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|
August 17, 2017 - The financial services industry would like to kill the Department of Labor's fiduciary standard. It's expensive to put into place, and the industry's grave fear is that it leaves brokers open to substantial legal risk. As part of its effort to shut down...
August 10, 2017 - The Securities and Exchange Commission has obtained a final judgement against Pittsburgh, Pa.-based financial adviser Louis Martin Blazer III, who was accused of taking money without permission from the accounts of several professional athletes. Mr. Blazer,...
August 10, 2017 - The 18-month delay of the Department of Labor's fiduciary rule will lead to more talk and more confusion, according to brokers and advisers. "This [delay] is the stupidest thing I've ever heard, because the longer it goes on, the worse it is for consumers...
August 9, 2017 - Private equity has discovered the financial advice industry, which can represent a whole new set of opportunities â€” and challenges â€” for advisory firms. "The appeal for us is, it provides some capital to help us continue to grow," said Scott Hanson,...
July 25, 2017 - Why is active losing out to passive? It's because most active managers have a dual mandate to serve both institutional and retail investors. The mandates, or expectations, of these two types of investors are vastly different, and they are in direct conflict....
July 14, 2017 - DFPG Investments Inc., a broker-dealer and registered investment adviser in Salt Lake City, Utah, has acquired Provo, Utah-based Riggs Capital Management, which manages $220 million in assets. The addition of Riggs Capital, brings DFPG's assets under...
July 12, 2017 - Three former executives in the wealth management business of Affiliated Managers Group have formed an aggregation firm taking minority stakes in Forbes Family Trust, MAI Capital Management and EP Wealth Advisors. The new firm, Wealth Partners Capital...
July 6, 2017 - Zevenbergen Genea doesn't exactly roll off the tongue. But so far, the $5.7 million fund is on a roll. The fund, which trades under the ticker ZVGNX, is a concentrated, go-anywhere fund that is largely focused in technology. So far this year, it's up...
- 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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