PORTLAND, Ore. – September 9, 2014 – Ferguson Wellman Capital Management has been named the top registered investment advisory firm in the state of Oregon. For the top RIA list, InvestmentNews qualified the list of firms based on data firms listed in Form ADV to the Securities and Exchange Commission in 2014. Many criteria were considered for the listing. Among them were total assets under management and financial planning services. Also, neither the firm nor its representatives can be actively engaged in business as a representative of a broker-dealer.
“It is always gratifying to be mentioned alongside your peers when it comes to assets under management and percentage gained year-over-year. Equally important to us is the trusting relationships we have earned with each of our clients. After all, it is their assets that have allowed us to be mentioned in the first place,” said James H. Rudd, principal and chief executive officer.
Founded in 1975, Ferguson Wellman Capital Management is a privately owned registered investment adviser that serves over 650 clients with assets starting at $3 million. The firm works with individuals and institutions in 35 states with a concentration of those clients in the West. Ferguson Wellman manages $4 billion that comprises union and corporate retirement plans; endowments and foundations; and separately managed accounts for individuals and families. In 2013, West Bearing Investments was established, a division of Ferguson Wellman, that serves clients with assets starting at $750,000. All company information listed above reflects 6/30/14 data.
Methodology: InvestmentNews qualified 1,442 firms headquartered in the United States based on data reported on Form ADV to the Securities and Exchange Commission as of May 1, 2014. To qualify, firms must have met the following criteria: (1) latest ADV filing date is either on or after Jan. 1 (2) total AUM is at least $100M, (3) does not have employees who are registered representatives of a broker-dealer, (4) provided investment advisory services to clients during the most recently completed fiscal year, (5) no more than 50% of regulatory assets under management is attributable to pooled investment vehicles (other than investment companies), (6) no more than 25% of amount of regulatory assets under management is attributable to pension and profit-sharing plans (but not the plan participants), (7) no more than 25% of amount of regulatory assets under management is attributable to corporations or other businesses, (8) does not receive commissions, (9) provides financial planning services, (10) is not actively engaged in business as a broker-dealer (registered or unregistered), (11) is not actively engaged in business as a registered representative of a broker-dealer, (12) has neither a related person who is a broker-dealer/municipal securities dealer/government securities broker or dealer (registered or unregistered) nor one who is an insurance company or agency.
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