0001681115-17-000002.txt : 20170131 0001681115-17-000002.hdr.sgml : 20170131 20170130203622 ACCESSION NUMBER: 0001681115-17-000002 CONFORMED SUBMISSION TYPE: 13F-NT PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170131 DATE AS OF CHANGE: 20170130 EFFECTIVENESS DATE: 20170131 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: 17559085 BUSINESS ADDRESS: STREET 1: ONE WORLD FINANCIAL CENTER CITY: NEW YORK STATE: NY ZIP: 10281 BUSINESS PHONE: 800-821-5100 MAIL ADDRESS: STREET 1: ONE WORLD FINANCIAL CENTER CITY: NEW YORK STATE: NY ZIP: 10281 13F-NT 1 primary_doc.xml 13F-NT LIVE false true false 0001043187 XXXXXXXX 12-31-2016 12-31-2016 ROYAL ALLIANCE ASSOCIATES INC

ONE WORLD FINANCIAL CENTER NEW YORK NY 10281

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 Guldner 2125515783 Robert Guldner New York NY 01-30-2017