Fueled in part by succession planning among older advisers, the registered investment advisory space saw a record 44 mergers and acquisitions during the first quarter of 2017.
<i>InvestmentNews'</i>exclusive rankings of the top fee-only registered investment advisory firms
Deal adds $250 million in assets under management
Agency says firm and its CEO failed to disclose fees.
By monitoring where your clients fall on the scale of incremental income level risks, you can help them reduce their taxes by carefully choosing the sources used to meet their cash-flow needs.
Clients decide from packaged options and staggered price list how many services they want to pay for.
Asset-based pricing still rules, but retainers are expected to gain ground.
In many circumstances, commission-based services offer clients a more economical and practical way to meet investment goals.
Three-person Guardian Financial Partners is based in Orange, Calif.
The DOL also hinted that clean shares may offer an avenue for an additional rule exemption, potentially as a replacement or alternative to BICE.
Many advisory firms have been progressing in changes required to meet the new regulation, despite the first delay and a broader review that continues.
Advisers forming RIA in West Palm Beach, Fla.
Interest in aggregator firms focused on 401(k) plans has grown, but advisers must weigh what they'd be sacrificing and gaining through such arrangements.
Five-person Holloway Harman & Associates is based in Kansas City, Mo.
$16.5 billion RIA marks the 10th deal this year and largest ever for the roll-up firm
Smaller firms are becoming bigger targets of banks, consolidators and larger RIAs.
With less than 20% market share, banks promote safety in targeting high-end RIAs.
The new firm, Executive Wealth Group, will custody assets with Raymond James.
New lending program marks Dynasty's first foray into ownership stake.
Alaska adviser adopts an unorthodox schedule to spend more time with his family.
