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10-15 ASSOCIATES, INC.
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10-15 ASSOCIATES, INC.
(CRD# 113714)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Goshen, NY.
The SEC approved the firm to operate as an RIA in
May 2002.
In
Mar 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$752.9 Million,
and has discretion over
98%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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10-15 ASSOCIATES, INC.
also reported in
Mar 2018:
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13
employees,
with
7
performing advisory functions.
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A total of 4 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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10-15 ASSOCIATES, INC. has no disclosure events reported to the SEC at this time.
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10-15 ASSOCIATES, INC. has Notice Filings with the following State Securities Authorities:
CT-Jul 2003, DE-Mar 2018, FL-May 2002, GA-Feb 2010, LA-Mar 2018
, MA-Mar 2018, NC-Jul 2005, NH-Jun 2008, NJ-Jan 2004, NY-May 2002
, PA-May 2002, SC-Jan 2007, TN-Mar 2018, TX-Aug 2011, VA-Mar 2018
, VT-Aug 2011
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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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