World Trade Center 101 West Main Street, Suite 700
Norfolk, VA 23510-1676
No. advisers: 39
|Financial planning clients||N/A|
|High-net-worth client assets||More than 75%|
|Percentage of assets under management||Yes|
|Total AUM||Total Accounts||Avg. Account AUM|
October 12, 2017 - President Donald J. Trump began his own effort to undo major parts of the Affordable Care Act after Republican leaders in Congress failed to repeal and replace his predecessor's signature legislative accomplishment. Mr. Trump's directive, signed in a...
September 28, 2017 - The U.S. House of Representatives passed the Senate's version of the Fair Access to Investment Research Act of 2017, which would let brokers produce exchange-traded-fund analyses without the reports being considered a sales offer. The bill now goes to...
August 30, 2017 - When it comes to trust services, most financial advisers prefer an arm's-length connection that serves client needs but outsources custody and fiduciary responsibilities elsewhere. "There is tremendous responsibility that comes with being a trustee,"...
August 30, 2017 - President Donald Trump warned Congress not to miss a "once-in-a-generation opportunity" to boost the economy with a massive overhaul of the U.S. tax code as he kicked off his effort to sell the American public on his tax plan Wednesday at a manufacturing...
July 28, 2017 - Walking through Vanguard Group's headquarters in Malvern, Pennsylvania is a lesson in naval history. Paintings of the 18th-century ship that inspired the company's name jostle with seascapes and a framed letter from legendary British Admiral Horatio Nelson....
July 11, 2017 - Senate Republican leaders dropped provisions that would repeal two taxes on high earners in a revised draft of their health-care bill sent to the Congressional Budget Office, according to GOP senators. Republican leaders are now planning to retain Obamacare's...
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 24, 2017 - A law making it more difficult to exploit seniors financially has passed both houses of the Texas Legislature and is on its way to the governor for signature. House Bill 3921 gives banks and securities firms the authority to place a temporary "hold" on...
May 22, 2017 - Clients who rely on Amazon's Alexa to order dog food on command and Venmo to instantly transfer cash to friends are not going to be satisfied with a financial adviser who promises to answer account questions in a day or two. As online retail and service...
April 27, 2017 - Financial advisers don't like what they see so far from President Donald J. Trump. As Mr. Trump completes his first 100 days in office on Saturday, more than half â€” 51.6% â€” of advisers in an InvestmentNews survey said they disapprove of his job performance,...
- N/A = Not available
- N/D = Not disclosed
- — = Information not available or not disclosed
Purchase the data and information contained in the RIA Data Center in an Excel spreadsheet.
For comments or suggestions about the Adviser Center, please contact us.
Reprints: For reprints of these rankings, please contact Laura Picariello.
*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.
Latest news & opinion
Comparing a firm's pay to the competition can point out vast flaws.
Sure signs that clients may be on the way out the door.
Flows to advisory accounts, while still higher than the start of 2016, dropped off more than 20% from Q2 and were the lowest in a year.
Median compensation hovers just under $100,000 on the low end and reaches nearly $300,000 for bosses.
All 634.403 reps have been ranked based on factors such as prior regulatory disclosures, disciplinary actions and employment history.