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LOCKWOOD ADVISORS INC
LOCKWOOD ADVISORS INC (CRD# 106108) is an SEC-Registered Investment Advisor (RIA), headquartered in King Of Prussia, PA. The SEC approved the firm to operate as an RIA in Jul 1996. In Mar 2019, the firm reported total Regulatory Assets Under Management (RAUM) of $7.0 Billion, with discretion over 100% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 0% .  
 
LOCKWOOD ADVISORS INC also reported in Mar 2019
  • 33 employees, with 19 performing advisory functions.
  • One office location.
  • Registration with one or more foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
LOCKWOOD ADVISORS INC has one or more disclosure events currently on file with the SEC.
 

View LOCKWOOD ADVISORS INC's most recent Form ADV filing
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LOCKWOOD ADVISORS INC has Notice Filings with the following State Securities Authorities: AK-Apr 2000, AL-Apr 2000, AR-Apr 2000, AZ-Apr 2000, CA-Mar 20 , CO-Apr 2000, CT-Apr 2000, DC-Jun 2000, DE-Aug 2003, FL-Apr 2 , GA-Apr 2000, HI-Apr 2000, IA-Apr 2000, ID-Apr 2000, IL-Apr 2 , IN-Feb 2001, KS-Apr 2000, KY-Apr 2000, LA-Apr 2000, MA-Apr 2 , MD-Apr 2000, ME-May 2000, MI-Jan 2001, MN-Apr 2000, MO-Apr 2 , MS-Apr 2000, MT-Apr 2000, NC-Dec 2000, ND-Apr 2000, NE-Apr 2 , NH-Apr 2000, NJ-Apr 2000, NM-Apr 2000, NV-Apr 2000, NY-May 2 , OH-Oct 1999, OK-Jun 2000, OR-May 2000, PA-Jul 2000, PR-May 2 , RI-Apr 2000, SC-Jan 2001, SD-Apr 2000, TN-Apr 2000, TX-May 2 , UT-Apr 2000, VA-Apr 2000, VT-Apr 2000, WA-Apr 2000, WI-May 2 , WV-Apr 2000, WY-Jul 2017


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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