State location: NY | State of Inc.: DE | Fiscal Year End: 1231
| Filings | Format | Description | Filing Date | File/Film Number |
|---|---|---|---|---|
| FOCUSN | Documents | [Paper]Non-public annual audit reports filed by brokers or dealers Acc-no: 9999999997-14-006679 (34 Act) Size: 1 KB |
2014-02-28 | 008-68420 14048638 |
| X-17A-5 | Documents | [Paper]FOCUS Report Acc-no: 9999999997-14-003774 (34 Act) Size: 1 KB |
2014-02-28 | 008-68420 14048639 |
| 13F-HR | Documents | Quarterly report filed by institutional managers, Holdings Acc-no: 0001474522-14-000008 (34 Act) Size: 9 KB |
2014-02-14 | 028-16066 14619096 |
| FOCUSN | Documents | [Paper]Non-public annual audit reports filed by brokers or dealers Acc-no: 9999999997-13-005701 (34 Act) Size: 1 KB |
2013-03-04 | 008-68420 13014860 |
| X-17A-5 | Documents | [Paper]FOCUS Report Acc-no: 9999999997-13-004411 (34 Act) Size: 1 KB |
2013-03-04 | 008-68420 13014861 |
| X-17A-5 | Documents | [Paper]FOCUS Report Acc-no: 9999999997-12-006564 (34 Act) Size: 1 KB |
2012-02-29 | 008-68420 12060696 |
| X-17A-5 | Documents | [Paper]FOCUS Report Acc-no: 9999999997-11-003847 (34 Act) Size: 1 KB |
2011-02-28 | 008-68420 11018986 |
| X-17A-5/A | Documents | [Amend] [Paper]FOCUS Report Acc-no: 9999999997-10-008958 (34 Act) Size: 1 KB |
2010-03-24 | 008-68420 10030750 |
| X-17A-5 | Documents | [Paper]FOCUS Report Acc-no: 9999999997-10-001954 (34 Act) Size: 1 KB |
2010-02-26 | 008-68420 10027661 |