ROYAL ALLIANCE ASSOCIATES, INC.
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ROYAL ALLIANCE ASSOCIATES, INC.
(CRD# 23131)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Jersey City, NJ.
The SEC approved the firm to operate as an RIA in
Sep 1997.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$12.6 Billion,
with discretion over
64%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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ROYAL ALLIANCE ASSOCIATES, INC.
also reported in
Mar 2019
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2951
employees,
with
2027
performing advisory functions.
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A total of 969 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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ROYAL ALLIANCE ASSOCIATES, INC. has one or more disclosure events currently on file with the SEC.
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ROYAL ALLIANCE ASSOCIATES, INC. has Notice Filings with the following State Securities Authorities: AK-Jul 1991, AL-Sep 1991, AR-Mar 1992, AZ-Apr 2001, CA-Jul 1997
, CO-Jan 1999, CT-Oct 1997, DC-Sep 1997, DE-Jun 1991, FL-Apr 2001
, GA-Aug 1991, HI-Aug 1991, IA-Jan 1999, ID-Aug 1991, IL-Sep 1991
, IN-Jul 1991, KS-Dec 1997, KY-Apr 2001, LA-Oct 2001, MA-Mar 2003
, MD-Aug 1991, ME-Sep 1991, MI-Apr 2001, MN-Dec 1998, MO-Jul 1991
, MS-Oct 1997, MT-Nov 1997, NC-Apr 2001, ND-Jul 1991, NE-Sep 1997
, NH-Apr 1992, NJ-Jul 1991, NM-Aug 1991, NV-Jul 1991, NY-Apr 1992
, OH-Aug 1999, OK-Jan 1998, OR-Apr 2001, PA-Apr 2001, PR-Mar 2008
, RI-Jan 1993, SC-Jul 1991, SD-Jul 1991, TN-Oct 1997, TX-Mar 1989
, UT-Aug 1991, VA-Jul 1991, VI-Mar 2011, VT-Jan 1995, WA-Sep 1991
, WI-May 1992, WV-Jul 1991, 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
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SEC. Feel free to contact
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