RIAs

Displaying 4742 results
Pershing names Hardwick COO as Dolly steps into CEO role
NEWS RIAS FEB 04, 2016
Pershing names Hardwick COO as Dolly steps into CEO role

Lori Hardwick is joining from Envestnet and will start at the end of the month.

NEWS RIAS FEB 02, 2016
Seniors a 'bulls-eye' for scams uncovered by the states

Advisers can help elderly clients avoid being a target, securities regulator says.

NEWS RIAS FEB 01, 2016
Advisers cast their vote on who should be the next president

2,041 advisers surveyed by <i>InvestmentNews</i> weigh in on the presidential election

SEC fines RIA $2.8 million and bars owner in 'Madoff of Main Street' case
NEWS RIAS FEB 01, 2016
SEC fines RIA $2.8 million and bars owner in 'Madoff of Main Street' case

Regulator bars owner of Total Wealth Management, Jacob Cooper, known as 'Main Street Madoff' by former clients, and holds him liable in case where losses are expected to total as much as $44 million.

NEWS RIAS JAN 28, 2016
Adviser accused of fraud boycotts SEC's in-house administrative trial

Dawn Bennett skips the start of her trial on grounds that it's unfair for SEC to use in-house administrative law judges.

NEWS RIAS JAN 27, 2016
Aspiriant takes over second California RIA in 90 days

The $9B firm is looking to spread its wings even further in Los Angeles, a city its CEO, Rob Francais, says has relatively few independent advisers given its size.

NEWS RIAS JAN 26, 2016
Lightyear Capital-backed Wealth Enhancement agrees to buy RIA firm HHG & Co.

Lightyear Capital-backed Wealth Enhancement agrees to buy HHG &amp; Co., a Connecticut RIA that manages more than $1 billion.

$1B Colorado-based RIA merges with $250M firm
NEWS RIAS JAN 21, 2016
$1B Colorado-based RIA merges with $250M firm

Deal brings two firms together to serve northern Colorado and 25 other states.

NEWS RIAS JAN 20, 2016
Biggest billion-dollar adviser moves since 2011

Over the past five years, big advisers moves picked up steam toward the end of 2015.

RIA deal mania and why you should care
NEWS RIAS JAN 20, 2016
RIA deal mania and why you should care

Three big deals this year mark an important inflection point as big investors place major bets on the industry.

Which channels are yielding the most new client assets for RIAs?
NEWS RIAS JAN 10, 2016
Which channels are yielding the most new client assets for RIAs?

New dollars coming from brokerage clients &#8212; still the most common route &#8212; are shrinking.

Clients hating you for their international funds? Here's how to cope
NEWS RIAS JAN 06, 2016
Clients hating you for their international funds? Here's how to cope

You know that international diversification is a wise move. After this week, your clients may need more convincing.

Errors advisers should steer clear of when updating ADVs
NEWS RIAS JAN 03, 2016
Errors advisers should steer clear of when updating ADVs

SEC enforcement targets provide good examples of what to avoid in annual updates.

What we'll remember about the markets in 2015
NEWS RIAS DEC 30, 2015
What we'll remember about the markets in 2015

Some highs and lows, swings and misses

NEWS RIAS DEC 11, 2015
RIA firms have room for more women

NEWS RIAS DEC 11, 2015
Women's rise to senior positions at advisory firms has stalled

Despite having less experience than women, men in the service adviser role, for example, were nearly twice as likely to have been promoted in the past year.

NEWS RIAS DEC 06, 2015
The cost of independence

For new RIAs like Christopher Bray of Ariel Capital Advisors, projecting expenses and revenue can be tricky.

Merrill Lynch team with $700M AUM leaves to launch RIA
NEWS RIAS NOV 17, 2015
Merrill Lynch team with $700M AUM leaves to launch RIA

Four advisers start Cardan Capital Partners in Denver.

Fidelity, Schwab to halt AR Capital sales
NEWS RIAS NOV 15, 2015
Fidelity, Schwab to halt AR Capital sales

Firms pull the plug after Massachusetts <a href="//www.investmentnews.com/article/20151112/FREE/151119971/massachusetts-galvin-charges-realty-capital-securities-with-proxy&quot;" target="&quot;_blank&quot;" rel="noopener noreferrer">charges RCS Capital with fraudulently rounding up proxy votes</a> to support real estate deals sponsored by AR Capital.

NEWS RIAS NOV 15, 2015
Wake-up call for RIAs: It's time to fix exams before it's too late

Fix the exam frequency issue before investors are harmed, the reputation of the RIA industry is tarnished and Washington imposes a solution not of our choosing