39 Broadway Suite 1730
New York, NY 10006
No. advisers: 11
|Financial planning clients||101-250|
|High-net-worth client assets||More than 75%|
|Percentage of assets under management||Yes|
|Total AUM||Total Accounts||Avg. Account AUM|
July 20, 2019 - As you sit there reading this editorial in 2019, you may be surprised to hear that the majority of women still defer financial decisions to their husbands. Or, as financial advisers, perhaps you see proof of this every day in meetings with clients. Well,...
July 6, 2019 - If any generation would have strong feminist tendencies, it would seem to be the millennials. They grew up seeing women gain power and influence. But when it comes to managing their family's investments and planning for their financial future, more millennial...
July 6, 2019 - Over 40 years of marriage, one of Stacy Francis' clients took a back seat to her husband when it came to the family's investments and finances. In fact, she was given a strict budget she felt didn't provide enough money to cover expenses for their life...
August 22, 2018 - When a client couple divorces, their adviser relationship must change too. What was once a singular fiduciary duty of loyalty splits in two. "Success" in these situations requires the adviser to serve the best interests of the separated clients, a goal...
- 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.