← Directory
RAFFERTY ASSET MANAGEMENT, LLC
CRD 112526File 801-54679
APPROVED
Filing as of Mar 3, 2026
Feed vintage Oct 1, 2026
Regulatory AUM
$55.24B
Top 10% of cohort (national)
Discretionary AUM
$55.24B
Clients
133
133 accounts
Employees
45
Top 10% of cohort in NY
Identity & registration
ADV Item 1- Organization form
- Limited Liability Company
- Firm type
- Registered
- SEC region
- NYRO
- Registration date
- Jun 25, 1997
- Principal office
- 535 MADISON AVE, 37TH FLOOR, NEW YORK, NY, 10022
- Phone
- 646-572-3390
- Website
- HTTP://www.Direxion.com
Assets & accounts
ADV Item 5F- Total regulatory AUM
- $55.24B
- Discretionary AUM
- $55.24B
- Non-discretionary AUM
- $0
- Discretionary accounts
- 133
- Non-discretionary accounts
- 0
- Total accounts
- 133
- AUM per client
- $415.4M
Clients by type
ADV Item 5D| Client type | Clients | AUM |
|---|---|---|
| Investment companies | 132 | $55.21B |
| Pooled investment vehicles | 1 | $35.8M |
Compensation & activities
ADV Items 5E, 5GCompensation
- A percentage of assets under your management
Advisory activities
- 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 | 43 | 45 | increased by2 |
| Apr 1, 2026 | Clients | 120 | 133 | increased by13 |
| Apr 1, 2026 | AUM | $54,755,868,665 | $55,241,777,722 | increased by$485,909,057 |
| Apr 1, 2026 | Accounts | 120 | 133 | increased by13 |
| Dec 1, 2025 vs May 1, 2025 | Clients | 107 | 120 | increased by13 |
| Dec 1, 2025 vs May 1, 2025 | AUM | $47,076,254,479 | $54,755,868,665 | increased by$7,679,614,186 |
| Dec 1, 2025 vs May 1, 2025 | Accounts | 107 | 120 | increased by13 |
| May 1, 2025 vs Oct 1, 2022 | Employees | 30 | 43 | increased by13 |
| May 1, 2025 vs Oct 1, 2022 | Clients | 92 | 107 | increased by15 |
| May 1, 2025 vs Oct 1, 2022 | AUM | $30,964,349,620 | $47,076,254,479 | increased by$16,111,904,859 |
| May 1, 2025 vs Oct 1, 2022 | Accounts | 89 | 107 | increased by18 |
| Apr 1, 2022 | Clients | 91 | 92 | increased by1 |
| Apr 1, 2022 | AUM | $25,883,759,418 | $30,964,349,620 | increased by$5,080,590,202 |
| Apr 1, 2022 | Accounts | 91 | 89 | decreased by2 |
| Nov 1, 2021 | Clients | 88 | 91 | increased by3 |
On Form 5500, an adviser usually appears as a plan service provider (Schedule C), not the plan sponsor.
See plans that list “RAFFERTY ASSET” as a service provider on 5500mcp →Matched by name only — Form ADV and Form 5500 share no identifier, and names are searched loosely (“RAFFERTY ASSET” 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.