Business ProfileforEconometric Strategies LLC
Current Alerts For This Business
On June 30, 2022, the Commissioner instructed Econometric to file an annual amendment to its Form ADV in Investment Adviser Registration Depository (IARD) no later than 30 days after June 30, 2022, the date of the letter.
According to IARD, the investment adviser failed to timely file an annual updating amendment to its Form ADV for Fiscal Year 2021. Pursuant to California Code of Regulations, title 10, section 260.241.4, subdivision (e), a licensed investment adviser shall file an annual updating amendment, in accordance with the instructions in Form ADV, with IARD in accordance with its procedures for transmission to the Commissioner within ninety (90) days of the end of the investment adviser's fiscal year.
As a result of the foregoing, on or about September 8, 2022, the Commissioner issued an Order to Discontinue Violation against Econometric pursuant to Corporations Code section 25249 for violations of Corporations Code section 25241 and California Code of Regulations, title 10, section 260.241.4, subdivision (e).
On or about September 28, 2022, Econometric submitted its 2021 annual updating amendment to Form ADV, with IARD. Econometric admits to the jurisdiction of the Department of Financial Protection and Innovation (Department) and it is the intention of the Parties to resolve this matter without the necessity of a hearing and/or other litigation.
https://dfpi.ca.gov/wp-content/uploads/sites/337/2022/10/Consent-Order-Econometric-Strategies-LLC.pdf?emrc=1431c5
At-a-glance
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Business Details
- Location of This Business
- 530 Showers Dr STE 7-389, Mountain View, CA 94040-4740
- BBB File Opened:
- 12/12/2022
- Licensing Information:
- This business is in an industry that may require professional licensing, bonding or registration. BBB encourages you to check with the appropriate agency to be certain any requirements are currently being met.
- Type of Entity:
- Limited Liability Company (LLC)
- Business Management
- Paul Cassidy, CEO
- Contact Information
Principal
- Paul Cassidy, CEO
Customer Contact
- Paul Cassidy, CEO
Customer Complaints
0 Customer Complaints
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