Financial Synergies

Financial Synergies


4400 Post Oak Pkwy Suite 200

Houston, TX 77027


No. advisers: 10

AUM: $768,630,676

Asset Breakdown

Employees 10
High-net-worth individuals 51-75%
Financial planning clients 0 (None)
High-net-worth client assets More than 75%
Percentage of assets under management Yes
Hourly charges No
Subscription fees No
Fixed fees Yes
Commissions No
Performance-based fees Yes
Total AUM Total Accounts Avg. Account AUM
Discretionary $768,630,676 1,677 $458,337
Non-discretionary 0 0 $0
Total $768,630,676 1,677 $458,337

Strong M&A market for RIAs propels Focus Financial toward possible IPO

August 24, 2016 - Focus Financial Partners has the wind at its back in the merger and acquisition market as the aggregator of registered investment advisory firms reportedly prepares to go public. The firm has confidentially filed for an initial public offering that could...

Advisers leave Wells Fargo to create $4.5 billion RIA firm GYL Financial

August 1, 2016 - A group of financial advisers has left Wells Fargo & Co.'s independent brokerage arm to create registered investment advisory firm GYL Financial Synergies with $4.5 billion of client assets. Gerald Goldberg, Jonathan Yolles, Michael Lepore and Claire...

  • N/A = Not available
  • N/D = Not disclosed
  • — = Information not available or not disclosed

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*Methodology: InvestmentNews qualified 2,298 firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission as of November 1, 2019. To qualify, firms must have met the following criteria: (1) latest ADV filing date is either on or after January 1, 2019, (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.

Database last updated on January 15, 2020.


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