CLARFELD
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CLARFELD
(CRD# 106743)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Tarrytown, NY.
The SEC approved the firm to operate as an RIA in
Feb 1992.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$6.1 Billion,
with discretion over
31%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
1%
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CLARFELD
also reported in
Mar 2019
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80
employees,
with
40
performing advisory functions.
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A total of 2 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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CLARFELD has one or more disclosure events currently on file with the SEC.
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CLARFELD has Notice Filings with the following State Securities Authorities:
AZ-Aug 2004, CA-Jan 2003, CO-Mar 2012, CT-Nov 1997, DC- DE-Jan 2019, FL-Aug 2004, GA-Mar 2012, IL-Mar 2012, LA-<
, MA-Aug 2004, MD-Mar 2012, ME-Jan 2019, MI-Jan 2019, NC-<
, NH-Nov 2012, NJ-Mar 1995, NM-Dec 2011, NY-Feb 2001, OH-<
, PA-Jan 2003, RI-Oct 2013, SC-Feb 2008, TX-Mar 2012, VA-<
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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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