WILLIAMS, JONES & ASSOCIATES, LLC
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WILLIAMS, JONES & ASSOCIATES, LLC
(CRD# 106861)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
Apr 1988.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$7.0 Billion,
with discretion over
98%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
1%
.
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WILLIAMS, JONES & ASSOCIATES, LLC
also reported in
Mar 2019
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38
employees,
with
14
performing advisory functions.
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A total of 2 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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WILLIAMS, JONES & ASSOCIATES, LLC has no disclosure events reported to the SEC at this time.
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WILLIAMS, JONES & ASSOCIATES, LLC has Notice Filings with the following State Securities Authorities:
AL-Nov 2013, AZ-Mar 2004, CA-Apr 1988, CO-Mar 2004, CT-Nov 2000
, DC-Jun 2003, DE-Feb 2008, FL-Jun 2003, GA-Jun 2003, ID-Nov 2015
, IL-Mar 2008, IN-Mar 2012, LA-Jan 2006, MA-Jun 2003, MD-Jun 2003
, ME-Mar 2004, MI-Nov 2014, MN-Feb 2005, MO-Nov 2015, MT-Jan 2008
, NC-Jun 2003, NH-Mar 2012, NJ-May 1988, NM-Jun 2003, NV-Mar 2012
, NY-Apr 1988, OH-Jun 2003, OR-Nov 2016, PA-Jun 2003, RI-Jan 2005
, SC-Jun 2003, TN-Nov 2013, TX-Jun 2003, VA-Jun 2003, VT-Jun 2003
, WA-Jun 2003, WI-Mar 2004, WY-Nov 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
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for errors or omissions. Please note
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SEC. Feel free to contact
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