The Institute

The Institute


1776 Lincoln St. Suite 950

Denver, CO 80203


No. advisers: 5

AUM: $841,371,068

Asset Breakdown

Employees 5
High-net-worth individuals Up to 10%
Financial planning clients 26-50
High-net-worth client assets Up to 50%
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 $758,957,510 3,189 $237,992
Non-discretionary 82413558 504 $163,519
Total $841,371,068 3,693 $227,829

Data privacy issues looming

November 9, 2019 - Retirement plan record keepers are concerned about two looming data privacy issues that could have a big impact on their business. Lawsuits threaten companies' ability to cross-sell products, and cybersecurity looms as an increasing cost just as record...

Blockchain offers benefits to retirement ecosystem

November 9, 2019 - America's workplace savings industry is a diverse and complex ecosystem of employee participants, plan sponsors, record keepers, advisers, asset managers, broker-dealers, banks, insurers and multiple government agencies. Information that flows between...

Uncharitable giving

November 9, 2019 - Charitable giving is undergoing a shift in the wake of the 2017 tax law, and could see yet more changes in the coming months and years as a result of legislation working its way through Congress. [More:​ Tax reform changed the way advisers promote charitable...

Adjusting to the squeeze of fee compression

November 9, 2019 - Even as 401(k) record keepers have found ways to adapt to the reduction in revenue caused by ongoing and drastic fee compression in the retirement industry, other revenue threats loom from financial advisers and retirement-plan lawsuits, according to...

Charles Schwab to launch TDF-managed account hybrid for 401(k)s

November 8, 2019 - Charles Schwab & Co. plans to roll out a service for 401(k) participants next year that's a hybrid of a target-date fund and a managed-account advice service, following in the footsteps of a handful of prominent retirement-plan record keepers and building...

ETFs - An Important Tool for Wealth Management

November 8, 2019 - Since their creation in 1990 in Canada and 1993 in the U.S., exchange-traded funds (ETFs) have become widely used to help investors achieve their financial goals. Drawn by low turnover, lower fees, broad diversification and greater tax efficiency, investors...

SECURE Act 'frozen' by Trump impeachment inquiry

November 6, 2019 - A retirement bill many financial advisers have been eyeing with interest is being held up by impeachment proceedings in Washington, as President Donald J. Trump confronts allegations he abused the power of his office in his dealings with Ukrainian officials....

Cybersecurity is a ticking time bomb for 401(k)s

November 6, 2019 - In a recent call with a 15,000-employee plan sponsor client that had implemented automatic enrollment, Kathleen Kelly, managing director at Compass Financial Partners, discussed their concerns that a majority of the plan participants had not authenticated...

RIAs: Productivity boosts will demand multifaceted strategy

November 4, 2019 - In my work with advisory firms across the country, I spend a lot of time on the road and – not surprisingly – visit many Starbucks shops. Regardless of which city I'm in, I always marvel at how quickly and smoothly the Starbucks teams work together,...

National auto-IRA program would boost U.S. retirement savings

November 1, 2019 - A federal auto-IRA program would significantly reduce the U.S. retirement savings shortfall, especially among young workers, according to a new study. Oregon was the first state to enact an auto-IRA program, in July 2017. The program, OregonSaves, requires...

  • 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.


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