Data / Investment advisers / New York / Rafferty Asset Management, LLC
Rafferty Asset Management, LLC, New York, NY: $55.2 billion AUM, SEC registered investment adviser
Updated November 7, 2026. Source: the SEC's Form ADV data files for investment advisers.
Rafferty Asset Management, LLC is an SEC registered investment adviser with its main office in New York, New York and reports $55.2 billion in regulatory assets under management in its Form ADV filed March 3, 2026. Its clients include investment companies and pooled investment vehicles. It is paid through a percentage of assets under management.
The request: Watch Rafferty Asset Management, LLC (CRD number 112526): each new Form ADV amendment, with AUM, clients and private funds. $10 of work on sign-up, no card.
SpecStream is the live web data engine for teams and agents. It reads the SEC's Form ADV files every month, and this page is that reading, keyed on the CRD number. Ask for the advisers you track by state, city, size, client type or private funds, and new registrations and filings arrive in your sheet, CRM, Slack or agent as the SEC publishes them.
- Registration
- SEC registered investment adviser
- CRD number
- 112526
- SEC file number
- 801-54679
- SEC status
- Approved, effective June 25, 1997
- Main office
- 535 Madison Ave 37th Floor, New York, NY 10022
- Phone
- (646) 572-3390
- Regulatory AUM
- $55,241,777,722 in the Form ADV filed March 3, 2026
- Discretionary AUM
- $55,241,777,722
- Accounts
- 133
- Employees
- 45, of which 13 give investment advice
- Form of organization
- Limited Liability Company
- Paid through
- a percentage of assets under management
- Other offices
- 2
- Form ADV Item 11 disclosures
- None reported
- Latest Form ADV filing
- March 3, 2026
- SEC record
- Investment Adviser Public Disclosure
Clients
Client types the adviser reports in Form ADV item 5.D, with the AUM it attributes to each.
| Client type | Clients | AUM |
|---|---|---|
| Investment companies | 132 | $55.21 billion |
| Pooled investment vehicles | 1 | $35.8 million |
AUM in the SEC's monthly files
Each change in the AUM the adviser reported across the monthly SEC files held here, with the first file that shows the new value.
| First in the file of | AUM | Form ADV filed |
|---|---|---|
| April 1, 2026 | $55.24 billion | March 3, 2026 |
| December 1, 2025 | $54.76 billion | July 1, 2025 |
Other advisers in New York
| Adviser | City | AUM | Private funds | Source |
|---|---|---|---|---|
| Alpinvest US Holdings, LLC | New York | $57.66 billion | 110 | adviserinfo.sec.gov |
| Brown Brothers Harriman Credit Partners, LLC | New York | $57.43 billion | 9 | adviserinfo.sec.gov |
| Tenaron Capital Management LP | New York | $56.41 billion | 2 | adviserinfo.sec.gov |
| Citigroup Global Markets Inc. | New York | $56.01 billion | Not listed | adviserinfo.sec.gov |
| Churchill Asset Management LLC | New York | $55.66 billion | 48 | adviserinfo.sec.gov |
| Veritas Capital Fund Management, L.L.C. | New York | $53.81 billion | 35 | adviserinfo.sec.gov |
| Sculptor Capital LP | New York | $52.68 billion | 98 | adviserinfo.sec.gov |
| Blackstone Liquid Credit Advisors I LLC | New York | $51.63 billion | 5 | adviserinfo.sec.gov |
Also on SpecStream
- Investment advisers in New York, NY
- Investment advisers in New York
- Advisers with $10 billion to $100 billion in AUM
- Advisers serving investment companies
- Advisers serving pooled investment vehicles
- Rafferty Asset Management, LLC on the SEC's adviser search
Public data published by the US Securities and Exchange Commission (US government work). Advisers report these values themselves in Form ADV, and neither the SEC nor the states approve or guarantee them. AUM is regulatory assets under management as the adviser reported it in Form ADV item 5.F, which can differ from the AUM a firm quotes elsewhere. Exempt reporting advisers do not report AUM. Office address, phone and website are the adviser's main office as filed; a firm that files its main office as a private residence shows no street address or phone. An Item 11 disclosure is a reported event, not a finding about the firm today. Details for each firm are on the SEC's Investment Adviser Public Disclosure site. This page uses SEC data and is not endorsed or certified by the SEC. Free to reuse with credit to SpecStream under CC BY 4.0. Spot a wrong value? Write to [email protected] with the link to this page.