Methodology: InvestmentNews qualified 1,578 firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission. To qualify, firms must have met the following criteria: (1) latest ADV filing date is either on or after July 1, 2022, (2) total AUM is at least $100M, (3) managed assets for U.S. household clients during its most recently completed fiscal year, with at least one advisor per 500 clients, (4) no more than 50% of amount of regulatory assets under management is attributable to pooled investment vehicles (other than investment companies), (5) no more than 25% of amount of regulatory assets under management is attributable to pension and profit-sharing plans (but not the plan participants), (6) no more than 25% of amount of regulatory assets under management is attributable to corporations or other businesses, (7) provides financial planning services, (8) is not actively engaged in business as a broker-dealer (registered or unregistered), and (9) is not actively engaged in business as a registered representative of a broker-dealer.
New survey reveals heightened investor concern over market volatility, retirement readiness, and the impact of tariffs on living costs.
Stifel – so far - is on the hook for more than $166 million in damages, legal fees and settlements in investor complaints involving Roberts, a 35-year industry veteran.
Consolidation continues in US wealth management industry.
Tech company democratizes access to US trading infrastructure.
RBC Wealth Management's latest move in New York adds an elite eight-member team to its recently opened Westchester office.
Orion's Tom Wilson on delivering coordinated, high-touch service in a world where returns alone no longer set you apart.
Barely a decade old, registered index-linked annuities have quickly surged in popularity, thanks to their unique blend of protection and growth potential—an appealing option for investors looking to chart a steadier course through today's choppy market waters, says Myles Lambert, Brighthouse Financial.
