5600 Eubank Blvd Ne Suite 260
Albuquerque, NM 87111
No. advisers: 4
|High-net-worth individuals||Up to 10%|
|Financial planning clients||11-25|
|High-net-worth client assets||Up to 25%|
|Percentage of assets under management||Yes|
|Total AUM||Total Accounts||Avg. Account AUM|
November 8, 2016 - When Americans are worried, they reach for guns, tobacco, slot machines and booze â€” and that's one reason USA Mutuals Vice fund (VICEX) has done so well this year. Unlike funds that seek to make the world safer and healthier, USA Mutuals Vice fund aims...
April 14, 2016 - The financial markets are closely watching the initial public stock offering by Bats Global Markets, which is being described as the ice-breaker in an IPO market that has been virtually frozen solid this year. The stock exchange operator, which will compete...
July 17, 2015 - After trailing his benchmark for a second year, this asset manager is sticking to his guns. And cigarettes, and beer. Even casinos, despite a crackdown on corruption in China that sent Macau houses into a tailspin. Gerry Sullivan, who runs $238 million...
- 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.