Capital Management Llc
628 Green Valley Road Suite 204
Greensboro, NC 27408
No. advisers: 9
|Financial planning clients||1-10|
|High-net-worth client assets||Up to 25%|
|Percentage of assets under management||Yes|
|Total AUM||Total Accounts||Avg. Account AUM|
November 20, 2019 - The Financial Industry Regulatory Authority Inc., along with the rest of the securities industry, is staring at a fresh wave of unpaid â€” and embarrassing â€” arbitration awards. Arb awards go unpaid when investors win lawsuits against broker-dealers...
October 10, 2019 - Two small broker-dealers with different business models, one for retail reps and the other a wholesaler of alternative and real estate funds, are closing their doors. The former B-D, Taylor Capital Management, is potentially facing dozens if not hundreds...
September 30, 2019 - Another 17 investment advisory firms have agreed to return nearly $10 million to investors in the latest round of settlements in the Securities and Exchange Commission's crackdown on inadequate disclosure of mutual fund fees, the agency announced Monday....
September 21, 2019 - To hear Leon LaBrecque talk about how to prepare a financial advisory firm for an economic downturn, one might assume he is actually rooting for such a scenario. Truth is, the chief growth officer at Sequoia Financial Group has learned through decades...
September 20, 2019 - Sixteen women won Women in Asset Management awards in New York on Sept. 12, the first such awards sponsored in the U.S. by London-based Bonhill Group, the parent company of InvestmentNews. Recognizing the imbalance of women at senior-level positions within...
- 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.