Results for "registered investment advisers (RIA)"

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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...

Advisers struck by opioid crisis seek to get the word out to peers and their communities

January 9, 2018

Colin Goodell's drug problem sounded all too familiar. It began with a seemingly innocuous prescription for painkillers. Before long, he was hooked on the pills, meant as a temporary remedy for a back injury. The Jacksonville, Fla., resident...

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...

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...

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...

Team managing $700 million at J.P. Morgan moves to hybrid RIA

December 18, 2017

A four-broker team managing $700 million at J.P. Morgan Securities in White Plains, N.Y., has moved to Fieldpoint Private, a Greenwich, Conn.-based hybrid RIA/private bank serving high-net-worth investors and institutions. The team —William...

Fidelity report says RIAs are cutting fees, working harder

December 18, 2017

Registered investment advisers are starting to succumb to pressures from robo platforms by cutting fees and embracing their own digital platforms, according to the 2017 Fidelity RIA Benchmarking Study. The report, released Monday morning by...

TD Ameritrade report says brokerage industry driving reps out the door

December 18, 2017

The breakaway broker trend is real and only getting more so, according to the latest research from TD Ameritrade Institutional, which Monday morning released its 2017 Breakaway to Independence Survey. "There is an undercurrent of discontent...

SEC charges Indiana RIA with misleading investors

December 15, 2017

The Securities and Exchange Commission has charged Louis G. Mohlman, Jr. and two of the RIA firms he owns with engaging in conflicted transactions and misleading investors. According to the SEC's complaint, between 2012 and 2015, Mr. Mohlman...

For brokers, tax bill could bring shakeups and job changes

December 15, 2017

Some brokerage firms are concerned that the tax overhaul could lead to upheaval, pushing their employees to set up their own shops or switch firms to lower their tax bills. At the heart of the issue is how the business is organized. Some brokers...

Broker-dealer asset growth outpaces rival channels, Cerulli says

December 15, 2017

It's been a good year for broker-dealers, compared with rival channels. The latest data from research and consulting firm Cerulli Associates found that national and regional B-Ds grew assets at a rate of 9.1% year-over-year, faster than all...

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