ADVICE AND PLANNING SERVICES
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ADVICE AND PLANNING SERVICES
(CRD# 20472)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Sep 2004.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$25.2 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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ADVICE AND PLANNING SERVICES
also reported in
Mar 2019
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1988
employees,
with
920
performing advisory functions.
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A total of 161 office locations.
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No registrations with foreign financial regulatory authorities.
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NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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ADVICE AND PLANNING SERVICES has one or more disclosure events currently on file with the SEC.
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ADVICE AND PLANNING SERVICES has Notice Filings with the following State Securities Authorities:
AK-Feb 2006, AL-Jan 2006, AR-Jan 2006, AZ-Mar 2005, CA-Mar 2005
, CO-Sep 2004, CT-Sep 2004, DC-Sep 2004, DE-Feb 2006, FL-Apr 2005
, GA-Mar 2005, HI-Jan 2006, IA-Mar 2005, ID-Jan 2006, IL-Apr 2005
, IN-Sep 2004, KS-Jan 2006, KY-Mar 2005, LA-Jan 2006, MA-Sep 2004
, MD-Sep 2004, ME-Jan 2006, MI-Mar 2005, MN-Apr 2005, MO-Sep 2004
, MS-Jan 2006, MT-Jan 2006, NC-Sep 2004, ND-Jan 2006, NE-Mar 2005
, NH-Jan 2006, NJ-Sep 2004, NM-Jan 2006, NV-Jan 2006, NY-Sep 2004
, OH-Mar 2005, OK-Jan 2006, OR-Jan 2006, PA-Mar 2005, PR-Jan 2006
, RI-Jan 2006, SC-Jan 2006, SD-Jan 2006, TN-Apr 2005, TX-Mar 2005
, UT-Mar 2005, VA-Sep 2004, VI-Mar 2008, VT-Jan 2006, WA-Mar 2005
, WI-Jan 2006, WV-Jan 2006, WY-Mar 2018
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Disclaimer:
The information presented above was gleaned
from the SEC website and is believed to be
accurate. FindingFraud.org is
presenting this data for informational
purposes only and assumes no responsibility
for errors or omissions. Please note
that we are aware of many instances where
RIAs provided erroneous data to the
SEC. Feel free to contact
FindingFraud.org with questions or concerns.
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