USI ADVISORS
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USI ADVISORS
(CRD# 108113)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Glastonbury, CT.
The SEC approved the firm to operate as an RIA in
Jun 1999.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$17.6 Billion,
with discretion over
0%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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USI ADVISORS
also reported in
Mar 2019
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82
employees,
with
30
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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USI ADVISORS has no disclosure events reported to the SEC at this time.
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USI ADVISORS has Notice Filings with the following State Securities Authorities:
AK-May 2017, AL-Aug 1999, AR-Mar 2019, AZ-Jan 2003, CA- CO-Mar 2008, CT-Jun 1999, DC-Jul 1999, DE-Mar 2019, FL-<
, GA-Jun 1999, HI-Nov 2014, ID-May 2017, IL-Jun 1999, IN-<
, KS-Mar 2008, KY-Jul 1999, LA-Oct 2001, MA-Jun 1999, MD-<
, ME-Jun 1999, MI-Mar 2008, MN-Nov 2018, MO-Mar 2008, MS-<
, MT-May 2017, NC-Mar 2001, NE-Mar 2008, NH-Jul 1999, NJ-<
, NY-Jul 1999, OH-Aug 1999, OK-Dec 2000, OR-May 2017, PA-<
, RI-Jul 1999, SC-Mar 2001, TN-Jul 1999, TX-Jan 2001, UT-<
, VA-Jun 1999, VT-Jun 1999, WA-Mar 2008, WI-Apr 2001, WV-<
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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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