0001043187-17-000006.txt : 20171102
0001043187-17-000006.hdr.sgml : 20171102
20171102153859
ACCESSION NUMBER: 0001043187-17-000006
CONFORMED SUBMISSION TYPE: 13F-NT/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160930
FILED AS OF DATE: 20171102
DATE AS OF CHANGE: 20171102
EFFECTIVENESS DATE: 20171102
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/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14431
FILM NUMBER: 171172013
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/A
1
primary_doc.xml
13F-NT/A
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0001043187
XXXXXXXX
09-30-2016
09-30-2016
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RESTATEMENT
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
212-551-5783
Robert J Guldner
Jersey City
NJ
11-02-2017