Results for "registered investment advisers (RIA)"

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Delay in fiduciary rule does not take any wealth managers off the hook

January 16, 2018

The DOL fiduciary rule implementation has been delayed. While consumer advocates applauded the new oversight, very few within the wealth management industry felt the regulation was anything but awkward and clunky. Fewer still believe that nonretirement...

Lightyear Capital takes 50% stake in $9 billion HPM Partners

January 16, 2018

Private-equity investor Lightyear Capital has taken a roughly 50% ownership stake in HPM Partners, a New York-based wealth management firm with more than $9 billion under management. The deal, announced Tuesday, shifted the ownership of HPM...

Mercer acquires multimanager BFC to boost delegated investment push in Japan

January 16, 2018

Mercer acquired Tokyo-based hedge fund multimanager BFC Asset Management Co. in a move its global wealth management chief predicts will accelerate the nascent growth of Mercer's delegated investments business in Japan. Rich Nuzum, president...

Tax reform: 7 essential strategies for financial advisers

January 13, 2018

There's both good news and bad for financial advisers in the new tax law: While advisers face the difficult task of analyzing the law's impact, they will also have a significant opportunity to prove their value by implementing money-saving strategies...

Amid seller's market for RIAs, firms must prep for potential sale

January 13, 2018

Last month, at the MarketCounsel Summit in Miami, during a panel discussion about advisory-firm valuations, Rich Gill of Wealth Partners Capital Group cited what might be 2018's most bankable theme in the financial advice space. "Our industry...

Segall Bryant & Hamill acquires Denver Investments, creating $20B wealth manager

January 12, 2018

Chicago-based wealth management firm Segall Bryant & Hamill is acquiring Denver-based Denver Investment Advisors, creating a nearly $20 billion investment management and advisory firm. Segall, Bryant & Hammil is a 23-year-old firm with $12.4...

Adviser moves to expect in 2018

January 11, 2018

Citigroup recently announced that it will be following Morgan Stanley and UBS' lead in exiting the broker protocol. While it's not a big player in the recruiting wars among wirehouse firms, this move signifies a further trend toward the potential...

Arizona advisory firms partner to create $730M business

January 10, 2018

Ashton Thomas Private Wealth in Scottsdale, Ariz., will see a near-50% increase in assets under management to $730 million through a partnership with Tucson-based Financial Architects. The partnership, which does not include any exchange of...

Mercer Advisors acquires two RIAs as M&A activity heats up

January 9, 2018

Mercer Advisors bumped up its assets under management to $11.6 billion with two acquisitions, which adds fuel to a fast start for merger and acquisition activity in 2018. The Santa Barbara, Calif.-based registered investment adviser, which is...

The Colony Group adds $1.5 billion in double merger

January 8, 2018

The Colony Group, a $6 billion Boston-based advisory firm, merged with two smaller firms earlier this month, adding $1.5 billion in assets under management. Bethesda, Md.-based Bridgewater Wealth & Financial Management, which manages $1 billion,...

Hanson McClain taps private equity for first merger

January 5, 2018

Hanson McClain Advisors, tapping funds from Parthenon Capital Partners, its private equity partner, is merging with Simply Money Advisors, headed by Nathan Bachrach and Ed Finke. The combined Sacramento, Calif.-based Hanson McClain and Cincinnati,...

SEC censures Arizona RIA for false ADVs

January 4, 2018

The Securities and Exchange Commission has censured Phoenix, Ariz.-based adviser Mark H. Love and his firm, LKL Investment Counsel, and ordered the firm to pay a $100,000 penalty in connection with the filing of misleading ADV forms. The SEC...

Assets in fiduciary accounts grow to 42% of total

December 28, 2017

Regardless of how regulators resolve the fiduciary issue, more client assets than ever are being held to a fiduciary standard, according to a report by Cerulli Associates. Almost $18 billion — or 42% of total client assets — were held in...

RIAs hedge market risk with actively managed funds

December 28, 2017

As the stock market closes in on a solid 22% gain for the year, marking a near-300% gain from the 2009 low point, a growing chorus of financial advisers are citing actively managed strategies as a reasonable hedge at this point in the market...

Morgan Stanley team managing $180 million joins Raymond James in California

December 27, 2017

John DeRosa and Deanna DeRosa, a father-daughter team managing $180 million at Morgan Stanley, have moved to the employee channel of Raymond James in Newport Beach, Calif. The senior DeRosa began his financial services career at Eastman Dillon...

United Capital acquires $530 million Payne Wealth Partners

December 21, 2017

United Capital Financial Advisers has acquired the assets of Payne Wealth Partners, a registered investment adviser, in Evansville, Ind. The firm's 13 staffers managed $530 million in assets spread out among 300 households. Headed by Taylor...

It's almost 2018 — what's your marketing plan?

December 20, 2017

The year is almost over. That means it's time to write your annual marketing plan. (You do have a plan, right? I hope you aren't spending your marketing budget without one!) Let's face it. Most of the time, an annual planning meeting is kind...

RIA sellers need their own Zillow

December 20, 2017

As the financial advisory space ramps up for another year of anticipated record merger and acquisition activity, it is worth pondering whether advisory firms could benefit from a Zillow-like model for valuing the firms making up the fragmented...

Anchor Capital buys back majority stake from Boston Private

December 20, 2017

Anchor Capital Advisors, a $9 billion independent asset manager and wealth advisory firm, announced Wednesday that it was regaining majority ownership after purchasing back the equity stake it sold to Boston Private in 2006. After the transaction...

SEC charges Washington state RIA with multi-million dollar fraud

December 20, 2017

The Securities and Exchange Commission has charged Snohomish, Wash.-based investment adviser Ronald A. Fossum Jr. with fraud, saying he misappropriated fund assets he controlled and misrepresented the financial condition of the funds and his...

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