STONEBRIDGE ADVISORS LLC
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STONEBRIDGE ADVISORS LLC
(CRD# 134017)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Wilton, CT.
The SEC approved the firm to operate as an RIA in
Feb 2005.
In
Jan 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$7.5 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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STONEBRIDGE ADVISORS LLC
also reported in
Jan 2019
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14
employees,
with
8
performing advisory functions.
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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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STONEBRIDGE ADVISORS LLC has one or more disclosure events currently on file with the SEC.
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STONEBRIDGE ADVISORS LLC has Notice Filings with the following State Securities Authorities: <
AK-Mar 2018, AL-Sep 2010, AR-Mar 2017, AZ-Aug 2009, CA-Nov 20
, CO-Jul 2009, CT-Feb 2005, DC-Mar 2017, DE-Mar 2014, FL-Dec 2
, GA-Jul 2008, HI-Mar 2010, IA-Mar 2017, ID-Mar 2017, IL-Oct 2
, IN-Oct 2008, KS-Jul 2011, KY-Aug 2009, LA-Mar 2012, MA-Mar 2
, MD-Aug 2009, ME-Mar 2017, MI-Aug 2009, MN-Jan 2011, MO-Mar 2
, MS-Mar 2018, MT-Mar 2017, NC-May 2009, ND-Mar 2018, NE-Mar 2
, NH-Mar 2014, NJ-Apr 2008, NM-Mar 2014, NV-Mar 2014, NY-Sep 2
, OH-Aug 2008, OK-Aug 2009, OR-Mar 2017, PA-Aug 2007, PR-Mar 2
, SC-Jul 2011, TN-Jan 2010, TX-Aug 2007, UT-Mar 2014, VA-Jan 2
, VI-Mar 2018, VT-Mar 2017, WA-Mar 2014, WI-Mar 2014, WV-Mar 2
, WY-Mar 2018
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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
FindingFraud.org with questions or concerns.
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