LOCKWOOD ADVISORS INC
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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%
.
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LOCKWOOD ADVISORS INC
also reported in
Mar 2019
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33
employees,
with
19
performing advisory functions.
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Registration with one or more 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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LOCKWOOD ADVISORS INC has one or more disclosure events currently on file with the SEC.
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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
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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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