Results for "registered investment advisers (RIA)"

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United Capital moving up the food chain, buys $1.6B RIA

January 13, 2011

United Capital Financial Partners Inc. is acquiring Zirkin-Cutler Investments Inc., a $1.6 billion registered investment advisory firm owned by M&T Bank Corp. The firm plans to announce two additional acquisitions tomorrow and yet another one...

QA3 tangles with insurer over private-placement coverage

January 12, 2011

QA3 Financial Corp., an independent broker-dealer that was a leading seller of high-risk private placements over the last decade, in a recent lawsuit said its insurance carrier was pushing it into bankruptcy by failing to back up its coverage....

Focus Financial picks up $575M RIA

January 12, 2011

Pettinga Financial Advisors Inc. has joined Focus Financial Partners LLC. The registered investment advisory firm based in Evansville, Ind., has about $575 million under management. Terms of the arrangement, which was announced Tuesday, were...

Money fund industry aims to foist reporting burden onto B-Ds

January 12, 2011

To avoid future panics in money market funds, the mutual fund industry is calling on federal regulators to force broker-dealers to disclose information about their money fund clients. Industry experts think that fund operators will get their...

Chamber president seeks to slow Dodd-Frank, decries ‘regulatory tsunami’

January 11, 2011

The leader of one of the country’s most politically influential business organizations in a speech today criticized what he called a “regulatory tsunami” in Washington that represents the “biggest single challenge to jobs … and the...

Profiling? Advisers get more time to work up bios of staff

January 11, 2011

Advisers have an additional four months to prepare “plain English” brochure supplements about their investment personnel thanks to an extension granted by the Securities and Exchange Commission late last month. The extension for the supplements...

House subcommittee chairman sees merits of SROs, fiduciary standard

January 10, 2011

The new chairman of a House subcommittee with jurisdiction over investment adviser issues is holding his fire on two crucial questions effecting the industry — until he reads upcoming reports addressing the topics. Rep. Scott Garrett, R-N.J.,...

The next frontiers in wealth management

January 9, 2011

As we enter the New Year, financial advisers are probably asking themselves about the strength of the recovery and whether their firm is positioned to capture new clients and talent. These are important short-term issues, but wealth managers...

A time for resolutions in Washington

January 9, 2011

Let's hope President Barack Obama and members of Congress have made New Year's resolutions and that they plan to keep them. We hope the president has resolved to be the unifier he claimed to be during his election campaign and that he intends...

Disclosure at the center of fiduciary tug of war

January 9, 2011

With the deadline approaching for the SEC to deliver a much-anticipated report about the regulation of financial advisers, the fight over establishing a universal standard of care is heating up. At the center of the imbroglio: disclosure requirements...

LPL expanding menu of fee-based VAs

January 9, 2011

LPL Financial soon will unveil to its representatives an expanded menu of fee-based VAs — a product that has proved unpopular among brokers so far. The nation's largest independent broker-dealer expects to offer its 12,000 brokers access to...

Vanguard pairing 401(k) investors with CFPs

January 6, 2011

Participants in some 401(k) retirement plans managed by Vanguard Group Inc. now have access to advice from certified financial planners. The service is available free of charge to savers 55 and older who participate in a company plan that includes...

Northern Trust launches gay, lesbian wealth management biz

January 5, 2011

Northern Trust Corp. long has championed its conservative heritage as a 121-year-old financial institution that eased through the Great Depression and most recently the Great Recession. But old dogs are learning new tricks, as Chicago's largest...

BAM buys 401(k) plan provider

January 5, 2011

BAM Advisor Services LLC, a turnkey asset management program, announced today that it is buying Advisors Access, a provider of 401(k) plans, from Capital Directions LLC, an advisory firm. Terms were not disclosed. In a statement, BAM said the...

Why doesn't Wells Fargo expand its 'Profit Formula' — and why haven't other firms copied it?

January 5, 2011

Are you familiar with the Wells Fargo Profit Formula program? It was designed and originally launched by Wheat First, the Richmond, VA based regional broker dealer bought out by First Union in 1997. Wachovia and First Union merged in 2001, and...

Byron Wien's 10 surprises for 2011

January 3, 2011

Blackstone Group LP's Byron Wien, who called the bottom for U.S. stocks in 2010 while failing to predict the ensuing rally, said economic growth and 10-year Treasury yields will approach 5 percent this year and gold will surge above $1,600 an...

Fears about SEC whistle-blower proposal unfounded

January 2, 2011

Companies are always grumbling about some rule or regulation. The latest source of complaints is the Securities and Exchange Commission's proposed whistle-blower reward program, which aims to improve detection of securities law violations. Despite...

Ex-CEO of Red Hat sues family's financial advisers over $60M

December 28, 2010

The former CEO of Raleigh-based software firm Red Hat Inc. is suing his family's financial advisers, saying they misused $60 million. Matthew Szulik and his family filed the federal lawsuit in North Carolina against TAG Virgin Islands Inc. The...

Custodians taking closer look at adviser compliance

December 27, 2010

Custodial firms have been raising the compliance bar for registered investment advisers, in some cases making it tougher for them to find a home. Since the financial crisis and the Bernie Madoff fraud, custodians have become more concerned about...

Joe Montana's private bank taps former Citi exec

December 27, 2010

Modern Bank NA, a lender to the wealthy where former football quarterback Joe Montana is vice chairman, hired Citigroup Inc. veteran Damian Kozlowski to lead a turnaround after almost $30 million of losses in five years. Kozlowski, who ran Citigroup's...

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