Results for "registered investment advisers (RIA)"

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Slowing revenue growth in advice business will impact career development

October 17, 2017

Advisory firm growth has been in decline for three years and the dangers of that extend beyond smaller budgets and lower business valuations. Slower growth threatens the advisers' personal development, according to one industry expert. The rate...

Tiedemann to acquire $3.4 billion Threshold, which has an interest in impact investing

October 12, 2017

Tiedemann Wealth Management, a New York-based RIA with $12 billion in assets under advisement, is acquiring Threshold Group, a Seattle-based wealth-advisory firm and family office with $3.4 billion in assets under management that was founded...

Raymond James lands $5B custody and clearing client

October 11, 2017

Raymond James announced today that Capitol Securities Management will switch to its custody and clearing platform, from Pershing, taking $5 billion in assets managed, administered or advised by the firm. The move will take place in the spring...

Finra's Focus on UITs

October 10, 2017

In recent years, the Financial Industry Regulatory Authority, Inc. has been scrutinizing its member broker-dealers' sales, recommendations and procedures relating to investments in unit investment trusts (UITs). Its 2017 Regulatory and Examination...

HighTower snags $500M JPMorgan rep

October 5, 2017

HighTower Advisors has brought a $500 million Miami-based JPMorgan rep into the fold. Marc Shachtman, 49, is making his move to independence as founder and chief executive of the newly-launched True Wealth Advisory Group, which caters to 30...

Taking the plunge and becoming an RIA

October 4, 2017

We have nothing to fear but fear itself. Franklin Roosevelt said that to a troubled nation in the depths of recession many years ago. Although my experience is by no means comparable, when I first decided to "go independent" I felt like the...

SEC charges California RIA and its owner with account statement fraud

October 4, 2017

The Securities and Exchange Commission has charged a California advisory shop, Tweed Investment Services Inc., and its owner with fraud for allegedly issuing false and misleading account statements that inflated investment profitability. The...

Navigating the planning gap

October 3, 2017

The following is an excerpt from a new research study, “The planning gap”, which was co-developed by InvestmentNews Research and Nationwide. The research is based on survey responses from 1,741 individual investors, as well as a companion...

Durbin gets promoted again, this time to lead Fidelity Institutional

October 3, 2017

Less than 10 months after taking over as head of Fidelity Institutional's product and platform technology group, Michael Durbin is moving up the ladder once again to take his boss' job, as head of Fidelity Institutional, where he will be responsible...

Long-time FiNet executive buys stake in $800 million firm

October 3, 2017

An earlier version of this story incorrectly identified Collins Investment Group as a registered investment advisory firm. Richard J. Calhoun, Jr., formerly a managing director at Wells Fargo who spent nearly 10 years building its FiNet independent...

The importance of managing clients' 'life risks'

October 3, 2017

The following is an excerpt from a new research study, “The planning gap”, which was co-developed by InvestmentNews Research and Nationwide. The research is based on survey responses from 1,741 individual investors, as well as a companion...

SEC Chairman Jay Clayton doesn't intend to pursue third-party RIA exams

September 28, 2017

Farming out examinations of registered investment advisers to the private sector is not a policy that Securities and Exchange Commission Chairman Jay Clayton wants to pursue. For years, the agency has been criticized for the low percentage of...

Fidelity has 'real need' to recruit more women, Johnson says

September 27, 2017

For people well-schooled in the relationship between supply and demand, here's one Fidelity Investments may not have seen coming: The demand for female financial advisers outstrips the supply. Women customers often ask to work with female advisers,...

InvestmentNews is looking for the 'Best Places to Work' for financial advisers

September 27, 2017

InvestmentNews is looking for the "Best Places to Work" for financial advisers — a guide to help distinguish which firms around the nation are providing the culture and compensation that talented employees are seeking. The guide will be published...

What to do when your broker-dealer gets acquired

September 27, 2017

You've heard rumors circulating for some time now that your broker-dealer may be merging or outright acquired by another firm. Then, speculation becomes reality — the firm has just been sold. What do you do now? Don't panic, but prepare vigilantly​...

Cybersecurity weaknesses worry state RIA regulators

September 25, 2017

More than 1,200 coordinated examinations of state-registered investment advisers by state securities examiners in 37 jurisdictions uncovered 698 deficiencies involving cybersecurity, the North American Securities Administrators Association (NASAA)...

Dividing retirement assets when divorcing abroad

September 25, 2017

The millions of Americans who live and work outside of the United States face unique and challenging planning issues due in large part to their native land's unique tax policies on citizenship-based tax residency and the many special tax and...

SEC says Colorado RIA lied about experience and past performance

September 25, 2017

The Securities and Exchange Commission has charged Moses Investment Co. and its owner, Michael Moses, with fraud for lying numerous times to investors while raising money for a proprietary hedge fund. From approximately November 2013 to April...

With margins crashing, broker-dealers look to merge: report

September 21, 2017

As operating margins of independent broker-dealers have crashed over the last decade, two types of business models have emerged as the industry steadily consolidates: large firms with scale and smaller, more focused firms serving a niche. That's...

Ron Carson rebrands his $8.5B firm

September 20, 2017

Ron Carson, founder and chief executive of the $8.56 billion wealth management conglomerate, Carson Group, is putting the final touches on a months-long rebranding effort that spreads the Carson name across the retail and institutional business...

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