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Adviser Profile

Registration status Terminated
As of Date 08/16/2023
Adviser Type - Large advisory firm
- An investment adviser (or subadviser) to an investment company
Number of Employees 14 16.67%
of those in investment advisory functions 6
AUM* 6,678,390,435 -34.83%
of that, discretionary 6,678,390,435 -34.83%
Private Fund GAV* 0
Avg Account Size 13,884,388 -74.93%
% High Net Worth 45.31% 51.62%
SMA’s Yes
Private Funds 0
Contact Info (40 xxxxxxx
Websites

Client Types

- Individuals (other than high net worth individuals)
- High net worth individuals
- Investment companies
- Pooled investment vehicles
- Charitable organizations

Advisory Activities

- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for pooled investment vehicles
- Portfolio management for businesses

Compensation Arrangments

- A percentage of assets under your management
- Fixed fees (other than subscription fees)

Reported AUM

10B 9B 7B 6B 4B 3B 1B
2015 2016 2017 2018 2019 2020 2021 2022 2023
Discretionary
Non-discretionary

Private Funds

No private funds

Employees

Top Holdings

Stock Ticker Stock Name $ Position % Position $ Change # Change
Stck Ticker000000000 Stock NameN/A $ Position$ % Position $ Change # Change

Brochure Summary