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ADVICE AND PLANNING SERVICES
ADVICE AND PLANNING SERVICES (CRD# 20472) is an SEC-Registered Investment Advisor (RIA), headquartered in New York, NY. The SEC approved the firm to operate as an RIA in Sep 2004. In Aug 2018, the firm reported total Regulatory Assets Under Management (RAUM) of $25.8 Billion, and has discretion over 100% of those assets.   Pooled investment vehicles (Private Funds) account for 0% of RAUM.   Non-US investors represent 0% .  
 
ADVICE AND PLANNING SERVICES also reported in Aug 2018:
  • 1,991 employees, with 869 performing advisory functions.
  • A total of 154 office locations.
  • No registrations with foreign financial regulatory authorities.
  • NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
ADVICE AND PLANNING SERVICES has one or more disclosure events currently on file with the SEC.
 

View ADVICE AND PLANNING SERVICES's most recent Form ADV filing
 


ADVICE AND PLANNING SERVICES has Notice Filings with the following State Securities Authorities: AK-Feb 2006, AL-Jan 2006, AR-Jan 2006, AZ-Mar 2005, CA-Mar 2005 , CO-Sep 2004, CT-Sep 2004, DC-Sep 2004, DE-Feb 2006, FL-Apr 2005 , GA-Mar 2005, HI-Jan 2006, IA-Mar 2005, ID-Jan 2006, IL-Apr 2005 , IN-Sep 2004, KS-Jan 2006, KY-Mar 2005, LA-Jan 2006, MA-Sep 2004 , MD-Sep 2004, ME-Jan 2006, MI-Mar 2005, MN-Apr 2005, MO-Sep 2004 , MS-Jan 2006, MT-Jan 2006, NC-Sep 2004, ND-Jan 2006, NE-Mar 2005 , NH-Jan 2006, NJ-Sep 2004, NM-Jan 2006, NV-Jan 2006, NY-Sep 2004 , OH-Mar 2005, OK-Jan 2006, OR-Jan 2006, PA-Mar 2005, PR-Jan 2006 , RI-Jan 2006, SC-Jan 2006, SD-Jan 2006, TN-Apr 2005, TX-Mar 2005 , UT-Mar 2005, VA-Sep 2004, VI-Mar 2008, VT-Jan 2006, WA-Mar 2005 , WI-Jan 2006, WV-Jan 2006, WY-Mar 2018

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.