205 East 42nd Street 20th Floor
New York, NY 10017
No. advisers: 7
|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|
March 19, 2019 - One of the biggest cultural touchstones so far in 2019 has been the Netflix reality show "Tidying Up with Marie Kondo." It stars Japanese organizing consultant Marie Kondo as she helps families clean up their homes using her KonMari method. Ms. Kondo...
June 23, 2018 - Two days ofâ€‹ high-level talks with fintech experts, advisers, broker-dealers and custodians answered an important question for anyone looking for the perfect technology stack. It isn't out there. Perhaps most important is for firms to create an office...
June 23, 2018 - As the world of adviser technology continues to expand with no end in sight, how does a firm go about building the ideal technology suite for advisers? Should firms invest in adding a digital-advice component to reach millennials? And how can advisers...
November 4, 2017 - Gather the technology leaders of competing custodians and registered investment advisers of various sizes, and there are sure to be some disagreements about whether robo-advisers are a blessing or a curse and which are the greatest cybersecurity threats....
November 4, 2017 - The current and future states of adviser technology were the subjects of two hour-long sessions at the InvestmentNews Technology Think Tank held in September in New York. In each session, participants were asked to identify their firm's top tech-related...
August 7, 2017 - Summer isn't what it used to be, according to financial advisers. June, July and August used to be slower months when clients vacationed and advisers would recharge themselves and their practices, completing long-term projects aimed at business development...
- 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.