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FLAHERTY & CRUMRINE INCORPORATED
CRD 105499File 801-19384
APPROVED
Filing as of Mar 25, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$4.15B
Top 25% of cohort (national)
Discretionary AUM
$4.15B
Clients
16
16 accounts
Employees
14
Top 25% of cohort in CA
Identity & registration
ADV Item 1- Organization form
- Corporation
- Firm type
- Registered
- SEC region
- LARO
- Registration date
- Jul 21, 1983
- Principal office
- 301 E COLORADO BLVD, SUITE 800, PASADENA, CA, 91101-1911
- Phone
- 626-795-7300
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $4.15B
- Discretionary AUM
- $4.15B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 16
- Non-discretionary accounts
- 0
- Total accounts
- 16
- AUM per client
- $259.4M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Insurance companies | 8 | $840.6M |
| Investment companies | 6 | $3.11B |
| Pooled investment vehicles | 2 | $131.4M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- Portfolio management for businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
Custody
ADV Item 9- Firm Custody Cash
- No
- Firm Custody Assets
- No
- Firm Custody Clients
- No
- Firm Custody Securities
- No
- Related Person Custody Cash
- No
- Related Person Custody Assets
- No
- Related Person Custody Clients
- No
- Related Person Custody Securities
- No
Disclosure events
ADV Item 11This firm answered no to every Item 11 disclosure question in this filing.
Filed changes
| Date | Field | From | To | Change |
|---|---|---|---|---|
| Apr 1, 2026 | Employees | 13 | 14 | increased by1 |
| Apr 1, 2026 | AUM | $4,063,203,427 | $4,149,835,668 | increased by$86,632,241 |
| Apr 1, 2026 | Accounts | 17 | 16 | decreased by1 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 15 | 13 | decreased by2 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $4,862,553,227 | $4,063,203,427 | decreased by$799,349,800 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 18 | 17 | decreased by1 |
| Apr 1, 2022 | Employees | 17 | 15 | decreased by2 |
| Apr 1, 2022 | AUM | $4,627,128,172 | $4,862,553,227 | increased by$235,425,055 |
| Apr 1, 2022 | Accounts | 20 | 18 | decreased by2 |
| Apr 1, 2021 | Registration | — | APPROVED |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “FLAHERTY CRUMRINE” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“FLAHERTY CRUMRINE” may also match similarly-named firms). Confirm identity against each filing.
Every value above is reproduced from this firm's Form ADV filing. Fields the firm left blank are shown as “Not reported” rather than filled in from other sources.