| AUM* | 4,752,641,496 -56% |
| of that, discretionary | 4,744,621,660 -56% |
| Number of Employees | 42 2% |
| of those in investment advisory functions | 17 -11% |
| Private Fund GAV* | 0 |
| Avg Account Size | 13,201,782 3% |
| High Net Worth | 17.50% 42% |
| SMA’s | Yes |
| Private Funds | 0 |
- Individuals (other than high net worth individuals)
- High net worth individuals
- Investment companies
- Pension and profit sharing plans
- Charitable organizations
- State or municipal government entities
- Insurance companies
- Corporations or other businesses not listed above
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for investment companies
- Portfolio management for businesses
- Pension consulting services
- Educational seminars/workshops
- A percentage of assets under your management
- Hourly charges
- Performance-based fees
| 11.G | Currently subject to regulatory proceeding |
No private funds