More than 9,200 calls result in 650 referrals to regulators, 130 to protective services.
But overall activity in first half of the government's fiscal year remained on par with the same period last year.
Both firms serve family offices with accounting, reporting tools.
InvestmentPOD says it provides dynamic strategies at robo prices
Two breakaway brokers in Greensboro, N.C., affiliate with firm's indie unit.
Buffalo, N.Y.-based two-person team manages $175 million.
Four-man adviser team in Huntsville, Ala., will operate in indie-employee channel.
Next Capital Management is led by a Goldman alum.
In January and February alone, mutual fund giant took in nine out of every $10 invested in a U.S. mutual fund or ETF.
That represents a decline of 1.2% in a year in which employees' bonuses were cut 2% to 4%.
