Financial Planning Services, Inc.
185 Wind Chime Ct. Suite 203
Raleigh, NC 27615-1561
No. advisers: 1
|Financial planning clients||1-10|
|High-net-worth client assets||More than 75%|
|Percentage of assets under management||Yes|
|Total AUM||Total Accounts||Avg. Account AUM|
March 7, 2019 - Mercer Global Advisors has acquired Confluence Financial Advisors, a Boulder, Colo.-based registered investment adviser managing approximately $240 million in assets. Confluence founding partners David Gardner and Judy McNary, and their five team members,...
February 4, 2019 - Gerald Loftin hasn't faced unique challenges in the financial advice profession because he's African-American â€” his successes have come in the same way they do for advisers of any color. As the principal at Proficient Wealth Counselors in Norwood, Mass.,...
- 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.