MELLON
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MELLON
(CRD# 105764)
is an SEC-Registered Investment Advisor (RIA), headquartered in
Boston, MA.
The SEC approved the firm to operate as an RIA in
Sep 1983.
In
Mar 2019,
the firm reported total Regulatory Assets Under Management (RAUM) of
$442.4 Billion,
with discretion over
98%
of those assets.
Pooled investment vehicles (Private Funds) account for
4%
of RAUM.
Non-US investors represent
16%
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MELLON
also reported in
Mar 2019
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520
employees,
with
173
performing advisory functions.
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A total of 7 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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MELLON has one or more disclosure events currently on file with the SEC.
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MELLON has Notice Filings with the following State Securities Authorities:
AK-Feb 2009, AL-Feb 2009, AR-Feb 2009, AZ-Feb 2009, CA- CO-Feb 2009, CT-Mar 2006, DC-Feb 2009, DE-Feb 2009, FL-<
, GA-Mar 2007, HI-Feb 2009, IA-Feb 2009, ID-Feb 2009, IL-<
, IN-Feb 2009, KS-Feb 2009, KY-Feb 2009, LA-Feb 2009, MA-<
, MD-Feb 2009, ME-Feb 2009, MI-Mar 2005, MN-Apr 2005, MO-<
, MS-Feb 2009, MT-Feb 2009, NC-Feb 2009, ND-Feb 2009, NE-<
, NH-Mar 2005, NJ-Apr 2005, NM-Feb 2009, NV-Feb 2009, NY-<
, OH-Mar 2005, OK-Feb 2009, OR-Feb 2009, PA-Mar 2007, PR-<
, RI-Feb 2009, SC-Feb 2009, SD-Feb 2009, TN-Feb 2009, TX-<
, UT-Feb 2009, VA-Feb 2009, VT-Mar 2007, WA-Feb 2009, WI-<
, WV-Feb 2009
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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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