628 Green Valley Road, Suite 204
Greensboro, NC 27408
No. advisers: 3
|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|
September 7, 2019 - The nation's most widely used investment vehicle for paying for college is also becoming popular as an estate planning tool and for financing other non-college-related costs thanks to recent tax changes and some creative financial thinking. As a result...
September 5, 2019 - Two Raymond James teams that managed a total of $290 million in Greenville, S.C., have moved to Janney Montgomery Scott and will open an office for the firm there. Waingart Wealth Advisors, a four-person team led by Edwin Waingart, managed more than $155...
August 31, 2019 - "Poor man want to be rich; Rich man want to be king. And a king ain't satisfied, till he rules everything." Those words from Bruce Springsteen's 1978 single "Badlands" resonate with Jud Bergman, chairman and CEO of Envestnet, as he considers the landscape...
August 16, 2019 - Sam Walton would probably be bewildered by the businesses his grandchildren have chosen to pursue, but the late founder of the world's largest family fortune would likely have applauded their initiative. [More: Estate tax pretty much 'optional,' but GOP...
August 16, 2019 - The brokerage industry's regulator has barred broker Gregory T. Dean from the industry for excessively trading customer accounts, which led to $1.8 million in losses for clients but generated hefty commissions for him. Mr. Dean, formerly registered with...
August 16, 2019 - Falling interest rates across the global fixed-income market have proven to be a boon for certain bond funds that are pushing the limits on interest-rate risk. For example, by delivering promised longer-duration exposure, both the Pimco Extended Duration...
July 25, 2019 - Lido Advisors, a Los Angeles-based registered investment adviser, will acquire the Los Angeles-based fixed income portfolio management team from Denver-based First Western Financial as well as over $300 million in assets currently held through First Western...
July 15, 2019 - Former Beverly Hills stockbroker and B-D owner Todd Ficeto, 52, of Marion, Ohio, has been found guilty on several counts of participating in a stock manipulation scheme designed to pump up the reported profits of hedge funds that fraudulently caused investors...
- 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.