Rowling & Associates

Rowling & Associates

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8889 Rio San Diego Dr. Ste 202

San Diego, CA 92108

619-295-0200

rowling.com

No. advisers: 13

AUM: $340,889,151

Asset Breakdown

Staff
Employees 13
Clients
High-net-worth individuals 26-50%
Financial planning clients 11-25
High-net-worth client assets More than 75%
Compensation
Percentage of assets under management Yes
Hourly charges Yes
Subscription fees No
Fixed fees Yes
Commissions No
Performance-based fees No
Total AUM Total Accounts Avg. Account AUM
Discretionary $336,028,723 884 $380,123
Non-discretionary 4860428 64 $75,944
Total $340,889,151 948 $359,588

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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."...

5 year-end tax planning strategies

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...

Tax bill prompts client questions on prepaying property taxes before 2018

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...

An insider's view of the inaugural Icons and Innovators luncheon

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...

Help protect clients from scam attacks

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...

Get ahead of robo-advisers by combining personal and digital services

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...

Apps to help make business travel easier for financial advisers

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...

Help clients avoid capital gains distributions

November 30, 2016 - Capital gain distributions occur near year end when mutual funds need to pass through gains realized within the funds. This means shareholders have to pay tax on income they haven't received. It's true that the basis gets increased, but clients typically...

    Notes
  • 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 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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