Pensionmark Financial Group, Llc
24 E. Cota Street
Santa Barbara, CA 93101
No. advisers: 194
|High-net-worth individuals||Up to 10%|
|Financial planning clients||0 (None)|
|High-net-worth client assets||Up to 25%|
|Percentage of assets under management||Yes|
|Total AUM||Total Accounts||Avg. Account AUM|
May 18, 2019 - Firm Total D-C assets â€¨overseen by network advisers ($B) Number â€¨of D-C â€¨advisers* Primary â€¨contact Business â€¨model Captrust** $256 102 Rick Shoff Managing director Raleigh, N.C. (215) 499-3361 firstname.lastname@example.org Acquisition RIA: Captrust...
May 18, 2019 - David Reich, national president of retirement services, Hub International The regulatory change. When I look at the regulators when they come in and try to drive something, I think they drive value out of the space. ... Also, are we fighting to make sure...
July 20, 2018 - Target-date funds built by firms with large networks of 401(k) plan advisers are beginning to gather significant assets, posing a direct threat to some asset managers trying to distribute their own products. Consider Retirement Plan Advisory Group, a...
- 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.