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BARON FINANCIAL GROUP LLC
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BARON FINANCIAL GROUP LLC
(CRD# 144234)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Fair Lawn, NJ.
The SEC approved the firm to operate as an RIA in
Jun 2007.
In
Sep 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$231.5 Million,
and has discretion over
97%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
0%
.
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BARON FINANCIAL GROUP LLC
also reported in
Sep 2018:
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8
employees,
with
5
performing 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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BARON FINANCIAL GROUP LLC has no disclosure events reported to the SEC at this time.
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BARON FINANCIAL GROUP LLC has Notice Filings with the following State Securities Authorities:
FL-Jan 2008, NJ-Jun 2007, NY-Apr 2009, TX-Apr 2009
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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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