0001043187-17-000005.txt : 20170811
0001043187-17-000005.hdr.sgml : 20170811
20170811122918
ACCESSION NUMBER: 0001043187-17-000005
CONFORMED SUBMISSION TYPE: 13F-NT
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170630
FILED AS OF DATE: 20170811
DATE AS OF CHANGE: 20170811
EFFECTIVENESS DATE: 20170811
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: ROYAL ALLIANCE ASSOCIATES INC
CENTRAL INDEX KEY: 0001043187
IRS NUMBER: 930987232
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-NT
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14431
FILM NUMBER: 171023899
BUSINESS ADDRESS:
STREET 1: 10 EXCHANGE PLACE
STREET 2: SUITE 1410
CITY: JERSEY CITY
STATE: NJ
ZIP: 07302
BUSINESS PHONE: 800-821-5100
MAIL ADDRESS:
STREET 1: 10 EXCHANGE PLACE
STREET 2: SUITE 1410
CITY: JERSEY CITY
STATE: NJ
ZIP: 07302
13F-NT
1
primary_doc.xml
13F-NT
LIVE
false
true
true
0001043187
XXXXXXXX
06-30-2017
06-30-2017
ROYAL ALLIANCE ASSOCIATES INC
10 EXCHANGE PLACE
SUITE 1410
JERSEY CITY
NJ
07302
13F NOTICE
028-14431
0001681115
028-17493
Advisor Group, Inc.
Y
Advisor Group, Inc. is an affiliate of a portfolio company owned by an investment fund advised by an affiliate of Lightyear Capital LLC. Lightyear Capital LLC and Advisor Group, Inc. have information barriers in place. However, under Section 13(f) of the Securities Exchange Act of 1934, as amended, and the rules promulgated thereunder, Lightyear Capital LLC and Advisor Group, Inc. may be deemed to have shared investment discretion over the securities managed by Advisor Group, Inc.
Robert J Guldner
Chief Compliance Officer
2125515783
Robert J Guldner
Jersey City
NJ
08-11-2017