The Institute

The Institute

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1776 Lincoln St. Suite 950

Denver, CO 80203-1022

303-572-3500

secure.iwm401k.com/home/index.jsp

No. advisers: 2

AUM: $660,210,000

Asset Breakdown

Staff
Employees 2
Clients
High-net-worth individuals N/A
Financial planning clients 26-50
High-net-worth client assets 0 (None)
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 $660,076,000 2,184 $302,233
Non-discretionary 134000 3 $44,667
Total $660,210,000 2,187 $301,879

Bank of America vice chairman and head of global wealth, Terry Laughlin, dies at 63

October 26, 2018 - Bank of America Corp. said Terry Laughlin, vice chairman and head of global wealth and investment management, has died. He was 63. Mr. Laughlin, who ran the bank's $2.8 trillion wealth management business, formerly served as its chief risk officer, the...

Focus on Investment Implications of Geopolitics

October 17, 2018 - These Investments & Wealth Monitor articles focus on the challenge and impact of geopolitics risks. Investments & Wealth Institute is the professional association for advanced financial professionals.

2018 Investments & Wealth Institute Award-Winning Articles

August 20, 2018 - Each year the Institute honors outstanding articles from the organization’s investments and wealth publications. Investments & Wealth Institute is the professional association for advanced financial professionals.

Focus on Disruptive Trends

June 21, 2018 - These Investments & Wealth Monitor articles focus on far-reaching disruptive trends in the industry. Investments & Wealth Institute is the professional association for advanced financial professionals.

Protection, growth and income

May 7, 2018 - Protection, Growth and Income: Helping Consumers Reach Retirement Goals, is a 12-page report based on a research survey conducted on behalf of AXA and the Insured Retirement Institute that uncovers what is on consumers’ minds for retirement.

Focus on ESG/Impact investing

April 20, 2018 - These Investments & Wealth Monitor articles focus on the growing interest in ESG/impact investing. Investments & Wealth Institute is the professional association for advanced financial professionals.

    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.

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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.