Results for "registered investment advisers (RIA)"

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Orion sets sights on breakaway brokers

June 6, 2018

Orion Advisor Services is the latest technology company turning its attention toward breakaway brokers. The portfolio management software provider announced a new program on Wednesday called Fast Track to support advisers leaving wirehouses...

Clayton promises 'not to take forever' on SEC advice rule

June 5, 2018

Securities and Exchange Commission chairman Jay Clayton said Tuesday the agency is "not going to take forever" to complete investment advice reform regulations, but declined to say whether he's willing to extend the comment deadline on the package....

EP Wealth Advisors buys $400 million Donnelly Wealth Advisors

June 4, 2018

EP Wealth Advisors, an RIA firm now managing $3.6 billion in assets and headquartered in Torrance, Calif., has acquired Donnelly Wealth Advisors of San Diego, which manages $400 million. (More: RIA mergers and acquisitions set another record...

Kara Murphy appointed chief investment officer at United Capital

June 1, 2018

United Capital Financial Advisers has appointed Kara Murphy as its new chief investment officer.​ Ms. Murphy, who previously worked as CIO at SunAmerica Asset Management, is a chartered financial analyst and brings more than 20 years of investment...

Heard of Chalice? It's being called Amazon Prime for financial advisers

June 1, 2018

Keith Gregg has rolled up his sleeves to dig himself into his latest venture, Chalice Wealth Partners, an enterprise he is touting as Amazon Prime for financial advisers. The "member benefit organization" is designed to "connect all the products...

LPL loses hybrid group managing $750 million to Triad

May 31, 2018

Pinnacle Private Wealth, a hybrid firm managing more than $750 million in assets, has switched its broker-dealer and hybrid RIA custodial platforms from LPL Financial to Triad Advisors. Pinnacle makes its headquarters in Woburn, Mass., outside...

Former hedge fund CFO barred, ordered to pay $227,500 penalty

May 25, 2018

The Securities and Exchange Commission has barred Perry Gruss over his role as chief financial officer at D.B. Zwirn & Co., a once high-flying hedge fund that ceased operations in 2009. In the related civil case, a New York judge has imposed...

$14 billion hybrid Sheridan Road staying with LPL, launching own RIA

May 25, 2018

Sheridan Road Financial, an advisory firm overseeing roughly $14 billion, has decided to leave Independent Financial Partners, a mega hybrid registered investment adviser, to start up its own RIA. At the same time, Sheridan Road, which has a...

Focus Financial IPO could be a sell signal for RIAs

May 25, 2018

The move by Focus Financial Partners to raise $100 million through an initial public offering could be a cue to RIA owners that it may be time to sell. "This is a big deal, because a Focus IPO would be an opportunity for the investing public...

Meet William Glubiak, CEO of $2 billion firm Cedar Brook Group

May 24, 2018

William Glubiak is in the middle of moving Cedar Brook Group from a brokerage model to a hybrid firm with a registered investment adviser, a strategy he expects will lead to explosive growth. In this edited interview, the CEO of the $2 billion...

Focus Financial files for an IPO valued at $100 million

May 24, 2018

Focus Financial Partners is planning an initial public offering, according to an S-1 form filed with the Securities and Exchange Commission on Thursday. The filing did not contain pricing details, but did value the offering at $100 million....

From the C Suite with ProVise's Ray Ferrara: The best leaders know when it's time to follow

May 23, 2018

Ray Ferrara thinks he works too hard and, as a result, he sometimes pushes those working with him to also work too hard. But he's determined to try and set a better example of a healthy work-life balance at ProVise Management Group. We sat down...

RIA in a Box acquired by private equity firm Aquiline Capital

May 23, 2018

Software service provider RIA in a Box has been acquired by the private equity firm Aquiline Capital Partners. While the terms of the deal were not disclosed, this represents the latest in a growing trend of P-E investors adding exposure to...

Iconiq fires executive after 30-year-old sexual assault charge comes to light

May 21, 2018

Big investors are starting to take a deeper look at the people who handle their money as the #MeToo movement rages. One of Silicon Valley's top wealth-management firms just showed what can happen next. Iconiq Capital, known for catering to Silicon...

Unlimited vacation time: a nice perk no one expects you'll use

May 21, 2018

Moving into the summer season, the idea of unlimited vacation time might be the ideal recruiting tool for some advisory firms. But when it comes to actually taking that time off, it's often the unwritten rules that matter most. "Offering unlimited...

California RIA William Jordan settles with SEC on fraud charges

May 16, 2018

Adviser William Jordan of Orange County, Calif., has settled charges made by the Securities and Exchange Commission that he perpetrated a multi-million-dollar fraud on his clients. In his settlement, Mr. Jordan consented to a permanent injunction....

Advisers and clients agree: Life's better in the wealth management ecosystem

May 15, 2018

Wikipedia says an ecosystem "is a community made up of living organisms and nonliving components." A digital ecosystem is a "distributed, adaptive, open socio-technical system with properties of self-organization, scalability and sustainability."...

Serial RIA entrepreneur Peter Raimondi starts third firm

May 14, 2018

Peter Raimondi, who has founded and sold two registered investment advisory firms, has launched his third, Dakota Wealth Management. Based in Palm Beach Gardens, Fla., the firm starts off with $600 million in assets, it said in a release. Joining...

Adviser's Consultant: Building a flexible succession plan

May 11, 2018

Jack Hillis isn't quite ready to stop working with clients or give up his lifestyle advisory practice, but at 74 years old, he knew he needed a succession plan in place. His solution was to complete all the paperwork for a sale that will take...

New report sounds alarm over demographic changes facing advice industry

May 9, 2018

The inability of financial advisers to look beyond the baby boom generation to younger clients and colleagues could be hampering the growth potential of the financial planning industry. According to a report out Wednesday from TD Ameritrade...

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