888 Prospect Street Suite 200
La Jolla, CA 92037
No. advisers: 13
|Financial planning clients||1-10|
|High-net-worth client assets||Up to 75%|
|Percentage of assets under management||Yes|
|Total AUM||Total Accounts||Avg. Account AUM|
May 6, 2017 - Mandy Hummel needed a change. A resident of Grass Valley, Calif., located outside Sacramento in the foothills of the Sierra Nevada mountains, Ms. Hummel had spent the last several years of her career working in customer service for a company that manufactures...
December 8, 2015 - Advisers who don't actively consider health care costs during retirement income planning with clients are missing out on an opportunity to set themselves apart from the pack, and tackle a subject that clients increasingly value. â€œI think it can help...
November 10, 2015 - Staying in the workforce to make up for a retirement savings shortfall has significant financial benefits, but advisers shouldn't consider the strategy a panacea. Unforeseen circumstances could sideline clients earlier than expected, meaning working in...
- N/A = Not available
- N/D = Not disclosed
- — = Information not available or not disclosed
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*Methodology:InvestmentNews qualified 2,172 firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission as of May 1, 2018. 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) not one who is an insurance company or agency.
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