The NATIONS FINANCIAL GROUP, INC. is a privately held investment adviser that advises $3.87Bn in regulatory assets under management held in 0 SEC fund types across 0 investment strategies. NATIONS FINANCIAL GROUP, INC. is a Retail Wealth A retail wealth manager is a manager whose >=75% of total assets under management are managed for individual investors through retail advisory or brokerage channels. Manager. Assets increased by 152.66% over the last 5-years.
The Group has been registered with the SEC for 25.76 years and is comprised of 1 filing and 0 relying advisers. They operate out of 23 office locations with their Headquarters at 3925 FOUNTAINS BLVD NE SUITE 200, CEDAR RAPIDS, IA. The Group has not been subject to regulatory enforcement actions. They are regulated by 1 US and Non-US bodies.
They have 87 employees comprised of 87 investment and 0 non-investment staff. The total number of Employees increased by 35.94% over the last 5-years.
Their $3.87Bn in assets advised are owned by 0 private funds, 0 public funds and BDCs and 45 other accounts. Assets of High Net Worth Individuals clients own $2Bn or 51.83% of Total Assets and Individuals own $1.68Bn or 43.47% of Total Assets.
The Group's top investment strategies include , representing of total assets, respectively.
They advise 5 types of clients, top clients are High Net Worth Individuals and Individuals.
The Group uses 0 Fund Administrators, 0 Fund Auditors, 0 Prime Brokers, 0 Custodians and 0 Marketers. It does not report a third-party Fund Administrator in 0 private funds with $0 in assets.
The Group discloses fixed fees and management fees.
NATIONS FINANCIAL GROUP, INC. names 0 sub-advisers to 0 different funds advised by the group. The Group has been named as the sub-adviser to 0 funds.
They have a HIGH-WATCH risk business model that requires a high degree of process maturity to manage operational risk. A Manager Group has a "High Complexity" when 25% or more of 63 business conditions measured require a high level of process maturity to manage the risk. The "Watch" suffix indicates that one or more of the following business conditions carry a high-complexity score: 1) % Fund Assets Valued Internally, 2) prior Regulatory Violations, 3) Unqualified Audits, 4) Multi-Functional C-Suite and 5) Business Concentration Risk with an Auditor or Administrator.
In NATIONS FINANCIAL GROUP, INC.'s case, they have 13 business conditions that require high process maturity and 1 Watch Factors.