0001043187-18-000004.txt : 20181114 0001043187-18-000004.hdr.sgml : 20181114 20181114121543 ACCESSION NUMBER: 0001043187-18-000004 CONFORMED SUBMISSION TYPE: 13F-NT PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181114 DATE AS OF CHANGE: 20181114 EFFECTIVENESS DATE: 20181114 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: 181181890 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 09-30-2018 09-30-2018 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 2125515783 Robert J Guldner Jersey City NJ 11-14-2018