21805 Field Parkway Suite 250
Deer Park, IL 60010
No. advisers: 6
|High-net-worth individuals||Up to 10%|
|Financial planning clients||251-500|
|High-net-worth client assets||Up to 25%|
|Percentage of assets under management||Yes|
|Total AUM||Total Accounts||Avg. Account AUM|
August 2, 2019 - The renewed bout of equity volatility sent exchange-traded fund volumes through the roof this week. More than 142 million shares of the SPDR S&P 500 ETF Trust (SPY) changed hands Thursday, according to data compiled by Bloomberg. That was the highest...
July 24, 2018 - Rising student loan interest rates will make college degrees even more expensive for Americans who begin taking out new loans starting this month. As of July 1, undergraduate federal Stafford student loan interest rates increased for the second year in...
September 28, 2017 - Phil Nguyen, who managed $179 million in assets at Purshe Kaplan Sterling Investments along with Todd Ferreira, has joined the employee channel of Ameriprise Financial. The two, who were joined with their two client service associates, are based in Campbell,...
June 12, 2017 - A broker formerly registered with Woodbury Financial Services Inc., an independent broker-dealer that's part of the Advisor Group network, was barred from the industry after failing to provide on-the-record testimony to Finra in connection with an investigation...
April 21, 2017 - An investment adviser barred from the industry for making referral payments to an attorney for access to a wealthy client was sentenced in federal court in Boston on Thursday to a year of probation, according to the U.S. Attorney's Office. John W. Rafal,...
April 12, 2017 - I was honored and grateful to attend the inaugural InvestmentNews Icons and Innovators awards luncheon on April 3 as both a participant and an honoree. I have to confess I felt like the lightweight in the room. The awards luncheon, which took place on...
January 9, 2017 - A Connecticut investment adviser has been barred from the industry by the Securities and Exchange Commission and will pay $577,297 in penalties for concealing a referral fee from a client and then trying to undermine the agency's investigation. John W....
- 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.