PATHSTONE
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PATHSTONE
(CRD# 151736)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Englewood, NJ.
The SEC approved the firm to operate as an RIA in
Dec 2009.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$8.5 Billion,
with discretion over
44%
of those assets.
Pooled investment vehicles (Private Funds) account for
1%
of RAUM.
Non-US investors represent
1%
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PATHSTONE
also reported in
Mar 2019
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112
employees,
with
66
performing advisory functions.
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A total of 7 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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PATHSTONE has no disclosure events reported to the SEC at this time.
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PATHSTONE has Notice Filings with the following State Securities Authorities:
AL-Mar 2011, CA-Mar 2013, CO-Mar 2019, CT-Feb 2010, DC- DE-Jan 2014, FL-Feb 2010, GA-Feb 2010, IL-Nov 2016, LA-<
, MA-Jan 2016, MD-Mar 2016, ME-Mar 2016, MI-Mar 2014, MS-<
, NC-Nov 2016, NH-Jan 2016, NJ-Mar 2010, NV-Nov 2016, NY-<
, OH-Nov 2016, OR-Nov 2016, PA-Mar 2011, RI-Nov 2016, SC-<
, TN-Nov 2016, TX-Jul 2012, VA-Mar 2014, VT-Jan 2016, WA-<
, WY-Mar 2018
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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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