLC | MEMBER OF RESEARCH AFFILIATES GLOBAL HOLDINGS, LLC | 10/2011 | 25-50% |
| LALJI, REENA, SHUKLA | Individual | – | CHIEF OPERATING OFFICER | 06/2023 | < 5% |
| ZANE, ELAINE, TZOU | Individual | – | CHIEF COMPLIANCE OFFICER | 01/2023 | < 5% |