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ASHFORD ADVISORS, LLC
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ASHFORD ADVISORS, LLC
(CRD# 114238)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Pittsford, NY.
The SEC approved the firm to operate as an RIA in
Sep 2001.
In
Mar 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$455.4 Million,
and has discretion over
75%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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ASHFORD ADVISORS, 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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ASHFORD ADVISORS, LLC has no disclosure events reported to the SEC at this time.
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ASHFORD ADVISORS, LLC has Notice Filings with the following State Securities Authorities:
CA-Mar 2007, DC-Mar 2007, FL-Mar 2011, MA-Mar 2011, NH-Dec 2012
, NY-Oct 2001
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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
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contact FindingFraud.org with questions or concerns.
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