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A.L. STUART INVESTMENTS, LLC
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A.L. STUART INVESTMENTS, LLC
(CRD# 158974)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Stamford, CT.
The SEC approved the firm to operate as an RIA in
Oct 2011.
In
Mar 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$91.9 Million,
and has discretion over
82%
of those assets.
Pooled investment vehicles (Private Funds) account for
57%
of RAUM.
Non-US investors represent
1%
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A.L. STUART INVESTMENTS, LLC
also reported in
Mar 2018:
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8
employees,
with
3
performing 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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A.L. STUART INVESTMENTS, LLC has no disclosure events reported to the SEC at this time.
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A.L. STUART INVESTMENTS, LLC has Notice Filings with the following State Securities Authorities:
CT-Oct 2011, LA-Mar 2017, NY-Oct 2011, TX-Mar 2017
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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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