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Gilder Gagnon Howe & Co. Review

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Gilder Gagnon Howe & Co., registered in 2006, serves 49 state(s) with a licensed staff of 2 advisors. Gilder Gagnon Howe & Co. manages $23.7 billion and provides investment advisory services for 7,985 clients (1:3993 advisor/client ratio).



Firm Information


Summary Firm
Minimum Investment Ask firm
Average Client Balance $2,967,558
Total AUM $23.7 billion
Fee Range Ask firm
Clientele Ask firm
Advisor / Client Ratio 1:3993
Languages Offered Ask firm
Specialities Ask firm
Website Visit Site
Phone Number 212-765-2500
Headquarters New York, NY
Locations See locations
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SEC Filings View SEC IAPD CRD #2002


Disciplinary Questions


After checking the disciplinary records of Gilder Gagnon Howe & Co., our system has identified the following question(s) to ask. Learn more.


Gilder Gagnon Howe & Co. or an advisory affiliate was previously found guilty of making false statements or omissions by the SEC, CFTC, or another regulatory agency or organization.


What happened? When? How many times did it occur? Will anyone that was involved be involved with my accounts in any capacity?


Gilder Gagnon Howe & Co. or an advisory affiliate was previously involved with violating a regulation or statute by a domestic or foreign court, the SEC, CFTC, or another regulatory body or commodities exchange.


What happened? When? How many times did it occur? Will anyone that was involved be involved with my accounts in any capacity?


Gilder Gagnon Howe & Co. or an advisory affiliate has previously been fined or ordered to cease and desist activity by the SEC or CFTC.


What happened? When? How many times did it occur? Will anyone that was involved be involved with my accounts in any capacity?


The SEC, CFTC, or another regulatory agency has previously entered an order against Gilder Gagnon Howe & Co. or an advisory affiliate in connection with an investment-related activity.


What happened? When? How many times did it occur? Will anyone that was involved be involved with my accounts in any capacity?


Our system found no other disciplinary questions to ask. Checks take place monthly.



Conflict Questions


After checking the regulatory records of Gilder Gagnon Howe & Co., our system has identified the following question(s) to ask. Learn more.


What percentage of income does Gilder Gagnon Howe & Co. receive from fees versus commissions?


Gilder Gagnon Howe & Co. can accept commissions for its investment advisory services. These commissions may be earned from the sale of investment or insurance products and are paid by the companies providing the products being sold. While this allows for a broader range of investment options and management styles a firm can offer, it can also create an incentive for the firm to put their financial interests ahead of your own. Is the firm’s purpose to provide you financial planning and ongoing advice or to sell commission-based products to its clients?


Is Gilder Gagnon Howe & Co. also a Broker-Dealer or are they affiliated with one? What conflicts arise from this relationship? How does Gilder Gagnon Howe & Co. mitigate them?


Currently Gilder Gagnon Howe & Co. is also a Broker-Dealer or is affiliated with one. When firms are dual-registered as broker-dealers, they may be subject to compensation-related conflicts of interest, including revenue sharing from mutual funds, cross-selling of commissioned insurance products, and the sale of proprietary investment products. All of these conflicts can negatively impact clients via hidden fees and overall higher costs.


Does Gilder Gagnon Howe & Co. offer mutual funds that have 12b-1 fees?


12b-1 fees increase the total annual cost of owning a mutual fund with no guarantee of higher returns. Some firms receive these fees as payments, which creates an incentive to promote them.


Regulatory disclosures state that Gilder Gagnon Howe & Co. sells proprietary investments and products. Please provide me a list of the products and a summary of how much Gilder Gagnon Howe & Co. earns from them.


Gilder Gagnon Howe & Co. recommends proprietary investments and products that could generate larger commissions than other similar non-proprietary products. This could also limit the number and diversity of investment options available to you and may impact their transferability. Do not be afraid to ask how much they will earn from the product or what other non-proprietary options are available.


Does Gilder Gagnon Howe & Co. offer products that have performance-based fees, or does it accept performance-based fees? Will any of my assets be invested in those products?


When performance-based fees are charged, the financial advisor is paid for outperforming a benchmark, typically an index. While this may seem like an attractive compensation structure to ensure your advisor is making your money work for you, often, the managers of those products are incentivized to take inappropriate risks to beat their performance benchmark. For instance, research has shown that mutual funds that use incentive fees take on more risk that funds that do not, and tend to double down and increase their risk following a poor performance. This could be detrimental to a client during down markets.


Does Gilder Gagnon Howe & Co. perform side-by-side management? How does Gilder Gagnon Howe & Co. mitigate conflicts that arise from managing accounts with differing fee structures?


This typically occurs when firms manage mutual funds or hedge funds alongside smaller retail accounts. Side-by-side management can create an incentive for the advisor to favor the larger funds, potentially leading to unequal trading costs and unfavorable trade executions for their retail clients.


Does Gilder Gagnon Howe & Co. accept soft-dollar benefits? How do these benefits affect the firm’s selection of a broker-dealer partner?


Gilder Gagnon Howe & Co. receives soft-dollar benefits that could incentivize them to push trades through broker-dealers that provide advantages to the firm instead of through broker-dealers that could provide the best trade execution for their clients.


Our system found no other conflict questions to ask. Checks take place monthly.



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Disciplinary History


An important aspect of the Trust Algorithm is processing the SEC Form ADV Part 1 filing of each Registered Investment Advisor (RIA). “Item 11 Disclosure Information” contains a list of valuable disclosures that are relevant for Americans.

As identified in SEC Form ADV Part 1, Item 11 “Disclosure Information”, the Trust Algorithm identified the following disciplinary disclosures for Gilder Gagnon Howe & Co.:




Cost


Unfortunately, there is no single, uniform pricing standard for working with a financial advisor. Catchphrases, including "fee-only," can be helpful; however, Americans often get confused with competitors promoting "fee-based" in response.

Ultimately, to understand the underlying costs of advisory services, we always recommend asking for an itemized fees breakdown and reading the firm's ADV Part 2 Brochure (Item 5, "Fees and Compensation").


View Fee Disclosures




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