Results for "registered investment advisers (RIA)"

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From asset manager to holistic planner

June 22, 2018

As the financial planning industry continues to feel pressure from low-cost digital advice platforms, some advisory firms are embracing the concept of holistic planning as a means of taking the focus away from pure investment management. That's...

Lessons 401(k) advisers learned from the DOL fiduciary rule saga

June 21, 2018

Retirement plan advisers, especially specialists, used to complain that their broker-dealers and the public ignored them — or, worse, didn't realize they existed. All that has changed now that retirement has become a key political issue and...

Potter Financial shifts from Kestra to Commonwealth

June 20, 2018

The Potter Financial Group, a hybrid managing $130 million in Durham, N.C., has switched its affiliation from Kestra Financial to Commonwealth Financial Network. Making the change are partners Charlie Potter, Chip Roe and Price French, and associate...

Going independent: Which business model is right for you?

June 18, 2018

As wealth managers consider a move to independence, they come to Pershing with questions about the economics of different business models. And rightfully so, because of all the issues advisers have to address in a transition, nothing comes close...

RIA sentenced to 57-month prison term for theft barred by SEC

June 14, 2018

The Securities and Exchange Commission has barred Eric Erb, a former registered investment adviser and principal of Erb Capital Management, based in Babylon, N.Y. In August 2017, Mr. Erb pleaded guilty to one count of wire fraud, and this past...

ProEquities introduces cybersecurity to protect even the least tech-savvy advisers

June 14, 2018

ProEquities, an independent RIA and broker-dealer hybrid with $16 billion in client assets, is rolling out a new cybersecurity platform to improve protection for the firm's 700 financial advisers. (More: Fintech leaders address adoption and...

United Capital's new CIO has had an 'unlikely' career path

June 13, 2018

Kara Murphy has packed her belongings and shipped them across the country to Dallas from New York for the next stage of a career that she still defines as "unlikely." Ms. Murphy, a 20-year veteran of the financial services industry, becomes...

Dynasty creates unit to help large RIAs improve operations

June 12, 2018

Dynasty Financial Partners, a middle- and back-office platform for registered investment advisory firms, has created a division specializing in firms managing more than $1 billion in assets. The division, Dynasty Enterprise Group, is aimed at...

Clock ticking for RIAs to self-report sales of high-fee mutual fund share classes

June 11, 2018

The clock is ticking for investment advisers registered with the Securities and Exchange Commission to turn themselves in to the agency in a crackdown on costly mutual fund share classes. The deadline is 12 a.m. eastern Tuesday for advisers...

Biggest RIA gainers

June 9, 2018

Rank 2018 % change 2018 Total Discretionary Nondiscretionary Firm Phone/website assets ($M) accounts assets ($M) accounts assets ($M) accounts Employees 1 Breed's Hill Capital 1 Thompson Square, Suite 301 Boston, MA 02129 (617) 580-3440 breedshillcapital.com...

Largest fee-only RIAs

June 9, 2018

Rank 2018 2018 Total Discretionary Nondiscretionary Firm Phone/website assets ($M) accounts assets ($M) accounts assets ($M) accounts Employees 1 Financial Engines Advisors 1050 Enterprise Way, Third Floor Sunnyvale, CA 94089 (408) 498-6000...

Why saying goodbye to your clients and business is hard

June 8, 2018

Boomers, do you look your age? If so, clients have likely been wondering how long you will be around to help them with their financial future — and they have probably been wondering this for longer than you think! In fact, clients often feel...

Conflicts of interest on SEC's radar

June 8, 2018

Potential conflicts of interest, and the proper disclosure of those conflicts, should be among the priorities for RIA compliance programs right now. Those potential conflicts at registered investment advisers include not disclosing fees charged...

Hybrids considering dumping Finra and working as RIAs exclusively

June 7, 2018

Fed up with what they say is the expense and headaches of operating under the Financial Industry Regulatory Authority Inc., an increasing number of broker-dealers of substantial size that are also registered investment advisers — so-called...

Private equity money altering the wealth management ecosystem

June 6, 2018

The influence of private equity investments on the financial advice industry is creating a full-blown "ecosystem" that will impact even smaller-sized registered investment advisers, according to the latest research from Fidelity Clearing & Custody...

A bankruptcy taught this newly minted adviser the value of financial education

June 6, 2018

This is another in a series of stories about recent college graduates and their first jobs in the financial advisory profession. Ten years ago, Blake Pokley and his family were hit hard by the Great Recession. His father lost his job working...

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...

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