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ASSET STRATEGIES, INC.
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ASSET STRATEGIES, INC.
(CRD# 119661)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Avon, CT.
The SEC approved the firm to operate as an RIA in
Mar 2002.
In
Aug 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$134.2 Million,
and has discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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ASSET STRATEGIES, INC.
also reported in
Aug 2018:
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10
employees,
with
2
performing advisory functions.
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A total of 3 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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ASSET STRATEGIES, INC. has no disclosure events reported to the SEC at this time.
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ASSET STRATEGIES, INC. has Notice Filings with the following State Securities Authorities:
CT-Mar 2002, FL-Jul 2005, MA-Jul 2005, NH-Jul 2005, NY-Mar 2004
, TX-Mar 2002
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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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