1200 Mount Kemble Ave
Morristown, NJ 7960
No. advisers: 33
|Financial planning clients||N/A|
|High-net-worth client assets||Up to 25%|
|Percentage of assets under management||Yes|
|Total AUM||Total Accounts||Avg. Account AUM|
June 3, 2017 - The InvestmentNews RIA Data Center qualified over 1,900 fee-only registered investment advisory firms. For more information, please contact INResearch@investmentnews.com. Visit data.investmentnews.com/ria/ for more-complete profiles and interactive rankings....
May 22, 2017 - Editor's note: This is the first in a series of stories that will look at how the advice industry is getting ready for the next market correction. Proactive advisers have been taking steps in recent months to equip clients with the mental resilience to...
June 24, 2016 - Financial advisers pressed the 'keep calm and carry on' message to clients Friday as the global markets reacted wildly to the United Kingdom's surprising vote to leave the European Union after 43 years. â€śWe are explaining to clients that we were prepared...
October 8, 2014 - Being the only woman in the room required a lot of confidence, according to Jane Newton of RegentAtlantic. She said some women must Â“learn to be heardÂ” and sometimes Â“fake it until they make itÂ” as they find their voice in this industry.
August 15, 2014 - Whether its client complaints, staff rebellions or the competition turning up the heat, there's nothing better than having a business partner with whom to share the pains. Not having to face all the difficult challenges of running an advisory business...
July 13, 2014 - Talk about client expectations in the age of always-on connectivity. Milad Taghehchian, a wealth management adviser with Pioneer Wealth Group, recalls a client who needed help one weekend setting up a surround-sound system at her home. She texted an associate...
February 13, 2014 - Like many financial advisers in the Southeastern United States this week, Jennifer and Phil Calandra closed the doors to their Atlanta-based advisory firm on Wednesday and Thursday and operated from their home. â€śWhen you live in Georgia, to see any...
February 5, 2014 - The Securities and Exchange Commission's recent whirlwind of regulatory alarms prompts the question of whether it is biting off more than it can chew. Last week, these included a risk alert on alternative investments, a warning on frequent rollovers and...
- N/A = Not available
- N/D = Not disclosed
- — = Information not available or not disclosed
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*Methodology: InvestmentNews qualified 1,937 firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission as of November 1, 2017. To qualify, firms must have met the following criteria: (1) latest ADV filing date is either on or after January 1, 2016, (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.
Commission accounts could be preferable for some clients, and advisers could be incentivized to move from employee broker-dealers to independent channels.
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