Asset Strategies, Inc.
80 West Avon Rd.
Avon, CT 6001
No. advisers: 10
|Financial planning clients||11-25|
|High-net-worth client assets||Up to 75%|
|Percentage of assets under management||Yes|
|Total AUM||Total Accounts||Avg. Account AUM|
October 9, 2019 - The Securities and Exchange Commission kicked out of the industry a former Morgan Stanley broker who participated in an insider-trading scheme. In an Oct. 8 order, the SEC barred Michael Siva from working for a brokerage, investment adviser or other firm,...
October 3, 2019 - The Finra board has advanced proposals to reform the process by which brokers can clear their record of customer disputes and to curb the ability of brokers to become the beneficiary or executor of a customer's will. The Financial Industry Regulatory...
September 9, 2019 - When a new investment advice standard for brokers is implemented next June, Finra will be responsible for examining brokers for compliance. But the Securities and Exchange Commission will make the final call on determining how the regulation will work....
June 20, 2019 - ItÂ’s getting harder for investors to find consistent returns in this slowing global economy. Well-designed multi-asset strategies Â– and the right manager Â– can help investors stay in the market and take the right risks at the right time.
- N/A = Not available
- N/D = Not disclosed
- — = Information not available or not disclosed
Purchase the data and information contained in the RIA Data Center in an Excel spreadsheet.
For comments or suggestions about the Adviser Center, please contact us.
Reprints: For reprints of these rankings, please contact Laura Picariello.
*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.