Results for "registered investment advisers (RIA)"

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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...

What are the business priorities of elite 401(k) advisers in 2018?

May 9, 2018

The 401(k) advisory business is maturing. Many elite plan advisers with $250 million or more in defined-contribution assets under management have enjoyed great success since the 2008-09 market collapse, as more plan sponsors have focused on...

Building a team can help advisers build their practice

May 4, 2018

Teaming up with other advisers or practitioners — like attorneys, estate planners and accountants — offers compelling benefits to financial advisers, in the form of broader specialization, attraction and retention of more clients. Generally...

Q&A: Aaron Schaben on being Ron Carson's heir apparent

May 3, 2018

Earlier this year when Aaron Schaben was invited into the board room at Carson Group as an executive vice president, it was founder Ron Carson's way of signaling to the industry that succession planning is serious business. Mr. Schaben, a 32-year-old...

The Rising Cost of Risk

May 2, 2018

As increasing regulations continue to strain resources, entrepreneurs who once viewed an independent RIA as a path to greater independence are discovering the costs and risks can often outweigh the rewards. After seeing a continually growing...

6 big questions about the SEC advice rule

May 2, 2018

Broker-dealers and investment advisers have had two weeks to dissect the Securities and Exchange Commission's proposed overhaul of investment-advice standards, and some big questions have begun to emerge. Here are some of the most pressing issues...

Finra should let brokerages decide whether to supervise unaffiliated RIAs, FSI says

April 30, 2018

A trade association representing independent broker-dealers and financial advisers is calling on Finra to allow firms to decide for themselves whether to supervise their representatives' work for third-party investment advisory firms. Earlier...

Financial Engines to be purchased for $3.02 billion, combined with Edelman

April 30, 2018

The $3.02 billion acquisition of Financial Engines announced Monday is likely to spur more interest on the part of private equity to bring together long-standing advice firms with robo advisers, experts said. The acquirer, private equity shop...

Wirehouses best positioned to benefit from artificial intelligence

April 27, 2018

Wirehouses are positioned to save big money with artificial intelligence technology — at the expense of the smaller advisory firms. According to a new report from Autonomous Research, AI has potential to reduce front, middle and back office...

LPL announces another round of price cuts at its corporate RIA

April 26, 2018

LPL Financial continues to cut fees for advisers who custody advisory assets on the firm's corporate RIA platform, this time targeting smaller advisers with $25 million to $50 million in assets. The company on Thursday said that, come next January,...

Hybrid managing $325 million at Royal Alliance switches to Triad

April 26, 2018

Cirrus Wealth Management, a hybrid firm in Cleveland, Ohio, managing $325 million, has changed its broker-dealer and RIA custodial platforms to Triad Advisors from Royal Alliance. Joseph P. Heider, founder and president of Cirrus, leads the...

401(k) record-keeper consolidation is about to heat up

April 26, 2018

Though there have been a few recent high-profile 401(k) record-keeper acquisitions — think Transamerica's purchase of Mercer's defined-contribution business and Blackstone's acquisition of Aon Hewitt's — there has been a lull in the consolidation....

DOL fiduciary rule spurred IRA rollover improvements, state regulators say ​

April 25, 2018

Broker-dealers are helping investors make better retirement decisions as a result of procedural changes firms have made in preparation for the DOL fiduciary rule, according to a study done by state regulators on the Individual Retirement Account...

The unique nature of working with celebrity clients

April 24, 2018

A few decades of working with celebrities and professional athletes has taught Jordan Waxman one thing: "They're no different than anyone else; they put their pants on one leg at a time." Mr. Waxman, managing partner at HSW Advisors, has helped...

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...

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