|
|
|
|
|
|
BAY COLONY ADVISORS
|
|
BAY COLONY ADVISORS
(CRD# 152583)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Concord, MA.
The SEC approved the firm to operate as an RIA in
May 2016.
In
Sep 2018,
the firm reported total Regulatory Assets Under Management (RAUM) of
$311.4 Million,
and has discretion over
89%
of those assets.
Pooled investment vehicles (Private Funds) account for
0%
of RAUM.
Non-US investors represent
1%
.
|
|
BAY COLONY ADVISORS
also reported in
Sep 2018:
-
20
employees,
all of whom perform advisory functions.
-
A total of 15 office locations.
-
No registrations with foreign financial regulatory authorities.
-
NO OPERATIONS as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
|
|
BAY COLONY ADVISORS has one or more disclosure events currently on file with the SEC.
|
|
|
|
|
|
|
|
|
BAY COLONY ADVISORS has Notice Filings with the following State Securities Authorities:
CA-Apr 2017, CO-Sep 2016, CT-May 2016, FL-May 2016, GA-Aug 2018
, IA-Sep 2016, LA-Mar 2018, MA-May 2016, ME-Apr 2017, NH-May 2016
, RI-Mar 2018, TX-May 2016, VT-Sep 2016, WA-Sep 2016
|
|
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.
|
|
|
|
