Results for "registered investment advisers (RIA)"

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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...

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...

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...

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...

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...

Court orders Georgia RIA to disgorge $169,000 in fraud case

April 6, 2018

A federal district court in Washington, D.C., has ordered Ikenna "Ike" Ikokwu, a Cumming, Ga.-based RIA, to pay a civil penalty of $80,000, and — along with his companies, Winning the Money Game with Ike, and Winning the Money Game — to...

Bill Van Law exiting as head of Raymond James' RIA unit

March 22, 2018

Bill Van Law, head of the RIA division of Raymond James, will leave the firm April 2 to "pursue other personal and professional interests," according to a company release. "I am looking forward to time with my family before pursuing the next...

Largest fee-only RIAs by region, based on assets under management

December 9, 2017

Northeastern success stories Rank Firm Phone/website Total assets ($M) Total accounts Discretionary assets ($M) Discretionary accounts Nondiscretionary assets ($M) Nondiscretionary accounts Employees 1 Silvercrest Asset Management Group (212)...

Advisers complain to SEC about inadvertent custody

March 15, 2018

A Securities and Exchange Commission official said Thursday that the agency is working to clear up confusion about how investment advisers may inadvertently be deemed as having custody of client funds. The questions arise from a guidance update...

Why technology transformations fail

February 1, 2018

Most change initiatives – whether intended to boost quality, improve culture, or re-engineer technology – generate only lukewarm results. Many just simply fail. The reality is that no adviser business survives over the long term if it can't...

The importance of looking at new fee models

March 17, 2018

When your business model is designed around collecting a fee pegged to assets under management, the ebbs and flows of the financial markets can be nerve-wracking. For small advisory firms, which don't have a lot of room to cut overhead when...

Charles Brandes steps down as chairman of investment firm

February 27, 2018

Charles Brandes, founder and chairman of Brandes Investment Partners, has retired from the firm following a divorce dispute that included mutual allegations of domestic violence involving his estranged wife. "I cannot, and will not allow my...

How market moves affect advisers' bottom line

February 27, 2018

Over the long run, markets rise, and​ for that reason, advisory or wealth management fees based on a percentage of assets managed are a long-term win for passively growing advisory firm revenue. While quarterly billing dilutes the effects...

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...

Path to Growth: Why RIA firms leverage M&A as a growth strategy

September 19, 2017

Increasingly, Registered Investment Advisory (RIA) firms are expanding strategic goals, responding to rising competitive pressures and building scale by turbo-charging growth through mergers and acquisitions. Organic growth may still be the...

Wells Fargo adviser managing $219 million joins Ameriprise

December 4, 2017

Michael Huffman, who managed $219 million in assets in the Mesa, Ariz., office of Wells Fargo Advisors, has joined the employee channel of Ameriprise Financial. Mr. Huffman began his securities career at Kober Financial in 1991 and spent time...

A third-party cyber attack is your firm's problem

November 21, 2017

Recent high-profile cyberattacks underscore the importance of tracking how and where client data is used, transferred and stored by third party vendors to RIAs. The reality is, "the cloud" is not – and never was – a cybersecurity solution....

Massachusetts regulator mulls greater fee disclosure

February 8, 2018

Securities regulators in Massachusetts are asking for comments on a proposed regulation that would require investment advisers registered with the state to create a fee table to be given to new and existing advisory clients. "Recent changes...

Why RIAs are the future of financial advising

July 31, 2017

For years the Registered Investment Advisor (RIA) model has been growing in prominence. And now forces are converging to fundamentally transform financial advising in the model's favor. Investors are demanding more from the companies they work...

Median RIA firm had 25% operating margins in 2016: Schwab

July 14, 2017

The median registered investment advisory firm had operating margins of 25% in 2016 and assets under management of $593 million, according to the latest RIA Benchmarking Study from Charles Schwab. Median firm AUM has increased at a 10% five-year...

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