Rowling & Associates
8889 Rio San Diego Dr. Ste 202
San Diego, CA 92108
No. advisers: 15
|Financial planning clients||26-50|
|High-net-worth client assets||More than 75%|
|Percentage of assets under management||Yes|
|Total AUM||Total Accounts||Avg. Account AUM|
May 22, 2019 - We recently completed the first tax season following passage of the Tax Cuts and Jobs Act. There were sweeping changes, and most taxpayers â€” and their advisers â€” experienced many unforeseen surprises. Rather than lament, we should learn from these...
March 11, 2019 - Getting new clients is all about reputation. Reputation is your most important asset. Doing a great job for your current clients is, of course, the best reputation builder. But to stand out, you need to do more, whether that's an article in a local paper...
January 18, 2019 - A new year has begun and most of us have the same goals: Add new clients. Make more money. Become more efficient. But these are not the same as resolutions. According to the Oxford English Dictionary, a resolution is "a firm decision to do or not do something."...
October 29, 2018 - As the end of 2018 approaches, the new tax laws will make year-end tax planning more complicated than usual. In spite of the complexity, there are several moves you can make for your clients to minimize their upcoming tax liabilities without getting stuck...
December 27, 2017 - The Republican tax bill has gifted many financial advisers with a lot of additional work in the last few days of 2017. Advisers say they are getting peppered with questions from clients about prepaying property taxes before Jan. 1, when the new tax bill...
April 12, 2017 - I was honored and grateful to attend the inaugural InvestmentNews Icons and Innovators awards luncheon on April 3 as both a participant and an honoree. I have to confess I felt like the lightweight in the room. The awards luncheon, which took place on...
March 7, 2017 - The Securities and Exchange Commission is holding advisers to higher standards of care related to cybersecurity. Yet, while we put more and more protections in place, our clients are facing ever increasing scam attacks, whether through the internet or...
February 22, 2017 - Can you combine technology and personal interaction to differentiate yourself from robo-advisers? Can this combination be used to make your clients more loyal? Can it help clients better understand risk and return? Can it even assist clients in achieving...
December 13, 2016 - At times, we need to travel for business. No matter how enjoyable it might seem when saying yes, travel has its own set of inconveniences and dilemmas. Before agreeing to a trip, at least one of these questions must be answered with a yes: Do I really...
- N/A = Not available
- N/D = Not disclosed
- — = Information not available or not disclosed
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*Methodology:InvestmentNews qualified 2,206 firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission as of May 1, 2019. To qualify, firms must have met the following criteria: (1) latest ADV filing date is either on or after January 1, 2018, (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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