GOLDMAN SACHS & CO. LLC
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GOLDMAN SACHS & CO. LLC
(CRD# 361)
is an SEC-Registered Investment Advisor (RIA), headquartered in
New York, NY.
The SEC approved the firm to operate as an RIA in
May 1981.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$198.2 Billion,
with discretion over
100%
of those assets.
Pooled investment vehicles (Private Funds) account for
34%
of RAUM.
Non-US investors represent
25%
.
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GOLDMAN SACHS & CO. LLC
also reported in
Mar 2019
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1586
employees,
with
1502
performing advisory functions.
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A total of 21 office locations.
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Registration with one or more foreign financial regulatory authorities.
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Operation as a Commodity Pool Operator (CPO) or Commodity Trading Advisor (CTA).
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GOLDMAN SACHS & CO. LLC has one or more disclosure events currently on file with the SEC.
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GOLDMAN SACHS & CO. LLC has Notice Filings with the following State Securities Authorities: AK-Nov 1997, AL-Oct 1992, AR-Oct 1988, AZ-Nov 1997, CA-Jul 19
, CO-Apr 2001, CT-Sep 1997, DC-Apr 2001, DE-Jan 2011, FL-Jun 1
, GA-Feb 2003, HI-Nov 1997, IA-Jan 1999, ID-Nov 1997, IL-Dec 1
, IN-Sep 1988, KS-Nov 1997, KY-Nov 1997, LA-Oct 2001, MA-Apr 2
, MD-Jan 1992, ME-Jan 1989, MI-Apr 2001, MN-Jan 1998, MO-Nov 1
, MS-Nov 1997, MT-Nov 1997, NC-Apr 2001, ND-Oct 1988, NE-Nov 1
, NH-Oct 1988, NJ-Sep 1988, NM-Jan 1989, NV-Jan 1991, NY-Oct 1
, OH-Nov 1999, OK-Jan 1998, OR-Nov 1988, PA-Jan 1998, PR-Nov 1
, RI-Nov 1997, SC-Oct 1988, SD-Oct 1988, TN-Sep 1997, TX-Apr 2
, UT-Oct 1997, VA-Feb 1998, VI-Feb 2008, VT-Nov 1997, WA-Dec 1
, WI-Nov 1997, WV-Sep 1988, WY-Jan 2018
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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.
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