151 National Drive
Glastonbury, CT 6033
No. advisers: 102
|High-net-worth individuals||Up to 10%|
|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|
April 9, 2018 - E*Trade's $275 million acquisition of Trust Company of America, which was completed Monday, is expected to send the second-tier custodian into growth mode thanks to beefed-up resources, technology and marketing muscle. The first step in that direction...
March 30, 2018 - Whether financial advisers are dealing with an existing client, or a prospective one, they are expected to provide an honest and objective view of the client's financial situation. As a financial adviser, being able to present bad news to a client is...
March 16, 2018 - The latest body blow to the Department of Labor's fiduciary rule continues to divide the financial advice industry. "It's a shame we keep having these conversations when we should just put our foot down, because there shouldn't be an argument about whether...
December 20, 2017 - Money managers have already tried to sell people exchange-traded funds linked to booze and over-eating. So it probably shouldn't come as a shock that they're moving on to an even touchier region of the American psyche â€” politics. Believe it or not,...
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....
April 26, 2016 - Asking certain types of clients for referrals can better an adviser's odds of getting that valuable recommendation that leads to new business. Clients who are retired or near retirement are one of four categories of clients who make the best referral...
- 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.
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