A PHP Error was encountered

Severity: Notice

Message: Undefined offset: 0

Filename: controllers/app.php

Line Number: 145

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 145

A PHP Error was encountered

Severity: Notice

Message: Undefined offset: 0

Filename: controllers/app.php

Line Number: 161

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 166

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 167

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 168

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 169

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 170

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 171

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 172

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 173

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 174

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 175

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 176

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 177

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 178

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 179

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 180

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 181

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 182

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 183

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 184

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 185

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 186

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 187

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 188

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 189

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 190

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 191

A PHP Error was encountered

Severity: Notice

Message: Trying to get property of non-object

Filename: controllers/app.php

Line Number: 192

- InvestmentNews

,

Asset Breakdown

Total AUM Total Accounts Avg. Account AUM
Discretionary
Non-discretionary
Total

Staff

Employees

Clients

High-net-worth individuals
Financial planning clients

Clients

High-net-worth client assets

Compensation

Percentage of assets under management
Hourly charges
Subscription fees
Fixed fees
Commissions
Performance-based fees

Purchase the data and information contained in the RIA Data Center in an Excel spreadsheet.

For more information about the RIA Data Center, please contact InvestmentNews Data.

Reprints: For reprints of these rankings, please contact Laura Picariello.

*Methodology: InvestmentNews qualified 1,906 firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission as of May 1, 2017. To qualify, firms must have met the following criteria: (1) latest ADV filing date is either on or after January 1, 2017, (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) nor one who is an insurance company or agency.

Database last updated on June 5, 2017.

Latest news & opinion

Will Jeffrey Gundlach's Trump-like approach on Twitter work in financial services?

The DoubleLine CEO's attacks on Wall Street Journal reporters is igniting a discussion on what's fair game on social media.

Fidelity wins arb case against wine mogul but earns a rebuke from Finra

In the case of investor Peter Deutsch, Fidelity doesn't have to pay any compensation, but regulator said firm put its interests ahead of his.

Plaintiffs win in Tibble vs. Edison 401(k) fee case

After a decade of activity around the lawsuit, including a hearing before the U.S. Supreme Court, judge rules a prudent fiduciary would have invested in institutional shares.

Advisers get more breathing room to make Form ADV changes

RIAs can enter '0' in some new parts of the document before their annual filing next year.

Since banking scandal, Wells Fargo advisers with more than $19.2 billion leave firm

Despite a trying year, the firm has said it will sweeten signing bonuses for veteran advisers.