Arbor Research & Trading, Inc. (Barrington)


Arbor Research & Trading, Inc. is a large advisory firm based in Barrington. It manages $97 million of regulatory assets for 13 client accounts. It has been registered with the SEC as an adviser since 2001 and has operated in the jurisdiction of Illinois.

Arbor Research & Trading provides portfolio management for individuals and small businesses and portfolio management for pooled investment vehicles. It doesn't provide financial planning services to its clients. On top of advisory services, the firm doesn't engage in other business activities.

Arbor Research & Trading: assets under management

The assets under management (AUM) of Arbor Research & Trading, Inc. is $97 million. The firm's AUM has grown by 263% since the beginning of its operation, and the company doesn't manage any assets belonging to foreign clients.

The firm manages $29 million in discretionary accounts and $68 million in non-discretionary accounts. On average, the discretionary accounts where all decisions are made on behalf of the client hold $9.67 million each. Non-discretionary accounts, where clients actively manage their portfolios, generally hold around $6.8 million.

Fees & Commissions

The advisory firm has several streams of revenue. Clients pay Arbor Research & Trading, Inc. for their services and products based on a percentage of assets under management and commissions. Commissions are paid and earned by the adviser when a trade or a sales of an investment is made. These fees don’t include brokerage commissions, interest, taxes, and other account expenses.

Indirect Owners

The SEC currently registers 2 indirect owners.

Name Entity Date acquired Ownership Employer ID
James Russell Stevens President 1 Sep 2002 25% - 50% 435891
Fred David Jr Handler Secretary 1 Sep 2002 25% - 50% 1278354

Based in Barrington

The principal office where Arbor Research & Trading, Inc. performs its advisory services is located at 1000 Hart Road, Barrington, IL 60010, which is also the mailing address of the firm. It doesn’t run an office outside of the United States.

You can reach the main office by calling the phone number 847-304-0450 or by fax 847-713-2225. The normal business hours are 7:30am to 5:30pm on Monday - Friday. You can find more information about the New York firm at arborresearch.com.