February 22, 2011

Take the Top Wealth Managers Quarterly Pulse Survey

RIA firms with $50 million or more in AUM can take the survey right now through March 15. It’s the first step to be considered for the Top Wealth Managers Ranking.

We have extended the Top Wealth Manager Quarterly Pulse Survey for Q4 2010 through March 15th. Registered investment advisors (RIAs) with $50 million or more in assets under management (AUM) can take the survey right now. Now, RIA firms can be registered at the state or SEC level, as long as they meet the rest of the criteria. Completing the survey is the first step for a firm to be eligible for the Top Wealth Managers Quarterly ranking.

Click here to review eligibility criteria and take the survey.

Only ADV-reported AUM is eligible to be included in the minimum $50 million in AUM.

Please note, commission assets are ineligible. This category includes brokerage account assets and any assets on which the firm received an immediate or ongoing service commission or trail.

Eligibility
To be considered, a firm must:
1. Be an SEC-or State-registered investment advisor with its own IARD number.
2. Have minimum assets under advisement of $50 million.
3. Have individuals or high-net-worth individuals (as defined by the SEC) as more than half of its client base
4. Offer financial planning services

The following are not eligible to participate:
1. Banks
2. Broker-Dealers
3. Trust Companies
4. Branches of independent broker-dealers
5. Subsidiaries of larger companies, unless they meet all other requirements and file their own ADV.

Click here to see the full eligibility rules and take the survey. 

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