BRONFMAN ROTHSCHILD
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BRONFMAN ROTHSCHILD
(CRD# 168095)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Rockville, MD.
The SEC approved the firm to operate as an RIA in
May 2013.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$5.8 Billion,
with discretion over
96%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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BRONFMAN ROTHSCHILD
also reported in
Mar 2019
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94
employees,
with
64
performing advisory functions.
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A total of 11 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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BRONFMAN ROTHSCHILD has no disclosure events reported to the SEC at this time.
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BRONFMAN ROTHSCHILD has Notice Filings with the following State Securities Authorities:
AL-Jul 2017, AZ-May 2013, CA-May 2013, CO-May 2013, CT-Jul 20
, DC-Sep 2015, FL-Jun 2013, GA-May 2013, HI-Mar 2017, IA-Mar 2
, IL-May 2013, IN-Jul 2017, KS-Jul 2017, MA-Sep 2015, MD-Sep 2
, MI-May 2013, MN-May 2013, MO-Jul 2017, NC-May 2013, NJ-Apr 2
, NV-May 2013, NY-May 2013, OH-May 2013, OR-Jul 2017, PA-Sep 2
, SC-Jul 2017, SD-May 2013, TN-May 2013, TX-May 2013, VA-May 2
, WA-Jul 2017, WI-May 2013, WV-Jul 2017
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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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