100 Smith Ranch Rd. Suite 300
San Rafael, CA 94903
No. advisers: 53
|Financial planning clients||More than 500|
|High-net-worth client assets||More than 75%|
|Percentage of assets under management||Yes|
|Total AUM||Total Accounts||Avg. Account AUM|
June 1, 2019 - Rank 2019 2019 Total Discretionary Nondiscretionary Firm Phone/website % change assets ($M) accounts assets ($M) accounts assets ($M) accounts Employees 1 The Mather Group 353 N. Clark St., Suite 2775 Chicago, IL 60654 (630) 537-1078 themathergroup.com...
November 3, 2018 - If Andrew Salesky, head of adviser technology at Charles Schwab, is in the hot seat, he's not showing it. The Schwab veteran, who took up his latest post in June, possesses an unexpected calm as he talks about Schwab's efforts to convince its 7,600 adviser...
September 24, 2018 - Private Ocean is continuing its expansion in the San Francisco area with the acquisition of Mosaic Financial Partners. The addition of the $620 million advisory firm gives Private Ocean a presence in San Francisco and the North Bay and East Bay areas,...
June 9, 2018 - Rank 2018 % change 2018 Total Discretionary Nondiscretionary Firm Phone/website assets ($M) accounts assets ($M) accounts assets ($M) accounts Employees 1 Breed's Hill Capital 1 Thompson Square, Suite 301 Boston, MA 02129 (617) 580-3440 breedshillcapital.com...
May 11, 2018 - Live for today. Coming from financial advice professionals committed to planning, that message seems almost heretical. But participants in the "Innovative Adviser Roundtable" at the recent Icons & Innovators' Innovation Summit in New York believe the...
May 3, 2018 - Financial advisers looking for an excuse to avoid allocations to investments based on environmental, social and governance factors have been handed a hall pass in the form of a recent bulletin from the Department of Labor. While the densely-written April...
April 25, 2018 - When it comes to expanding your practice, many advisers are considering acquiring. But is this the right time? Greg Friedman of Private Ocean weighs in.
February 13, 2018 - Greg Friedman and Rich Cancro sit down for their first interview together since the big deal. What''s next for AdvisorEngine? How will Private Ocean and Friedman soar after the deal?
January 2, 2018 - AdvisorEngine, the provider of white-label digital advice technology for advisers, is kicking off 2018 with the acquisition of Junxure, a client relationship management (CRM) software for the wealth management industry. Junxure supports 12,000 users managing...
April 25, 2017 - Deploying certain technologies can be more effective at business development than hiring an additional planning professional. Systems that help financial advisers find connections to appealing prospects and digital marketing tools that automatically cultivate...
- 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.
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