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ROYAL ALLIANCE ASSOCIATES, INC.
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% .  
 
ROYAL ALLIANCE ASSOCIATES, INC. also reported in Mar 2019
  • 2951 employees, with 2027 performing advisory functions.
  • A total of 969 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
ROYAL ALLIANCE ASSOCIATES, INC. has one or more disclosure events currently on file with the SEC.
 

View ROYAL ALLIANCE ASSOCIATES, INC.'s most recent Form ADV filing
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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


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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