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A & I FINANCIAL SERVICES, LLC
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A & I FINANCIAL SERVICES, LLC
(CRD# 148357)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Englewood, CO.
The SEC approved the firm to operate as an RIA in
Jan 2009.
In
Jul 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$245.9 Million,
and has discretion over
82%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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A & I FINANCIAL SERVICES, LLC
also reported in
Jul 2018:
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9
employees,
all of whom perform 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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A & I FINANCIAL SERVICES, LLC has no disclosure events reported to the SEC at this time.
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A & I FINANCIAL SERVICES, LLC has Notice Filings with the following State Securities Authorities:
CA-Jan 2009, CO-Jan 2009, FL-Mar 2017, NE-Aug 2012, TX-Feb 2016
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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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