Research Affiliates
Registered investment adviser · Newport Beach, CA · CRD #120440
Form ADV data as of 2026-09-01Regulatory assets
$27.84 billion
Total accounts
33
Employees
66
Disclosure events
0
Firm details
- Website: https://www.researchaffiliates.com
- Telephone: 949 325 8700
- SEC file number: 801-61153
- Most recent Form ADV filing: 2026-03-26
- SEC record: View this firm on the SEC's IAPD site
Disciplinary disclosures
This firm answered No to every Item 11 disciplinary question on its most recent Form ADV filing.
Assets and accounts
| Provides continuous and regular supervisory or management services | Yes |
| Discretionary regulatory assets under management | $26.25 billion |
| Non-discretionary regulatory assets under management | $1.60 billion |
| Total regulatory assets under management | $27.84 billion |
| Discretionary accounts | 25 |
| Non-discretionary accounts | 8 |
| Total accounts | 33 |
| Regulatory assets under management attributable to non-U.S. persons | $0 |
People
| Total employees (excluding clerical) | 66 |
| Employees performing investment advisory functions (including research) | 29 |
| Employees who are registered representatives of a broker-dealer | 0 |
| Employees registered as investment adviser representatives with a state | 0 |
| Employees registered as IARs for another investment adviser | 0 |
| Employees who are licensed insurance agents | 0 |
| Firms or persons who solicit advisory clients on the firm's behalf | 0 |
Custody
| Has custody of client cash or bank accounts | No |
| Has custody of client securities | No |
| Clients for whom the firm has custody | 0 |
| A related person has custody of client cash or bank accounts | No |
| A related person has custody of client securities | No |
| Client funds and securities held in a related person's custody | $0 |
| Clients for whom a related person has custody | 0 |
| The firm acts as a qualified custodian | No |
| A related person acts as a qualified custodian | No |
How the firm is compensated
Advisory services offered
Client types
| Type of client | Clients | Assets |
|---|---|---|
| Investment companies | 15 | $19.63 billion |
| Pooled investment vehicles (other than investment companies and BDCs) | 11 | $3.42 billion |
| Pension and profit sharing plans (not the participants or government plans) | 2 | $543.9 million |
| State or municipal government entities (including government pension plans) | 4 | $4.22 billion |
| Other investment advisers | 1 | $28.5 million |