Results for "registered investment advisers (RIA)"

Displaying 2,565 results

Sort: Date | Relevance

Author:

Chicago adviser Daniel H. Glick sentenced to 12 1/2 years for fraud

April 23, 2018

Daniel H. Glick, a Chicago-based investment adviser, was sentenced to 12 1/2 years in prison and ordered to pay $5.2 million in restitution in a criminal case stemming from a civil action by the SEC. In March 2017, the Securities and Exchange...

RIA sellers might be rushing in ahead of market turmoil

April 23, 2018

The first quarter of 2018 saw a record level of consolidation activity in the financial advisory space, according to the latest report from DeVoe & Co. The 47 registered investment adviser transactions during the first three months of the year...

The transformation of the adviser-client experience

April 23, 2018

In 1955, the Detroit auto companies owned 95% of the U.S. market – but the times they were a-changin'. Returning servicemen were having families and moving to the suburbs, driving demand for smaller second cars. The Big Three liked the big...

Ed Butowsky charges Schwab with political bias in $100 million lawsuit

April 20, 2018

Ed Butowsky, a Plano, Texas-based financial adviser who has been embroiled in a high-profile legal dispute related to the 2016 presidential election, has filed a $100 million lawsuit against Charles Schwab Corp. for kicking his advisory firm...

SEC advice rule: Here's what you need to know

April 19, 2018

The Securities and Exchange Commission has officially proposed its investment-advice rule, the first step in a long regulatory process that could fundamentally change the way broker-dealers and their representatives do business. The proposal,...

First quarter was a seller's market for RIAs

April 19, 2018

The pace of merger and acquisition activity in the wealth management space continues to chug along, driven by a combination of economic factors, according to the latest report from Echelon Partners. With 46 registered investment adviser deals...

SEC advice rule hearing updates

April 18, 2018

The following is a string of dispatches from the SEC hearing on standards of conduct for financial advisers. Check back regularly for the latest updates. 5:30 p.m. ET: SEC VOTES 4-1 TO PROPOSE RULE, WHICH COMMISSIONER PEIRCE CALLS 'SUITABILITY-PLUS'...

LPL loses $1.8 billion retirement group

April 11, 2018

Ingham Retirement Group, a $1.8 billion advisory firm based in Miami, has left LPL Financial. The firm — a national, independent shop that provides retirement plan consulting and record-keeping, actuarial and investment advice services —...

E*Trade puts its stamp on the RIA custodian space

April 9, 2018

E*Trade's $275 million acquisition of Trust Company of America, which was completed Monday, is expected to send the second-tier custodian into growth mode thanks to beefed-up resources, technology and marketing muscle. The first step in that...

Chicago adviser strategically reaching clients with smaller balances

April 9, 2018

When James Brewer was seeking his own financial adviser in 2005, he was interested in investing in companies that had a history of hiring African-Americans like himself. One adviser he met with was sympathetic and at one point suggested Mr....

Court orders Georgia RIA to disgorge $169,000 in fraud case

April 6, 2018

A federal district court in Washington, D.C., has ordered Ikenna "Ike" Ikokwu, a Cumming, Ga.-based RIA, to pay a civil penalty of $80,000, and — along with his companies, Winning the Money Game with Ike, and Winning the Money Game — to...

LPL to lose mega hybrid RIA

April 6, 2018

Independent Financial Partners, a hybrid RIA with roughly $9.5 billion in assets under management and more than 500 advisers, plans to leave LPL Financial as its broker-dealer, according to two people with knowledge of the decision. One of those...

Fisher Investments growing fast in 401(k) market

April 3, 2018

Fisher Investments, one of the largest registered investment advisers in the country, is rapidly growing its fledgling 401(k) advisory business, which some industry observers see as an emerging threat to retirement plan advisers working with...

Adviser's Consultant: Luring breakaway brokers to a hybrid RIA

March 30, 2018

Alex Goss understands the benefits of economies of scale in the financial planning business. By preaching that message to breakaway brokerage reps, he has grown his business to well beyond $3 billion in assets less than four years after his...

Greg Fleming's latest venture bets on the Rockefeller brand

March 30, 2018

Greg Fleming's launch of Rockefeller Capital Management is fully stocked with brand recognition and the lofty goal of growing assets under management to $100 billion within five years. Now comes the hard part: Executing a growth strategy that...

Envestnet looking to support breakaway advisers

March 28, 2018

Envestnet Tamarac is getting into the business of supporting breakaway advisers. On Wednesday, the company launched an offering it calls Quick Start that will get new registered investment advisers up and running on the Tamarac portfolio management...

Brown Advisory acquires $1 billion Meritage Capital

March 28, 2018

Brown Advisory Inc., an Austin, Texas-based RIA managing $62 billion in assets, has acquired Meritage Capital, an Austin-based firm managing $1 billion. Founded in 2003, Meritage has an eight-person staff, which will join the Brown firm's offices....

Merrill Lynch loses $1 billion Georgia team to RIA channel

March 26, 2018

A group of four advisers who managed $1 billion at Merrill Lynch in Savannah, Ga., have left to form Sound View Wealth Advisors, a registered investment advisory firm. The principals of the new firm, which was launched with the help of Focus...

Fifth generation rides Edwards brands toward RIA market

March 23, 2018

Ten years after launching his own brokerage business and riding the breakaway broker wave to more than $23 billion under management, Benjamin F. "Tad" Edwards IV sees a fresh opportunity in the registered investment adviser channel. Mr. Edwards...

TD Ameritrade has cut more than 1,100 Scottrade jobs

March 23, 2018

As TD Ameritrade Holding Corp. continues to absorb its $4 billion acquisition of Scottrade Financial Services, layoffs have now exceeded 1,100 in the St. Louis area where Scottrade is based, according to published reports. A TD Ameritrade spokesman...

« Previous PageNext Page »

1 | 2 | 3 | 4 | 5 | 6 ... 129

X

Hi! Glad you're here and we hope you like all the great work we do here at InvestmentNews. But what we do is expensive and is funded in part by our sponsors. So won't you show our sponsors a little love by whitelisting investmentnews.com? It'll help us continue to serve you.

Yes, show me how to whitelist investmentnews.com

Ad blocker detected. Please whitelist us or give premium a try.