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CLARFELD
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% .  
 
CLARFELD also reported in Mar 2019
  • 80 employees, with 40 performing advisory functions.
  • A total of 2 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
CLARFELD has one or more disclosure events currently on file with the SEC.
 

View CLARFELD's most recent Form ADV filing
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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-<


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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