Members of TD's 'Advisor Direct' program may develop new clients. <b><i>(Related read: <a href="http://www.investmentnews.com/article/20161024/FREE/161029966/ria-firms-see-record-number-of-ma-deals-in-first-nine-months-of-2016" target=”blank">RIA firms see record number of M&A deals in first nine months of 2016.</a>)</b></i>
The sale of large advisory firms with $1 billion to $5 billion is surging, says DeVoe & Co.
An adviser shares his experience starting his own firm, and the challenges of not being able to depend on a home office anymore for phones, faxes, malware and more.
The technology company seeks to expand its responsible investing footprint with the RIA.
The regulator also ordered John Leo Valentine to pay $140,000 in civil money penalties
The best practices program will require advisers to charge reasonable fees and disclose them.
The custodian and clearing firm is quietly building an offering of digital advice integrations it offers its clients.
Acquisition is fourth in RIA channel since last year and eighth overall in 2016.
The Thrush Group will be the 10th transition to HighTower this year.
Open to Fidelity's custody clients, advisers will have access to an online portal, one-on-one coaching and peer learning opportunities.
Investment from Long Ridge Equity Partners will help Carson Group make acquisitions.
The Portland-based breakaways are setting up a new firm called Allium Financial Advisors.
Ironmark, which has $340 million of assets, sought scale and resources to compete for clients.
Peter Kohli, the CEO of DMS Advisors, allegedly stole money from investors as the funds neared collapse.
Mr. Greenspan, who was chairman of the Federal Reserve for five terms, will provide economic and market-valuation analysis.
The 13-person team felt they would have more flexibility outside the Morgan framework.
The deal in Westport, Conn., builds on the RIA's presence in New England.
The Invest in Others Charitable Foundation and <i>InvestmentNews</i> have recognized the philanthropic efforts of 15 advisers and 10 financial firms.
The DOL fiduciary rule and competition from robo-advisers will continue to result in pricing pressure.
