The Institute

The Institute

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1776 Lincoln St. Suite 950

Denver, CO 80203

303-572-3500

iwm401k.com

No. advisers: 5

AUM: $841,371,068

Asset Breakdown

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

Here's to a profession as old as Woodstock

September 14, 2019 - With battalions of graying baby boomers marching — or, perhaps, ambling — into retirement, this summer's 50th anniversary of Woodstock was especially significant. For the hundreds of thousands who attended the event in 1969 and the millions more who...

Millennials finally ready to invest sustainably

September 13, 2019 - Wealthy millennials are finally thinking about investing in sustainable companies almost as much as they shop for socially conscious products in stores, according to a survey released Thursday. About 95% of millennials — which the survey classified...

Financial education for college students can also benefit families

September 13, 2019 - Financial literacy is a key driver of personal financial security and success, and it has implications for our country's economic strength, as well. Yet far too many Americans, including college students, lack the financial knowledge they need to thrive....

MIT settles class-action suit that snared Fidelity's Abigail Johnson

September 13, 2019 - The Massachusetts Institute of Technology has reached a settlement agreement in a class-action lawsuit that alleged a quid pro quo arrangement with Fidelity Investments related to the university's 401(k) program. The agreement comes just days before the...

SEC continues to see problems with advisers selecting too-expensive share classes

September 13, 2019 - More than 18 months after the Securities and Exchange Commission began a crackdown on inadequate mutual fund payment disclosures, the problem doesn't seem to be going away. In February 2018, the agency implemented an enforcement program encouraging advisory...

Lincoln, other insurers likely to backtrack on New York annuity pullback

September 12, 2019 - Lincoln Financial Group and other insurance companies that pulled some annuities from the New York market in the wake of a new state regulatory requirement will likely reintroduce the products in coming weeks, now that the New York Department of Financial...

529 savings plans are not just for college anymore

September 7, 2019 - The nation's most widely used investment vehicle for paying for college is also becoming popular as an estate planning tool and for financing other non-college-related costs thanks to recent tax changes and some creative financial thinking. As a result...

401(k) court ruling could hurt retirement savers

September 7, 2019 - A recent appeals court decision allowing Charles Schwab Corp. to force its employees to arbitrate disputes about the company's 401(k) plan could prove to be a negative development for 401(k) participants and their financial security in retirement. The...

Abigail Johnson of Fidelity reaches deal to avoid testifying at 401(k) trial

September 6, 2019 - Abigail Johnson, chairman and chief executive of Fidelity Investments, will not have to testify at an upcoming trial regarding the Massachusetts Institute of Technology 401(k) plan, marking a stark de-escalation of tensions that had flared in recent weeks...

Why is adviser compensation flat?

September 5, 2019 - Adviser compensation is not growing with the same exuberance as it has in the past. Prior to 2017, adviser wage growth exceeded 5% per year and reached as high as 8% in 2016. Over the past two years, however, average compensation to advisers has struggled...

    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.

For comments or suggestions about the Adviser Center, please contact us.

Reprints: For reprints of these rankings, please contact Laura Picariello.

*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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