628 Green Valley Road, Suite 204
Greensboro, NC 27408
No. advisers: 3
|Financial planning clients||N/A|
|High-net-worth client assets||Up to 75%|
|Percentage of assets under management||Yes|
|Total AUM||Total Accounts||Avg. Account AUM|
October 19, 2017 - State securities regulators in Massachusetts have charged a Waltham-based investment adviser and his firm, Moser Capital Management, with engaging in fraudulent conduct and breaching their fiduciary duties. In its complaint, Massachusetts alleges that...
October 4, 2017 - President Donald J. Trump's budget chief said not to take the president's suggestion that Puerto Rico's debt would be "wiped out" literally, as the territory's bonds plunged to a record low Wednesday. A benchmark general obligation bond due in 2035 plunged...
September 13, 2017 - The Securities and Exchange Commission has barred two state-registered RIAs for allocating trades in client accounts in ways that benefitted the advisers at the expense of clients. California-registered investment adviser Jeremy Licht, who did business...
September 13, 2017 - Betterment has partnered with BlackRock and Goldman Sachs to push its digital platform further into the realm of more-complex investment strategies. The robo-advice platform, with $10 billion under management, announced Tuesday it is adding an income...
September 8, 2017 - Stephen Barnes has suffered damage from Hurricane Irma even before it hits Florida. He owns Stone Ridge Reinsurance Risk Premium Interval Fund, a mutual fund that dropped 11 percent this week as the hurricane wreaked havoc in the Caribbean. In calmer...
September 6, 2017 - Sports radio host Craig Carton was arrested and charged with ripping off investors of millions of dollars in an alleged fake concert-ticket scam, with U.S. regulators saying he used the money to pay off gambling debts. The arrest is the latest in a widening...
September 6, 2017 - In his almost two decades at KKR & Co., Adam Clammer helped lead some of its bigger investments in technology, such as Go Daddy and NXP Semiconductors. Then, he got the itch to do what a lot of his peers are doing: to go out on his own. With another ex-KKR...
September 6, 2017 - Like many active managers, Mark Yusko of Morgan Creek Capital Management has some serious gripes about the rise of exchange-traded funds and the ascendancy of passive investing. And like many of those managers, he's also starting his own ETF to cash in...
August 28, 2017 - Hurricane Harvey will be a noble test of whether financial advice firms need stiffer emergency planning rules. The Securities and Exchange Commission proposed a rule in June 2016 that would require registered investment advisers to not only have written...
- N/A = Not available
- N/D = Not disclosed
- — = Information not available or not disclosed
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*Methodology: InvestmentNews qualified 1,906 firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission as of May 1, 2017. To qualify, firms must have met the following criteria: (1) latest ADV filing date is either on or after January 1, 2017, (2) total AUM is at least $100M, (3) does not have employees who are registered representatives of a broker-dealer, (4) provided investment advisory services to clients during its most recently completed fiscal year, (5) no more than 50% of amount of regulatory assets under management is attributable to pooled investment vehicles (other than investment companies), (6) no more than 25% of amount of regulatory assets under management is attributable to pension and profit-sharing plans (but not the plan participants), (7) no more than 25% of amount of regulatory assets under management is attributable to corporations or other businesses, (8) does not receive commissions, (9) provides financial planning services, (10) is not actively engaged in business as a broker-dealer (registered or unregistered), (11) is not actively engaged in business as a registered representative of a broker-dealer, (12) has neither a related person who is a broker-dealer/municipal securities dealer/government securities broker or dealer (registered or unregistered) nor one who is an insurance company or agency.
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