STEWARD PARTNERS INVESTMENT ADVISORY, LLC
|
|
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
(CRD# 283004)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Mar 2016.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$5.2 Billion,
with discretion over
78%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
1%
.
|
|
STEWARD PARTNERS INVESTMENT ADVISORY, LLC
also reported in
Mar 2019
-
199
employees,
with
123
performing advisory functions.
-
A total of 26 office locations.
-
No registrations with foreign financial regulatory authorities.
-
NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
|
|
STEWARD PARTNERS INVESTMENT ADVISORY, LLC has no disclosure events reported to the SEC at this time.
|
|
|
|
|
|
|
|
|
|
STEWARD PARTNERS INVESTMENT ADVISORY, LLC has Notice Filings with the following State Securities Authorities:
AL-Mar 2016, AR-Mar 2019, AZ-Mar 2016, CA-Mar 2016, CO-Mar 2016
, CT-Mar 2016, DC-Mar 2016, DE-Jul 2016, FL-Mar 2016, GA-Mar 2016
, HI-Mar 2018, ID-Jun 2017, IL-Mar 2016, IN-Jun 2017, KY-Jun 2017
, LA-Jul 2016, MA-Mar 2016, MD-Mar 2016, ME-Mar 2016, MI-Jul 2016
, MN-Jul 2016, MO-Jun 2017, MT-Mar 2018, NC-Mar 2016, NE-Jun 2017
, NH-Mar 2016, NJ-Mar 2016, NM-Jun 2017, NV-Jun 2017, NY-Mar 2016
, OH-Mar 2016, OK-Jun 2017, OR-Mar 2016, PA-Mar 2016, RI-Mar 2016
, SC-Mar 2016, TN-Jun 2017, TX-Mar 2016, UT-Jan 2018, VA-Mar 2016
, VT-Jun 2017, WA-Mar 2016, WI-Jun 2017, WV-Jun 2017, 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.
|
|
|
|
|
|
|
|
