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1 NORTH WEALTH SERVICES, LLC
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1 NORTH WEALTH SERVICES, LLC
(CRD# 115948)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Annapolis, MD.
The SEC approved the firm to operate as an RIA in
Feb 2002.
In
Oct 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$147.0 Million,
and has 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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1 NORTH WEALTH SERVICES, LLC
also reported in
Oct 2018:
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4
employees,
all of whom perform 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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1 NORTH WEALTH SERVICES, LLC has no disclosure events reported to the SEC at this time.
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1 NORTH WEALTH SERVICES, LLC has Notice Filings with the following State Securities Authorities:
FL-Mar 2008, MD-Mar 1992, PA-Mar 2008, TX-Apr 2014, VA-Feb 2002
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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 RIAs
provided erroneous data to the SEC. Feel Free to
contact FindingFraud.org with questions or concerns.
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